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Improving Accountability and Quality Assurance


     An Analysis of Interim Evaluations
  of Gang Prevention Projects across Canada


  Presented by Donna Smith-Moncrieffe, BSc. Crim Dip, MSc.
           Canadian Evaluation Society Conference
              May 31-Jun 3, 2009, Ottawa
Presentation Outline
   National Crime Prevention Centre (NCPC) mandate

   Youth Gang Prevention fund (YGPF) and accountability framework

   Improving accountability
      Corporate level (assessment at the department level)
      Branch level (using rigorous evaluation methods within
       NCPC to attribute outcomes of interest to the program)

   Key Challenges/Lessons Learned and mitigation strategies in
    conducting impact evaluations of gang prevention projects

   Conclusion : Link between strong evaluations and accountability


                                                                      2
NCPC Mandate/Core Activities

Mission statement:

    To provide national leadership on effective and cost-efficient ways to
    both prevent and reduce crime by addressing known risk factors in
    high risk populations and places

Core activities:
 supporting targeted interventions in local communities



   building and sharing practical knowledge with policy makers and
    practitioners



                                                                             3
NCPC priorities:

Provide funding to the following target groups/crime issues:

   Children and youth at risk

   Crime prevention in Aboriginal communities

   Prevent recidivism among high-risk groups

   Priority crime issues (youth gang, drug-related crimes)




                                                               4
Youth Gang Prevention Fund (YGPF)


   Fund operates between Oct 2006 and March 2011 (5 years)

   Funding for anti-gang initiatives is provided in areas where
    gangs exist or are emerging with a focus on youth aged 9-24

   Specialized fund developed to ensure that Canadian best practices
    in gang crime prevention can be disseminated




                                                                    5
Current NCPC Gang Projects
   17 funded across Canada
   Gang projects distributed across seven provinces (higher
    concentration in B.C, Prairies and Ontario)
   Range of funds per project ($750,000 to $4,900,000.00 over a
    four year period)
   Evidence-based practices for gang prevention include
    “wraparound”, case management, activities addressing multiple
    risk factors, and use of gang risk assessment tools. See NCPC
    website publications: NCPC Model and Promising Programs
    (2008)
   Projects have been operating between 6 and 12 months




                                                                    6
Current NCPC Gang Impact Evaluations
   Evaluations are contracted out to 3rd party evaluators
   Typical evaluation allocation is approximately $180,000.00 over
    four years
   15/17 evaluations are funded through the contribution
    agreement with the project; two are funded through independent
    contracts with NCPC
   Project evaluations need to provide information for NCPC and
    departmental performance reporting (DPR), in terms of both
    outputs (e.g. # of projects, # of activities implemented), and
    outcomes (e.g. changes in risk factors, reduced offending)




                                                                      7
Improving Accountability: Corporate


   The YGPF Accountability and Audit Framework (ARAF)
    provides detail on how to monitor, evaluate and report on results

   Reporting to Treasury Board :
      3 year Interim Progress Report (March, 2009)
      Five Year Outcome-based Evaluation (April, 2011)


   YGPF data feed into crime prevention performance indicators in
    annual Departmental Performance Reports (DPRs) and
    Strategic Reviews


                                                                     8
Improving Accountability: Branch Level
                           6 Senior evaluation analysts work in regions
Strengthening internal    where they review and provide advice on
evaluation capacity       evaluation deliverables
                          Evaluation  frameworks, annual reports and final
Clear Reporting           report due dates are specified in the contribution
Requirements              agreement and contract
                          YGPF    National Logic model specifies expected
Tool Development          outcomes and activities
                          YGPF Evaluation Guidelines provide key
                          indicators, literature and evaluation designs to 3rd
                          party evaluation contractors
                          Specific tasks and requirements stated (i.e. using
Detailed Request for      police, health and education sources to verify
Proposals and contracts   participant change)
                          Clauses allowing for discontinuation of the
                          evaluation if deliverables are not satisfactory 9
Methods of Analysis (Branch level only):
           Interim results
   15 annual evaluation reports (submitted January, 2009)
    completed by 3rd party contracted evaluators submitted for
    review to NCPC evaluation analysts

   6 NCPC evaluation analysts summarized annual reports and
    identified key challenges in : 1. Evaluation methods; 2. Program
    delivery and 3. Working effectively with 3rd party evaluation
    contractors

   Author prioritized top 5 challenges and mitigation strategies
    proposed by NCPC evaluation analysts to increase knowledge
    dissemination and improve the final stages of these gang
    evaluations.


                                                                    10
YGPF Evaluation Challenges and Mitigation
                             Strategies:
                 Target Group/Risk Assessment Issue

                         Difficulty in determining if target group is
Issue/Challenge          really gang involved or at risk of gang
                         involvement

                         •Not always sure if the program is being offered
                         to the right target group
                         • The evaluation results for key gang related
Implications             outcomes may not show changes if the target
                         group is not at the right risk levels


                         •NCPC evaluation analysts at the outset provide
Mitigation Strategy      sources for risk assessment tools and encourage
                         adaptation of U.S tools
                         •Hold 3rd party evaluation contractors
                         accountable for explaining all aspects of the
                         tool (i.e. cut off scores , composite risk indices)   11
Challenges:
Collaborating in developing risk assessment
                   tools
       No! I am an                  But, I am Project manager
      evaluator, risk                 and risk assessments
   assessments are not               require evaluation skills!
        my thing!!




                         Can we please just
                         collaborate on this
                               one!?!?




                                                                  12
YGPF Evaluation Challenges and Mitigation Strategies:
                Internal Threat to Validity Issues

                        Evaluations not using a comparison group (50% )
                        need to comprehensively identify how they are
Issue/Challenge         addressing threats to internal validity


                       • Threats to internal validity could be compromised.
                       Example: Six months into the evaluation, the local police
                       changed gang definition. Without identification of this
Implications           change, reduction in gangs could be attributed to program
                       and not to the definition change.

                       • 3rd party evaluation contractor to outline an
                       exhaustive/comprehensive list of ways to mitigate
Mitigation Strategy
                       internal threats to validity
                       • 3rd party evaluation contractor to monitor and
                       document all potential confounding variables during
                       project implementation                            13
YGPF Evaluation Challenges and Mitigation
             Strategies: Construct Validity Issues
                      Balancing the need to use standardized
                      instruments with the need to customize
Issue/Challenge       instruments to appropriately reflect unique
                      program activities and crime related outcomes
                      of interest


                      •Key outcomes of interest unique to the program
Implications          may not be tested for change


                      •Encourage customization of standardized surveys
                      •Encourage use of techniques such as factor analysis
Mitigation Strategy
                      once modified standardized tool is tested, to ensure
                      reliability and validity


                                                                         14
YGPF Evaluation Challenges and Mitigation Strategies:
                Strengthening Theory of Change


                        Balancing the need to identify a theory of
Issue/Challenge         change with stringent project timelines and
                        with ‘spending’ performance standards



                       •A weak theory of change means that the intervention
Implications           to at risk youth is not likely to contribute to changes in
                       key outcomes of interest


                       •Require development of comprehensive logic model
Mitigation Strategy    during the development phase
                       •Encourage 3rd party evaluation contractors to
                       challenge program staff (e.g. identify required dosage
                       for key activities)
                                                                             15
YGPF Evaluation Challenges and Mitigation Strategies:
             Choose an Appropriate “Advice Strategy”


                        Identify and utilize an “advice strategy” that
Issue/Challenge         increases quality assurance (QA) and accountability
                        while providing the project/evaluation with
                        appropriate levels of autonomy


                        Using a “soft advice approach” (advice without
Implications            follow up) reduces quality assurance and accountability
                        A “stringent advice approach” increases QA and
                        accountability but can reduce evaluation autonomy

Mitigation Strategy    At minimum , utilize a “moderate advice approach”.
                       Ensure all internal reviewers/analysts use a similar
                       approach and advise 3rd party contractors accordingly


                                                                          16
Balancing Quality Assurance, Accountability
      and Evaluation/Project Autonomy


 Soft Advice Approach      Moderate Advice Approach          Stringent Advice Approach
                                                            •Negotiation and prioritization
•No negotiation re:        •Some negotiation to determine   of key changes
 differences in opinion    what is agreed upon              •Follow up until all
•No follow up to ensure    •At least 1 time follow up to    suggested improvements
advice is incorporated     ensure key improvements have     have been incorporated
• No approvals/sign offs   been incorporated                • Approvals and sign-offs




              Increasing levels of QA and Accountability



              Increasing Levels of Project/Evaluation Autonomy
Conclusion:
                          Summary of key Lessons Learned
                                •Ensure 3rd party evaluators are involved with the
Target Group/Risk Assessment    development and ensure project staff understand how to apply
                                the tool when screening potential participants

                                •Comprehensive documentation and explanation of how
 Internal Threats to Validity
                                internal threats to validity are being addressed is required,
                                especially when comparison group has not materialized as
                                planned
     Construct Validity         •Customize standardized tools, and utilize multivariate
                                analysis (i.e. factor analysis) to ensure modified tools are still
                                reliable and valid
     Theory of Change           •Evaluators need to challenge the program theory and
                                provide active suggestions about intensity of program
                                activities and their relationship to the outcomes of interest
      Advice Strategy
                                • Consider the ‘moderate advice approach’ to increase
                                quality of the final product                               18
Summary:
     Link Between Sound Evaluations and
      Increased Accountability and QA
   Increase confidence in data reported to Treasury Board to justify
    Departmental spending

   Strengthen projects and enable them to fulfil obligations of
    contribution funding

   Increase confidence in knowledge about ‘what works’ in crime
    prevention with youth gangs – knowledge that will influence
    national practice




                                                                   19
Contact Information
                Donna Smith-Moncrieffe
               Senior Evaluation Analyst
Public Safety Canada, National Crime Prevention Center
               Telephone: 416-952-0423

       E-mail: donna.smith-moncrieffe@ps.gc.ca




                                                         20

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Improving Accountability

  • 1. Improving Accountability and Quality Assurance An Analysis of Interim Evaluations of Gang Prevention Projects across Canada Presented by Donna Smith-Moncrieffe, BSc. Crim Dip, MSc. Canadian Evaluation Society Conference May 31-Jun 3, 2009, Ottawa
  • 2. Presentation Outline  National Crime Prevention Centre (NCPC) mandate  Youth Gang Prevention fund (YGPF) and accountability framework  Improving accountability  Corporate level (assessment at the department level)  Branch level (using rigorous evaluation methods within NCPC to attribute outcomes of interest to the program)  Key Challenges/Lessons Learned and mitigation strategies in conducting impact evaluations of gang prevention projects  Conclusion : Link between strong evaluations and accountability 2
  • 3. NCPC Mandate/Core Activities Mission statement: To provide national leadership on effective and cost-efficient ways to both prevent and reduce crime by addressing known risk factors in high risk populations and places Core activities:  supporting targeted interventions in local communities  building and sharing practical knowledge with policy makers and practitioners 3
  • 4. NCPC priorities: Provide funding to the following target groups/crime issues:  Children and youth at risk  Crime prevention in Aboriginal communities  Prevent recidivism among high-risk groups  Priority crime issues (youth gang, drug-related crimes) 4
  • 5. Youth Gang Prevention Fund (YGPF)  Fund operates between Oct 2006 and March 2011 (5 years)  Funding for anti-gang initiatives is provided in areas where gangs exist or are emerging with a focus on youth aged 9-24  Specialized fund developed to ensure that Canadian best practices in gang crime prevention can be disseminated 5
  • 6. Current NCPC Gang Projects  17 funded across Canada  Gang projects distributed across seven provinces (higher concentration in B.C, Prairies and Ontario)  Range of funds per project ($750,000 to $4,900,000.00 over a four year period)  Evidence-based practices for gang prevention include “wraparound”, case management, activities addressing multiple risk factors, and use of gang risk assessment tools. See NCPC website publications: NCPC Model and Promising Programs (2008)  Projects have been operating between 6 and 12 months 6
  • 7. Current NCPC Gang Impact Evaluations  Evaluations are contracted out to 3rd party evaluators  Typical evaluation allocation is approximately $180,000.00 over four years  15/17 evaluations are funded through the contribution agreement with the project; two are funded through independent contracts with NCPC  Project evaluations need to provide information for NCPC and departmental performance reporting (DPR), in terms of both outputs (e.g. # of projects, # of activities implemented), and outcomes (e.g. changes in risk factors, reduced offending) 7
  • 8. Improving Accountability: Corporate  The YGPF Accountability and Audit Framework (ARAF) provides detail on how to monitor, evaluate and report on results  Reporting to Treasury Board :  3 year Interim Progress Report (March, 2009)  Five Year Outcome-based Evaluation (April, 2011)  YGPF data feed into crime prevention performance indicators in annual Departmental Performance Reports (DPRs) and Strategic Reviews 8
  • 9. Improving Accountability: Branch Level  6 Senior evaluation analysts work in regions Strengthening internal where they review and provide advice on evaluation capacity evaluation deliverables Evaluation frameworks, annual reports and final Clear Reporting report due dates are specified in the contribution Requirements agreement and contract YGPF National Logic model specifies expected Tool Development outcomes and activities YGPF Evaluation Guidelines provide key indicators, literature and evaluation designs to 3rd party evaluation contractors Specific tasks and requirements stated (i.e. using Detailed Request for police, health and education sources to verify Proposals and contracts participant change) Clauses allowing for discontinuation of the evaluation if deliverables are not satisfactory 9
  • 10. Methods of Analysis (Branch level only): Interim results  15 annual evaluation reports (submitted January, 2009) completed by 3rd party contracted evaluators submitted for review to NCPC evaluation analysts  6 NCPC evaluation analysts summarized annual reports and identified key challenges in : 1. Evaluation methods; 2. Program delivery and 3. Working effectively with 3rd party evaluation contractors  Author prioritized top 5 challenges and mitigation strategies proposed by NCPC evaluation analysts to increase knowledge dissemination and improve the final stages of these gang evaluations. 10
  • 11. YGPF Evaluation Challenges and Mitigation Strategies: Target Group/Risk Assessment Issue Difficulty in determining if target group is Issue/Challenge really gang involved or at risk of gang involvement •Not always sure if the program is being offered to the right target group • The evaluation results for key gang related Implications outcomes may not show changes if the target group is not at the right risk levels •NCPC evaluation analysts at the outset provide Mitigation Strategy sources for risk assessment tools and encourage adaptation of U.S tools •Hold 3rd party evaluation contractors accountable for explaining all aspects of the tool (i.e. cut off scores , composite risk indices) 11
  • 12. Challenges: Collaborating in developing risk assessment tools No! I am an But, I am Project manager evaluator, risk and risk assessments assessments are not require evaluation skills! my thing!! Can we please just collaborate on this one!?!? 12
  • 13. YGPF Evaluation Challenges and Mitigation Strategies: Internal Threat to Validity Issues Evaluations not using a comparison group (50% ) need to comprehensively identify how they are Issue/Challenge addressing threats to internal validity • Threats to internal validity could be compromised. Example: Six months into the evaluation, the local police changed gang definition. Without identification of this Implications change, reduction in gangs could be attributed to program and not to the definition change. • 3rd party evaluation contractor to outline an exhaustive/comprehensive list of ways to mitigate Mitigation Strategy internal threats to validity • 3rd party evaluation contractor to monitor and document all potential confounding variables during project implementation 13
  • 14. YGPF Evaluation Challenges and Mitigation Strategies: Construct Validity Issues Balancing the need to use standardized instruments with the need to customize Issue/Challenge instruments to appropriately reflect unique program activities and crime related outcomes of interest •Key outcomes of interest unique to the program Implications may not be tested for change •Encourage customization of standardized surveys •Encourage use of techniques such as factor analysis Mitigation Strategy once modified standardized tool is tested, to ensure reliability and validity 14
  • 15. YGPF Evaluation Challenges and Mitigation Strategies: Strengthening Theory of Change Balancing the need to identify a theory of Issue/Challenge change with stringent project timelines and with ‘spending’ performance standards •A weak theory of change means that the intervention Implications to at risk youth is not likely to contribute to changes in key outcomes of interest •Require development of comprehensive logic model Mitigation Strategy during the development phase •Encourage 3rd party evaluation contractors to challenge program staff (e.g. identify required dosage for key activities) 15
  • 16. YGPF Evaluation Challenges and Mitigation Strategies: Choose an Appropriate “Advice Strategy” Identify and utilize an “advice strategy” that Issue/Challenge increases quality assurance (QA) and accountability while providing the project/evaluation with appropriate levels of autonomy Using a “soft advice approach” (advice without Implications follow up) reduces quality assurance and accountability A “stringent advice approach” increases QA and accountability but can reduce evaluation autonomy Mitigation Strategy At minimum , utilize a “moderate advice approach”. Ensure all internal reviewers/analysts use a similar approach and advise 3rd party contractors accordingly 16
  • 17. Balancing Quality Assurance, Accountability and Evaluation/Project Autonomy Soft Advice Approach Moderate Advice Approach Stringent Advice Approach •Negotiation and prioritization •No negotiation re: •Some negotiation to determine of key changes differences in opinion what is agreed upon •Follow up until all •No follow up to ensure •At least 1 time follow up to suggested improvements advice is incorporated ensure key improvements have have been incorporated • No approvals/sign offs been incorporated • Approvals and sign-offs Increasing levels of QA and Accountability Increasing Levels of Project/Evaluation Autonomy
  • 18. Conclusion: Summary of key Lessons Learned •Ensure 3rd party evaluators are involved with the Target Group/Risk Assessment development and ensure project staff understand how to apply the tool when screening potential participants •Comprehensive documentation and explanation of how Internal Threats to Validity internal threats to validity are being addressed is required, especially when comparison group has not materialized as planned Construct Validity •Customize standardized tools, and utilize multivariate analysis (i.e. factor analysis) to ensure modified tools are still reliable and valid Theory of Change •Evaluators need to challenge the program theory and provide active suggestions about intensity of program activities and their relationship to the outcomes of interest Advice Strategy • Consider the ‘moderate advice approach’ to increase quality of the final product 18
  • 19. Summary: Link Between Sound Evaluations and Increased Accountability and QA  Increase confidence in data reported to Treasury Board to justify Departmental spending  Strengthen projects and enable them to fulfil obligations of contribution funding  Increase confidence in knowledge about ‘what works’ in crime prevention with youth gangs – knowledge that will influence national practice 19
  • 20. Contact Information Donna Smith-Moncrieffe Senior Evaluation Analyst Public Safety Canada, National Crime Prevention Center Telephone: 416-952-0423 E-mail: donna.smith-moncrieffe@ps.gc.ca 20