1、Chapter 2: Introduction to Development Evaluation 模块2: 发展评价导言,What?概念,OECD DAC Criteria OECD DAC 准则,Development Evaluation Context评价的发展背景,Origin & History起源和历史,Principles and Standards 原则和标准,Professional Associations专业协会,2,Introduction 导言,Evaluation, What Is It? 什么是评价？ Origin and History of the Eval
2、uation Discipline 评价学科的起源和发展历程 Evaluation Development Context 评价的发展背景 Principles and Standards for Development Evaluation 发展评价的原则和标准,3,OECD Definition 经济合作与发展组织（OECD）对评价的定义,Evaluation 评价 The process of determining the worth or significance of an activity, policy, or program 确定一项活动、政策或计划的价值或者重要性的过程 a
3、n assessment, as systematic and objective as possible, of a planned, on-going, or completed intervention 对一项计划中的、实施中的或者已经完成的干预措施开展的尽可能系统客观的评估,Evaluation: What Is It? 什么是评价？,5,Kinds of Evaluations 评价的种类,Formative 形成性评价 focus on improved performance before and during implementation (project, program o
4、r policy) 注重（项目、计划或政策）执行前和执行中绩效的提高 Summative 总结性评价 focus on outcomes (consequences) 注重结果（成果） Prospective 前瞻性评价asses the likely outcomes of proposed interventions对建议的干预活动后所产生的可能结果进行评估 Is this program/project/policy worth evaluating? 该计划/项目/政策值得进行评价吗？ Will the gains be worth the effort/resources expen
5、ded? 相对于付出的努力和资源，评价获得的收益值得吗？,6,Purpose of Evaluation 评价的目的,Ethical 道德 Managerial 管理 Decisional 决策 Educative and Motivational 教育和激励,7,Benefits of Evaluation 评价的益处,Helps answer questions about interventions 有助于回答有关干预的问题 Benefits for people 对人的益处 direct vs. indirect 直接或间接 intended vs. unintended 有意或无意
6、short-term vs. long-term 短期或长期,8,What to Evaluate? 评价的对象,Projects 项目 Programs 计划 Policies 政策 Organizations 组织 Sectors 部门 Themes 主题 Country assistance 国家援助,9,Uses of Evaluations 评价的运用,Give feedback on the performance of policies, programs, and projects 对政策、计划和项目的绩效做出反馈 Make policies, programs, and pr
7、ojects accountable for how they use public funds 使政策、计划和项目能对公共资金的使用做出合理解释 Help stakeholders learn more about policies, programs, and projects 帮助利益相关者了解更多有关政策、计划和项目的信息 Carried out around the needs of the primary intended user 围绕主要预期使用者的需求开展评价 Clarify theory of change for projects, programs, and polic
8、y明确项目、计划和政策的变革理论,10,Evaluation Provides Information on: 评价提供以下几方面的信息：,Strategy 策略层面-Are the right things being done? 是否在做正确的事？ Operations 操作层面-Are things being done right? 做事的方式是否正确？ Learning 学习层面-Are there better ways? 有无其它更好的方法？,11,Monitoring and Evaluation 监测和评价,Monitoring 监测 routine, ongoing, an
9、d internal activity of tracking key indicators 常规性持续性地跟踪关键指标 internal activity 属于内部活动 used to collect information on a programs activities, outputs and outcomes to measure performance of the program 用于收集某个计划的活动、产出和成果的相关资料以衡量其绩效 Evaluation 评价 period and time bound 具有一定的时限性 can be internal, external o
10、r participatory可以是内部、外部或者参与式的 periodic feedback to key stakeholders定期向关键的利益相关者进行反馈,12,Who Conducts the Evaluation 评价的主体,Internal evaluators: 内部评价人员 usually know more 通常更加了解： history, organization, culture, problems, successes 被评价对象的历史、组织、文化、存在的问题及取得的成就 may be too close 可能与被评价对象的关系过于密切 External evalu
11、ators: 外部评价人员 have more credibility and specialized skills 具有更高的可信度和专业技能 independent from administration and financial decisions 不受管理和财务决策的影响,13,Who Conducts (cont.) 评价的主体（续）,Participatory Evaluation参与式评价representatives of agencies and stakeholders (including beneficiaries) work together in designin
12、g, carrying out and interpreting an evaluation 机构和利益相关者（包括受益人）的代表共同设计、实施和解读一项评价 participatory methods may be used in internal and external evaluations 参与式方法可用于内部和外部评价,14,Participatory Evaluation (vs. Internal or External) 参与式评价 (与内部或外部评价相比),Distinction between experts and layperson, researcher and r
13、esearched, is de-emphasized and redefined 专家与外行、研究人员与研究对象之间的区别被淡化处理和重新定义 Evaluators act as facilitators and instructors 评价人员充当推动者和指导者 Others make the assessment 由其他人进行评价 A more radical step away from the model of independent evaluation 与独立评价模式存在根本性不同,15,Evaluator Activities 评价人员的活动,Consult with main
14、 client and all key stakeholders 与主要客户以及所有的关键利益相关者进行磋商 Reconstruct or construct theory of change重建或建立变革理论 Design the evaluation 设计评价活动 Manage evaluation budgets 管理评价预算 Perform or conduct the evaluation (or contract staff to perform the evaluation) 实施评价（或者雇用人员实施评价） Identify standards for effectivenes
15、s 确认评价效果的衡量标准 Collect, analyze, interpret, and report on data and findings 收集、分析、解读和汇报数据和评价结果,16,Profession status 专业地位,Education and Social Programs 教育和社会计划,Egypt and China 埃及和中国,Timeline 时间表,Reconstruction after WW Banks 世界大战后的重建银行,17,Origins of Development Evaluation 发展评价的起源,Audit tradition 审计传统
16、Social science tradition 社会科学传统,18,Changing Development Concepts “发展”概念的变化,Reconstruction Technical assistance Engineering 战后重建 技术援助 工程学,Growth Projects Finance 经济增长 项目 金融学,Basic needs Sector investment Planning 基本需求 部门投资 规划,Adjustment Adjustment lending Neoclassical economics调整 调整贷款 新古典主义经济学,Capaci
17、ty Country assistance Multi-disciplinary能力 国家援助 多学科,Poverty reduction Partnerships Results-based management 减贫 伙伴关系 面向结果的管理,19,Significant Changes 重大变化,From partial development to more comprehensive development 从局部发展到综合性发展 Toward global approaches to development 寻求通过全球途径来促进发展 From individual efforts
18、 to coordinated, participatory development 从个体努力到协调的参与式发展 Toward using partnerships for large-scale development challenges 寻求利用伙伴关系应对巨大的发展挑战,20,Development Evaluation: 发展评价：,A sub-discipline of classical evaluation 传统评价的一个分支学科 Uses a variety of methodologies and practices 运用各类方法与实践 Mixed methodologi
19、es work best 混合使用多种方法能获得最佳效果,21,Growth of Professional Evaluation Associations 专业评价协会的成长,Increasing numbers of associations around the world, especially in the last few years 全世界专业协会的数量不断增加，尤其是过去几年来 Demonstrate more value is being given to development evaluation as a profession 说明发展评价这个行业受到越来越多的重视 O
20、rganizations create a support system and allow for professionalism 这些组织成立了一个支持系统，侧重考虑专业性,22,International Organizations 国际组织,International Organization for Cooperation in Evaluation (IOCE) 国际评价合作组织 International Development Evaluation Association (IDEAS) 国际发展评价协会,23,DAC Criteria for Evaluating Devel
21、opment Assistance 发展援助委员会发展援助评价准则,Relevance 相关性 The extent to which the objectives of a development intervention are consistent with beneficiaries requirements, country needs, global priorities, and partners and donors policies. 发展干预的目标和受益人的要求、国家需求、全球重点以及合作伙伴和捐助方的政策相吻合的程度 Effectiveness 成效 A measure
22、of the extent to which an aid activity attains its objectives 衡量一项援助活动达成其目标的程度 Efficiency 效率 Measures the outputs qualitative and quantitative in relation to the inputs. 用来测度相对于投入的定性和定量的产出,24,DAC Criteria for Evaluating Development Assistance (cont.) 发展援助委员会发展援助评价准则（续）,Impact 影响 Positive and negativ
23、e changes produced by a development intervention, directly or indirectly, intended or unintended 发展干预活动直接或间接地，有意或无意地产生的积极和消极变化 Sustainability 可持续性 The degree to which the benefits of an activity are likely to continue after donor funding has been withdrawn 衡量一项活动在援助者投资收回后，其收益可能继续下去的程度,25,DAC Specifi
24、c Principles for the Evaluation of Development Assistance 发展援助委员会（DAC）评价发展援助的具体原则,Purpose 目的 Impartiality and independence 公正性与独立性 Credibility 可信性 Usefulness 实用性 Participation of donors and recipients 援助方和受援方的参与 Donor cooperation 援助方合作 (continued on next slide) (转下页),26,DAC Specific Principles for t
25、he Evaluation of Development Assistance (cont.) 发展援助委员会（DAC）评价发展援助的具体原则（续）,Evaluation programming 评价体系 Design and implementation of evaluations 评价的设计和实施 Reporting, dissemination, and feedback 汇报、成果散发和反馈 Application of these principles 这些原则的应用,27,Why Standards? 为什么制定这些标准？,Promote accountability 促进问责制
26、 Facilitate comparability 提高可比性 Enhance reliability and quality of services provided 提高所提供服务的可靠性和质量,28,Evaluation Standards 评价标准,DAC Evaluation Quality Standards (for test phase application) 发展援助委员会评价质量标准 （用于测试阶段申请） http:/www.oecd.org/dataoecd/30/62/36596604.pdf Program Evaluation Standards 计划评价标准 w
27、ww.eval.org/EvaluationDocuments/progeval.html United Nations Norms for Evaluation in the UN System 联合国系统评价规范 www.uneval.org/docs/ACFFC9F.pdf (continued on next slide) （转下页）,29,Evaluation Standards (cont.) 评价标准（续）,Standards for Evaluation in the UN System 联合国系统评价标准 www.uneval.org/docs/ACFFCA1/pdf Ame
28、rican Evaluation Association (AEA) Guiding Principles 美国评价协会（AEA）指导原则 www.eval.org/Publications/GuidingPrinciples.asp,30,Evaluation Standards (cont.) 评价标准（续）,IEG/DAC Sourcebook for Evaluating Global and Regional Partnership Programs (GRPPs): Indicative Principles and Standards 独立评价局/发展援助委员会（IEG/DAC）
29、评价全球和区域合作计划资料读物：指示性原则和标准 Draws from evaluation standards above and applies to GRPPs 将以上评价标准应用于GRPPs www.worldbankorg/ieg/grpp/sourcebook.html,31,Evaluation and Independence 评价和独立性,Independent evaluation 独立评价(OECD glossary): an evaluation carried out by entities and persons free of the control of tho
30、se responsible for the design and implementation of the evaluation 由不受评价设计和实施人员控制的独立实体和个人开展的评价 the credibility of an evaluation depends in part on how independently it has been carried out 评价的可信度部分取决于评价实施的独立程度,32,Criteria of Evaluation Independence 评价独立的标准,Organizational independence 机构独立 Behavioral independence 行为独立 Avoidance of conflicts of interest 避免利益冲突 Protection from external influence 免受外来影响,
