Shanghai International Program for Development Evaluation Training Asia-Pacific Finance and Development Center; 200 Panlong Road-Shanghai, October 10, 2008

1. Building a Results-Based Monitoring and Evaluation System 建立面向结果的监测与评价系统 Shanghai International Program for Development Evaluation Training Asia-Pacific Finance and Development Center 200 Panlong Road-Shanghai, October 10, 2008 Ray C. Rist

5. www.dadangsolihin.com Planning for Improvement  Selecting Realistic Targets 为改善绩效进行规划——选择 切合实际的具 体目标 5 1 Conducting a Readiness Assessment 实施就绪 度评价 3 Selecting Key Indicators to Monitor Outcomes 选择监测成效的关键指标 7 The Role of Evaluations 评价作用 9 Using Findings 使用发现 2 Agreeing on Outcomes to Monitor and Evaluate 对监测与评价成效达成一致意见 4 Baseline Data on Indicators — Where Are We Today? 指标的基准数 据——我们现在 处于什么情况？ 6 Monitoring for Results 面向结果 的监测 8 Reporting Findings 发现 Sustaining the M&E System Within the Organization 组织内部维持监测与评价系统 10

16. Key Types of Monitoring 监测的主要类型 www.dadangsolihin.com Results Monitoring 结果监测 Implementation Monitoring (Means and Strategies) 实施情况监测 ( 手段和策略 ) Outcomes 成效 Impacts 影响 Results 结果 Inputs 投入 Activities 活动 Outputs 产出 Implementation 实施情况

18. Ten Steps to Building a Results-Based M&E System 建立面向结果的监测与评价系统的十个步骤

19. Step 1: Conducting a Readiness Assessment 步骤 1: 实施就绪度评价 Planning for Improvement  Selecting Realistic Targets 为改善绩效进行规划——选择 切合实际的具 体目标 5 1 Conducting a Readiness Assessment 实施就绪 度评价 3 Selecting Key Indicators to Monitor Outcomes 选择监测成效的关键指标 7 The Role of Evaluations 评价作用 9 Using Findings 使用发现 2 Agreeing on Outcomes to Monitor and Evaluate 对监测与评价成效达成一致意见 4 Baseline Data on Indicators — Where Are We Today? 指标的基准数 据——我们现在 处于什么情况？ 6 Monitoring for Results 面向结果 的监测 8 Reporting Findings 发现 Sustaining the M&E System Within the Organization 组织内部维持监测与评价系统 10

26. Step 2: Agreeing on Performance Outcomes to Monitor and Evaluate 步骤 2: 对要监测与评价的成效形成一致意见 Planning for Improvement  Selecting Realistic Targets 为改善绩效进行规划——选择 切合实际的具 体目标 5 1 Conducting a Readiness Assessment 实施就绪 度评价 3 Selecting Key Indicators to Monitor Outcomes 选择监测成效的关键指标 7 The Role of Evaluations 评价作用 9 Using Findings 使用发现 2 Agreeing on Outcomes to Monitor and Evaluate 对监测与评价成效达成一致意见 4 Baseline Data on Indicators — Where Are We Today? 指标的基准数 据——我们现在 处于什么情况？ 6 Monitoring for Results 面向结果 的监测 8 Reporting Findings 发现 Sustaining the M&E System Within the Organization 组织内部维持监测与评价系统 10

28. Developing Outcomes for One Policy Area: Education 政策领域成效设定：以教育为例 www.dadangsolihin.com 2. Primary school learning outcomes for children are improved 2. 提高儿童小学学习的成效 1. Nations children have improved access to pre-school programs 1. 使全国有更多的儿童加入学前教育计划 Targets: 具体目标 : Baselines: 基准 : Indicators: 指标 : Outcomes: 成效 :

30. Step 3: Selecting Key Indicators to Monitor Outcomes 步骤 3: 选择监测成效的关键指标 Planning for Improvement  Selecting Realistic Targets 为改善绩效进行规划——选择 切合实际的具 体目标 5 1 Conducting a Readiness Assessment 实施就绪 度评价 3 Selecting Key Indicators to Monitor Outcomes 选择监测成效的关键指标 7 The Role of Evaluations 评价作用 9 Using Findings 使用发现 2 Agreeing on Outcomes to Monitor and Evaluate 对监测与评价成效达成一致意见 4 Baseline Data on Indicators — Where Are We Today? 指标的基准数 据——我们现在 处于什么情况？ 6 Monitoring for Results 面向结果 的监测 8 Reporting Findings 发现 Sustaining the M&E System Within the Organization 组织内部维持监测与评价系统 10

33. Matrix for Selecting Indicators 指标选择矩阵 Indicator 指标 Data collection method 数据收集方法 Frequency & cost to collect 收集频率和成本 Who will analyze and report data? 谁负责分析和报告数据 Who will collect data? 谁负责收集数据 Difficulty to collect 收集的难度 www.dadangsolihin.com Who will use the data? 谁将使用数据 Data source 数据来源 1. 2. 3.

34. Developing Set of Outcome Indicators for One Policy Area: Education 为教育，这一政策领域开发一套成效指标 www.dadangsolihin.com 1.% of Grade 6 students scoring70% or better on standardized math and science tests 1. 六年级学生在标准化的数学和自然科学考试中得到 70 分或以上成绩的人数比例 2. % of Grade 6 students scoring higher on standardized math and science tests in comparison to baseline data 2. 六年级学生在标准化的数学和自然科学考试中成绩高于基准数据的人数比例 1. % of eligible urban children enrolled in pre-school education 1. 城市适龄儿童接受学前教育的比例 2. % of eligible rural children enrolled in pre-school education 2. 农村适龄儿童接受学前教育的比例 Targets: 具体目标 : Baselines: 基准 : Indicators: 指标 : Outcomes: 成效 : 2. Primary school learning outcomes for children are improved 2. 提高儿童小学学习的成效 1. Nations children have improved access to pre-school programs 1. 使全国有更多的儿童加入学前教育计划

36. Step 4: Gathering Baseline Data on Indicators 步骤 4: 收集指标的基准数据 Planning for Improvement  Selecting Realistic Targets 为改善绩效进行规划——选择 切合实际的具 体目标 5 1 Conducting a Readiness Assessment 实施就绪 度评价 3 Selecting Key Indicators to Monitor Outcomes 选择监测成效的关键指标 7 The Role of Evaluations 评价作用 9 Using Findings 使用发现 2 Agreeing on Outcomes to Monitor and Evaluate 对监测与评价成效达成一致意见 4 Baseline Data on Indicators — Where Are We Today? 指标的基准数 据——我们现在 处于什么情况？ 6 Monitoring for Results 面向结果 的监测 8 Reporting Findings 发现 Sustaining the M&E System Within the Organization 组织内部维持监测与评价系统 10

39. www.dadangsolihin.com Conversation with concerned individuals 与相关 人员交谈 Community Interviews 社区访谈 Field visits 实地 调研 Reviews of official records (MIS and admin data) 查阅官方数据 ( 管理信息系统和管理数据 ) Participant Observation 参与式 观察 Key informant interviews 与关键知情 者面谈 Focus Group Interviews 焦点组 访谈 Questionnaires 问卷调查 Panel Surveys 同样本 调查 Census 人口普查 Field experiments 现场 试验 Informal/Less Structured Methods 非正式性 / 结构性较差的方法 More Structured/Formal Methods 更具结构性 / 正式的方法 One-Time Survey 一次性 调查 Direct observation 直接 观察

41. Step 5: Planning for Improvements — Setting Realistic Targets 步骤 5: 为改善绩效进行规 划——设定切合实际的具体目标 Planning for Improvement  Selecting Realistic Targets 为改善绩效进行规划——选择 切合实际的具 体目标 5 1 Conducting a Readiness Assessment 实施就绪 度评价 3 Selecting Key Indicators to Monitor Outcomes 选择监测成效的关键指标 7 The Role of Evaluations 评价作用 9 Using Findings 使用发现 2 Agreeing on Outcomes to Monitor and Evaluate 对监测与评价成效达成一致意见 4 Baseline Data on Indicators — Where Are We Today? 指标的基准数 据——我们现在 处于什么情况？ 6 Monitoring for Results 面向结果 的监测 8 Reporting Findings 发现 Sustaining the M&E System Within the Organization 组织内部维持监测与评价系统 10

43. Identifying Expected or Desired Level of Improvement Requires Targets 确定期望或预计的改善水平需要设定具体目标 + = www.dadangsolihin.com Baseline Indicator Level 指标的基 准水平 Desired Level of Improvement 预计的改善水平 Assumes a finite and expected level of inputs, activities, and outputs 假设投入、活动和产出的期望 水平是给定的 Target Performance 具体的绩效目标 Desired level of performance to be reached within a specific time 特定时期内所要达到的预定绩效水平

46. Step 6: Monitoring for Results 步骤 6: 面向结果的监测 Planning for Improvement  Selecting Realistic Targets 为改善绩效进行规划——选择 切合实际的具 体目标 5 1 Conducting a Readiness Assessment 实施就绪 度评价 3 Selecting Key Indicators to Monitor Outcomes 选择监测成效的关键指标 7 The Role of Evaluations 评价作用 9 Using Findings 使用发现 2 Agreeing on Outcomes to Monitor and Evaluate 对监测与评价成效达成一致意见 4 Baseline Data on Indicators — Where Are We Today? 指标的基准数 据——我们现在 处于什么情况？ 6 Monitoring for Results 面向结果 的监测 8 Reporting Findings 发现 Sustaining the M&E System Within the Organization 组织内部维持监测与评价系统 10

47. Key Types of Monitoring 监测的主要类型 www.dadangsolihin.com Results Monitoring 结果监测 Implementation Monitoring (Means and Strategies) 实施情况监测 ( 手段和策略 ) Outcomes 成效 Impacts 影响 Results 结果 Inputs 投入 Activities 活动 Outputs 产出 Implementation 实施情况

48. Implementation Monitoring Links to Results Monitoring 实施监测与结果监测相连系 www.dadangsolihin.com Means and Strategies (Multi-year and Annual Work Plans) 方法和策略 ( 多年期和年度工作计划 ) Means and Strategies (Multi-year and Annual Work Plans) 方法和策略 ( 多年期和年度工作计划 ) Means and Strategies (Multi-year and Annual Work Plans) 方法和策略 ( 多年期和年度工作计划 ) Monitor Results 监测结果 Monitor Implementation 监测实施 Target 1 具体目标 1 Target 2 具体目标 2 Target 3 具体目标 3 Outcome 成效

49. www.dadangsolihin.com Target 1 具体目标 1 Partner1 合作伙伴 1 Partner2 合作伙伴 2 Partner3 合作伙伴 3 Means & Strategy 方法与策略 Partner1 合作伙伴 1 Partner2 合作伙伴 2 Partner3 合作伙伴 3 Means & Strategy 方法与策略 Partner1 合作伙伴 1 Partner2 合作伙伴 2 Partner3 合作伙伴 3 Means & Strategy 方法与策略 Target 2 具体目标 2 Outcome 成效 Outcome 成效 Outcome 成效 Impact 影响

51. Step 7: The Role of Evaluations 步骤 7: 评价的作用 Planning for Improvement  Selecting Realistic Targets 为改善绩效进行规划——选择 切合实际的具 体目标 5 1 Conducting a Readiness Assessment 实施就绪 度评价 3 Selecting Key Indicators to Monitor Outcomes 选择监测成效的关键指标 7 The Role of Evaluations 评价作用 9 Using Findings 使用发现 2 Agreeing on Outcomes to Monitor and Evaluate 对监测与评价成效达成一致意见 4 Baseline Data on Indicators — Where Are We Today? 指标的基准数 据——我们现在 处于什么情况？ 6 Monitoring for Results 面向结果 的监测 8 Reporting Findings 发现 Sustaining the M&E System Within the Organization 组织内部维持监测与评价系统 10

54. Step 8: Reporting Findings 步骤 8: 报告发现 Planning for Improvement  Selecting Realistic Targets 为改善绩效进行规划——选择 切合实际的具 体目标 5 1 Conducting a Readiness Assessment 实施就绪 度评价 3 Selecting Key Indicators to Monitor Outcomes 选择监测成效的关键指标 7 The Role of Evaluations 评价作用 9 Using Findings 使用发现 2 Agreeing on Outcomes to Monitor and Evaluate 对监测与评价成效达成一致意见 4 Baseline Data on Indicators — Where Are We Today? 指标的基准数 据——我们现在 处于什么情况？ 6 Monitoring for Results 面向结果 的监测 8 Reporting Findings 发现 Sustaining the M&E System Within the Organization 组织内部维持监测与评价系统 10

58. Step 9: Using Findings 步骤 9: 使用发现 Planning for Improvement  Selecting Realistic Targets 为改善绩效进行规划——选择 切合实际的具 体目标 5 1 Conducting a Readiness Assessment 实施就绪 度评价 3 Selecting Key Indicators to Monitor Outcomes 选择监测成效的关键指标 7 The Role of Evaluations 评价作用 9 Using Findings 使用发现 2 Agreeing on Outcomes to Monitor and Evaluate 对监测与评价成效达成一致意见 4 Baseline Data on Indicators — Where Are We Today? 指标的基准数 据——我们现在 处于什么情况？ 6 Monitoring for Results 面向结果 的监测 8 Reporting Findings 发现 Sustaining the M&E System Within the Organization 组织内部维持监测与评价系统 10

62. Step 10: Sustaining the M&E System within the Organization 步骤 10: 在组织内部维持监测与评价系统 Planning for Improvement  Selecting Realistic Targets 为改善绩效进行规划——选择 切合实际的具 体目标 5 1 Conducting a Readiness Assessment 实施就绪 度评价 3 Selecting Key Indicators to Monitor Outcomes 选择监测成效的关键指标 7 The Role of Evaluations 评价作用 9 Using Findings 使用发现 2 Agreeing on Outcomes to Monitor and Evaluate 对监测与评价成效达成一致意见 4 Baseline Data on Indicators — Where Are We Today? 指标的基准数 据——我们现在 处于什么情况？ 6 Monitoring for Results 面向结果 的监测 8 Reporting Findings 发现 Sustaining the M&E System Within the Organization 组织内部维持监测与评价系统 10

66. Thank you! 谢谢！