模塊1：了解推動(dòng)發(fā)展評(píng)價(jià)的問題

Chapter1:

UnderstandingIssuesDrivingDevelopmentEvaluation

模塊1：了解推動(dòng)發(fā)展評(píng)價(jià)的問題OECDDevelopedCountries經(jīng)合組織發(fā)達(dá)國家DevelopingCountries發(fā)展中國家Today今天Wherearewe?我們處于什么水平?1Introduction

導(dǎo)言EvaluationinDevelopedCountriesandDevelopingCountries:AnOverview發(fā)達(dá)國家與發(fā)展中國家的評(píng)價(jià)概覽

EmergingDevelopmentIssues:WhatAretheEvaluationImplications?

新出現(xiàn)的發(fā)展問題：評(píng)價(jià)的意義是什么？2EvaluationinOECDDevelopedCountries

經(jīng)合組織發(fā)達(dá)國家的評(píng)價(jià)Largemajorityofthe30OECDcountriesnowhavematureM&Esystems30個(gè)經(jīng)合組織國家中，大多數(shù)現(xiàn)在都有了成熟的監(jiān)測(cè)與評(píng)價(jià)體系Manyoftheearliestadoptershad:很多最早的采納國有democraticpoliticalsystems民主的政治體制strongempiricaltraditions強(qiáng)大的實(shí)證傳統(tǒng)civilservantstrainedinthesocialscience受過社會(huì)科學(xué)培訓(xùn)的公務(wù)員efficientadministrativesystemsandinstitutions高效的行政管理系統(tǒng)和制度3EvaluationCulture:

9Criteria

評(píng)價(jià)文化的9條準(zhǔn)則Evaluationtakesplaceinmanypolicydomains評(píng)價(jià)出現(xiàn)在許多政策領(lǐng)域Evaluatorsspecializingindifferentdisciplineswhohavemasteredmethodsandconductdisciplines評(píng)價(jià)人員有不同學(xué)科領(lǐng)域的專業(yè)背景，精通方法，行為紀(jì)律良好Nationaldiscourseonevaluationadjustedtothespecificnationalenvironment各國對(duì)評(píng)價(jià)的論述應(yīng)視各國具體環(huán)境而定(continuedonnextslide)（轉(zhuǎn)下頁）4EvaluationCulture:

9Criteria(cont.)

評(píng)價(jià)文化的9條準(zhǔn)則（續(xù)）Thereisaprofessionwithsocietiesorfrequentattendanceatmeetingsofinternationalsocietiesfordiscussionofnormsandethicsoftheprofession能形成一個(gè)職業(yè)，經(jīng)常出席國際協(xié)會(huì)的會(huì)議，討論職業(yè)規(guī)范和職業(yè)道德Institutionalarrangementsingovernmentforconductingevaluationsanddisseminatingtodecisionmakers有開展評(píng)價(jià)和向決策者傳播的政府制度安排(continuedonnextslide)（轉(zhuǎn)下頁）5EvaluationCulture:

9Criteria(cont.)

評(píng)價(jià)文化的9條準(zhǔn)則（續(xù)）Institutionalarrangementspresentinlegislativebodyforconductingevaluationsanddisseminatingtodecisionmakers立法機(jī)關(guān)有進(jìn)行評(píng)價(jià)和向決策者傳播的制度安排ElementofPluralismwithinpolicydomainsexists政策領(lǐng)域存在多元化要素EvaluationactivitiestakeplacewithinSupremeAuditInstitution評(píng)價(jià)活動(dòng)在最高審計(jì)機(jī)構(gòu)里進(jìn)行Focusonprogramorpolicyoutcomesaswellasinput/outputortechnicalproduction注重計(jì)劃或政策結(jié)果和投入/產(chǎn)出或者技術(shù)生產(chǎn)6Approaches

方法Whole-of-Government政府整體法Enclave局部法Mixed混合法SkipApproachDetails

跳過方法細(xì)節(jié)7Whole-of-GovernmentApproach

政府整體法AdoptedinsomeearlyM&Epioneercountries被一些早期的監(jiān)測(cè)與評(píng)價(jià)先驅(qū)國家采用Broad-based,comprehensiveM&Eatalllevelsofgovernment在政府的所有層面進(jìn)行全面廣泛的監(jiān)測(cè)與評(píng)價(jià)MillenniumDevelopmentGoalshavecreatedimpetusinmanydevelopingcountries千年發(fā)展目標(biāo)為許多發(fā)展中國家提供了動(dòng)力Challengingincountrieswheredifferentministriesareatdifferentstages對(duì)于不同部委處于不同階段的國家來說具有挑戰(zhàn)性8EnclaveApproach

局部法Focusedononepartorsectorofthegovernment(oneministryorcabinet)重點(diǎn)關(guān)注政府的一部分或一個(gè)部門（一個(gè)部委或內(nèi)閣）Strategy:戰(zhàn)略：beginwithlocal,state,orregionalgovernmentallevel從地方、州或地區(qū)政府層面開始pilotingevaluationsystemsinafewkeyministriesoragencies在幾個(gè)關(guān)鍵部委或機(jī)構(gòu)進(jìn)行評(píng)價(jià)試點(diǎn)9MixedApproach

混合法Blendedwhole-of-governmentandenclave將政府整體法與局部法結(jié)合起來Someareashavecomprehensiveapproach;othersmoresporadicattention有些地區(qū)需要全面的方法；其它則需要部分關(guān)注10EvaluationinDevelopingCountries

發(fā)展中國家的評(píng)價(jià)Facechallengessimilaranddifferentfromdevelopedcountries面臨與發(fā)達(dá)國家既相似又不同的挑戰(zhàn)Weakpoliticalwillmayslowprogress薄弱的政治意愿可能會(huì)減緩進(jìn)展Difficultiesininter-ministerialcooperationandcoordinationcanimpedeprogresstowardstrategicplanning部委間合作協(xié)調(diào)的困難會(huì)妨礙向戰(zhàn)略規(guī)劃的進(jìn)展11EvaluatingSystemsinDevelopingCountries

發(fā)展中國家的評(píng)價(jià)體系Newevaluationsystemsneed:新的評(píng)價(jià)體系需要：highlyplacedchampionswillingtoassumepoliticalrisks位居要職的支持者愿意承擔(dān)政治風(fēng)險(xiǎn)credibleinstitutions可靠的機(jī)構(gòu)foundationforevaluation:評(píng)價(jià)的基礎(chǔ)basicstatisticalsystemsanddata基礎(chǔ)統(tǒng)計(jì)體系與數(shù)據(jù)appropriatequalityandquantityofdata數(shù)據(jù)的質(zhì)量與數(shù)量適當(dāng)baselinedata基線數(shù)據(jù)12CapacityDevelopmentforEvaluation

評(píng)價(jià)的能力發(fā)展DevelopingCountries:發(fā)展中國家：needtechnicalandsocialscience-basedevaluation需要基于技術(shù)和社會(huì)科學(xué)的評(píng)價(jià)developmentorganizationscreatingdevelopmentnetworks建立發(fā)展網(wǎng)絡(luò)的發(fā)展機(jī)構(gòu)13OtherProblemsforEvaluationin

DevelopingCountries

發(fā)展中國家進(jìn)行評(píng)價(jià)的其它問題Twobudgetsystems:兩個(gè)預(yù)算系統(tǒng)：recurrentexpenditures經(jīng)常性開支capital/investmentexpenditures資本/投資支出Whole-of-Governmentapproachmaybetoodifficultatoutset政府整體法在剛開始時(shí)可能過于困難14Patton’sRecentTrends

巴頓的最近趨勢(shì)Evaluationasaglobalprofession評(píng)價(jià)，作為一種全球性的職業(yè)Studiestostreams(Rist)對(duì)趨勢(shì)的研究（瑞斯特）Newcomplexityinevaluation(commandandcontrol）評(píng)價(jià)的新復(fù)雜性（命令與控制）Movetomoreformative-likesituations朝著更加格式化的形勢(shì)發(fā)展15ChangesinResponsetoEmergingIssues

隨著新出現(xiàn)的問題發(fā)生的變化Globalization全球化Growingincidenceofconflict沖突的發(fā)生率增加Terrorismandmoneylaundering恐怖主義和洗錢Wideninggapbetweenrichandpoor貧富差距加大Moredevelopmentplayers更多的發(fā)展參與者Drivetowarddebtreduction目標(biāo)是減少債務(wù)Focusonimprovedgovernance重點(diǎn)是改進(jìn)治理Drivetowardcomprehensive,coordinated,participatorydevelopmentwithresults努力實(shí)現(xiàn)以結(jié)果為導(dǎo)向的全面、協(xié)調(diào)、參與性的發(fā)展16ItemsatTopofInternational

DevelopmentAgenda

國際發(fā)展議程中的重點(diǎn)項(xiàng)目Thirteenitemsattopofdevelopmentagenda發(fā)展議程中有13個(gè)重點(diǎn)項(xiàng)目BeginwithMillenniumDevelopmentGoals(MDGs)從千年發(fā)展目標(biāo)開始17MillenniumDevelopmentGoals(MDG)

千年發(fā)展目標(biāo)（MDG）Eradicateextremepovertyandhunger消除極端貧困與饑餓Achieveuniversalprimaryeducation普及全球基礎(chǔ)教育Promotegenderequalityandempowerwomen促進(jìn)兩性平等，并賦予婦女權(quán)力Reducechildmortality降低兒童死亡率Improvematernalhealth改善產(chǎn)婦保健CombatHIV/AIDs,malaria,andotherdiseases抑制艾滋病、瘧疾及其它疾病Ensureenvironmentalsustainability確保環(huán)境的可持續(xù)發(fā)展Developaglobalpartnershipfordevelopment在全球開展發(fā)展方面的合作18MDG’sandM&E

千年發(fā)展目標(biāo)和監(jiān)測(cè)與評(píng)價(jià)Drivingdevelopingcountriestobuildevaluationcapacityandsystems推動(dòng)發(fā)展中國家建設(shè)評(píng)價(jià)能力與體系Developmentorganizationscalledupontoprovidetechnicalassistance呼吁發(fā)展組織提供技術(shù)援助19MonterreyConsensus

蒙特雷共識(shí)Financingfordevelopment為發(fā)展提供資金March2002—170countries,50headsofstate2002年3月，170個(gè)國家，50名國家首腦Recognizedtheneedforgreaterfinancialassistancetoraisestandardsofthepoorestcountries達(dá)成共識(shí)：需要為提高最貧窮國家的生活水平提供更大的資金援助DidNOTsetanyfirmgoals未設(shè)定任何硬性目標(biāo)20MonterreyConsensusandM&E

蒙特雷共識(shí)和監(jiān)測(cè)與評(píng)價(jià)StressedmutualresponsibilitiesinthequestforMDGs強(qiáng)調(diào)了實(shí)現(xiàn)千年發(fā)展目標(biāo)的共同責(zé)任Calledondevelopingcountriestoimprovetheirpoliciesandgovernance呼吁發(fā)展中國家改進(jìn)政策和改善治理Askeddevelopedcountriestostepuptheirsupport-openmarkets,more,betteraid要求發(fā)達(dá)國家加大支持力度——開放市場(chǎng)，更多更好的援助21ParisDeclarationonAidEffectiveness

《援助實(shí)效問題巴黎宣言》Agreementtoincreaseeffortsformanagingaidtodevelopingcountries同意加強(qiáng)對(duì)發(fā)展中國家援助的管理March2005—morethan100ministers,headsofagenciesandotherseniorofficials2005年3月，100多位部長(zhǎng)、機(jī)構(gòu)負(fù)責(zé)人和其他高級(jí)官員Monitorableactionsandindicatorstotrackprogresstowardseffectiveaid設(shè)立可監(jiān)測(cè)的行動(dòng)和指標(biāo)來追蹤援助成效Fivekeyprinciples五個(gè)關(guān)鍵原則:ownership,alignment,harmonization,managingforresults,andmutualaccountability所有權(quán)，結(jié)盟，和諧，成果管理，互相負(fù)責(zé)22ParisDeclarationandM&E

巴黎宣言和監(jiān)測(cè)與評(píng)價(jià)2007surveyfound:

2007年的調(diào)查發(fā)現(xiàn):increasedawarenessandpromoteddialoguetoimprovedeliveryofaid意識(shí)增強(qiáng)，加強(qiáng)了有關(guān)改善援助提供的對(duì)話costofaidhigh,slowpacetochangedevelopmentorganizationattitudes援助成本高，改變發(fā)展機(jī)構(gòu)態(tài)度的步伐緩慢needtostrengthendevelopmentstrategies需要加強(qiáng)發(fā)展戰(zhàn)略changeinvolvesnewcosts進(jìn)行變革就需要新的成本shoulduseperformanceassessmentframeworksandresults-orientedreporting應(yīng)該使用績(jī)效評(píng)估框架和以結(jié)果為導(dǎo)向的匯報(bào)needmoremonitoringsystems需要更多的監(jiān)測(cè)體系23DebtInitiativeforHIPC

重債窮國減債計(jì)劃Proposedin1996byWorldBankandIMF由世界銀行和國際貨幣基金組織于1996年提出Intendedtoreduceexternaldebttosustainablelevelsforcountriesthatpursueeconomicandsocialpolicyreform旨在使進(jìn)行經(jīng)濟(jì)和社會(huì)政策改革的國家的外債減少到可承受的水平Endorsedby180countries,27countriesreceivingHIPC(2006)得到180個(gè)國家的通過，27個(gè)國家列為重債窮國（2006年）Linkedtolargercomprehensivenationalpovertyreductionstrategies與更大范圍的全面的國家減貧戰(zhàn)略聯(lián)系在一起24HIPCandM&E

重債窮國和監(jiān)測(cè)與評(píng)價(jià)Drivingcreationofevaluationcapacity推動(dòng)評(píng)價(jià)能力的形成Countriesmustcommittoaccountabilityandtransparencythrough:monitoring,evaluation,andachievements國家必須通過監(jiān)測(cè)、評(píng)價(jià)和成就致力于責(zé)任機(jī)制和透明化Providinggrantsraisesnewissuesandquestionsforevaluators救助金的提供給評(píng)價(jià)人員提出了新的問題25EmergenceofNewActors

新參與者的出現(xiàn)Largefoundations:大型基金會(huì)：TheBillandMelindaGatesFoundation比爾及梅林達(dá).蓋茨基金會(huì)TheFordFoundation福特基金會(huì)TheBuffetFoundation巴菲特基金會(huì)SorosFoundation/OpenSociety

索羅斯基金會(huì)/開放社會(huì)基金Nowapartofthedialogueoverglobal/country/sector-wideprojects,programs,andpolicies現(xiàn)在是全球/國家/部門范圍內(nèi)的項(xiàng)目、計(jì)劃和政策對(duì)話的一部分Mustbecomepartoftheprocesstodesignanddevelopevaluations必須成為評(píng)價(jià)設(shè)計(jì)和發(fā)展過程的一部分26ConflictPreventionandPost-ConflictReconstruction

沖突預(yù)防和沖突后的重建Currentlyconflictaffectsover1billionpeople目前沖突影響了10億多人Mostconflictsdifficulttoend大多數(shù)沖突很難結(jié)束Globalcostsgreat全球代價(jià)巨大Povertyacauseandconsequenceofconflict貧困是沖突的一個(gè)原因和后果Post-conflictreconstructionrequirescoordinationoflargenumbersofdonors沖突后的重建需要很多捐助方的協(xié)調(diào)努力infrastructure,institutionbuilding,technicalassistance,democracy&elections,NGOsandcivilsociety,civilianpolice,etc.基礎(chǔ)設(shè)施、機(jī)構(gòu)建設(shè)、技術(shù)援助、民主和選舉、非政府組織和民間社團(tuán)、民警，等27ConflictPrevention

沖突的預(yù)防Conflictanalysisandsensitivity沖突分析與敏感性Greateremphasison:更加強(qiáng)調(diào)social,ethnic,andreligiouscommunitiesandrelations社會(huì)、種族和宗教社區(qū)與關(guān)系governanceandpoliticalinstitutions治理與政治制度humanrights人權(quán)Security安全economicstructuresandperformance經(jīng)濟(jì)結(jié)構(gòu)與績(jī)效theenvironmentandnaturalresources環(huán)境與自然資源externalfactors外部因素28Post-ConflictReconstructionandM&E

沖突后的重建與評(píng)價(jià)Newlevelofdifficulty新的困難程度Multi-sectorprogramsfundedby50-80bilateralandmultilateraldevelopmentorganizations由50-80個(gè)雙邊和多邊發(fā)展機(jī)構(gòu)資助的多部門計(jì)劃Evaluatorsmustexaminetheimpactanddonorcoordinationprocess評(píng)價(jià)人員必須考察沖突的影響和援助方的協(xié)調(diào)進(jìn)程Untraditionalareas:非傳統(tǒng)領(lǐng)域：de-mining,demobilization,reintegrationofex-combatants清除地雷，復(fù)員，前戰(zhàn)斗人員的重整Waystopreventconflictsfromerupting預(yù)防沖突爆發(fā)的方法29Governance

治理Governanceprogramsseektopromote:治理計(jì)劃尋求促進(jìn)：anti-corruption,publicexpendituremanagement,civilservicereform,judicialreform,administration,decentralization,e-governmentandpublicservicesdelivery反腐敗、公共支出管理、公務(wù)員體制改革、司法改革、行政管理、分權(quán)化、電子政務(wù)和公共服務(wù)的提供Measuresofcorruption:TransparencyInternational(TI)“CorruptionPerceptionIndex”腐敗的衡量：國際透明組織（TI）的“腐敗感知指數(shù)”Developmentorganizationsandevaluatorscanusethesetomeasureaideffectiveness發(fā)展機(jī)構(gòu)和評(píng)價(jià)人員可以利用它們來衡量援助效果30Anti-MoneyLaunderingandTerroristFinancing

反洗錢和恐怖主義融資Convertingortransferringproceedsofcriminalactivitywiththeintenttoconcealordisguisetheoriginoftheproperty對(duì)犯罪活動(dòng)的收益進(jìn)行兌換或轉(zhuǎn)賬，旨在隱瞞或掩飾財(cái)產(chǎn)來源Seriousandgrowinginternationalproblem成為嚴(yán)重的國際問題，問題還越來越多TheOECD’sFinancialActionTaskForce(FATF)onMoneyLaundering經(jīng)合組織反洗錢金融行動(dòng)特別工作組MonitoringandevaluationisapartoftheFATFmandatecarriedoutmultilaterally,bypeerreview,andbymutualevaluation監(jiān)測(cè)和評(píng)價(jià)是反洗錢金融行動(dòng)特別工作組綱領(lǐng)的一部分，通過同行評(píng)議和相互評(píng)價(jià)多邊開展31Worker’sRemittances

勞工匯款Definition:moneysentbyworkersatadistancetosomeoneathome定義：遠(yuǎn)方工作的人匯給家人的錢Risingtrend:globalremittancetotalgreaterthanODAassistance上升趨勢(shì)：全球匯款總額大于官方發(fā)展援助Tendtobemorestablethanprivatecapitalflows往往比私人資本流動(dòng)更加穩(wěn)定Strongimpactonpovertyreduction對(duì)減貧有強(qiáng)烈影響Developmentorganizationsseekingtofindwaystotrackthesetrendsandcapitalizeonthem發(fā)展機(jī)構(gòu)旨在尋找某些方法來跟蹤并利用這些趨勢(shì)Evaluatorsneedwaystostudytheimpact評(píng)價(jià)者需要研究這些影響的方法32Gender

性別Gender:sociallyconstructedrolesascribetofemalesandmales性別：屬于女性和男性的社會(huì)角色Genderanalysis:accessandcontrolmenandwomenhaveoverresourcesandsystematicwaytodetermineneeds,preferences,andimpact性別分析：男性和女性對(duì)資源的使用權(quán)和控制權(quán)以及決定需求、偏好及影響的系統(tǒng)方法TrendfromWID—toGenderandDevelopment—toGenderMainstreaming從婦女參與發(fā)展（WID）到社會(huì)性別與發(fā)展（GAD）到性別觀點(diǎn)主流化33GenderandM&E

性別和監(jiān)測(cè)與評(píng)價(jià)ProgressingenderequalityandempowermentofwomenincludedintheMDGs千年發(fā)展目標(biāo)包括促進(jìn)性別平等和給婦女賦予權(quán)利specificgoals,targets,indicators具體目標(biāo)和指標(biāo)OECD’sDACoutlinesguidingquestions經(jīng)合組織的發(fā)展援助委員會(huì)概述了指導(dǎo)性問題Genderbudgeting性別預(yù)算34PSDandInvestmentClimate

私營部門的發(fā)展（PSD）與投資環(huán)境Manyissueswithinprivatesectordevelopment(PSD)andinvestmentclimateinpovertyreduction私營部門的發(fā)展（PSD）和減貧投資環(huán)境存在許多問題povertyreduction減貧Privatization私有化privateparticipationininfrastructureservices私營部門參與基礎(chǔ)設(shè)施服務(wù)creationofmicro-,small-,andmedium-sizedenterprises(SME)創(chuàng)辦微型和中小型企業(yè)（SME）supportformicroandSMEfinance支持微型和中小型企業(yè)融資stimulatingentrepreneurship激發(fā)企業(yè)家精神35PSD,Investment,andM&