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United Nations Development Programme Evaluation Office (UNDP/EO) Chinese National Center for Science and Te c h n o l o gy Evaluation (NCSTE) The World Bank Operations Evaluation Depart m e n t / World Bank Institute (OED/WBI) Public Disclosure Authorized EVALUATION CAPACITY DEVELOPMENT IN ASIA Public Disclosure Authorized Public Disclosure Authorized Public Disclosure Authorized EVALUATION CAPACITY DEVELOPMENT IN ASIA Selected Proceedings from the International Conference B e i j i n g, October 1999 Edited by Khalid Malik and Christine Roth United Nations Development Programme Evaluation Office (UNDP/EO) Chinese National Center for Science and Te c h n o l o gy Evaluation (NCSTE) The World Bank Operations Evaluation Department and World Bank Institute (WBI) The views expressed in this report are those of the authors and do not necessarily represent those of the United Nations or the United Nations Developement Programme. © Evaluation Office 2000 Evaluation Office United Nations Developement Programme One United Nations Plaza New York, NY 10017, USA Design: Julia Ptasznik, Colonial Communications Corp. Cover Photograph: David Kinley/UNDP CONTENTS Foreword .......................................................................................................... v Acronyms ....................................................................................................... vii Executive Summary ........................................................................................ ix P a rt I: The Evolving Context for ECD 1. Opening Speech .............................................................................................. 3 Ms. Den Nan, Vice Minister of Science and Technology of PRC 2. Opening Statement: The New Dimensions of ECD in International Development .................... 5 Mr. Khalid Malik, Director, UNDP Evaluation Office 3. The Asia Perspective in Evaluation Capacity Development: The Challenges of the New Millennium ........................................................9 Mr.Adil Khan 4. Aid Evaluation:A Donor Perspective .......................................................... 19 Mr.Niels Dabelstein, Head of Evaluation Secretariat, DANIDA, OECD/DAC WP P a rt II: Evaluation of Performance Management in the Public Sector 5. Results Based Management in the Development Cooperation Agencies: A review of Experience ........................................... 23 Ms. Annette Binnendijk, Consultant UNDP 6. Evaluation Capacity Development in the People’s Republic of China: Trends and Prospects ...................................... 39 Mr. Ray Rist, Evaluation Advisor,World Bank 7. Evolution of Evaluation in the People’s Republic of China ........................ 45 Mr.Peter C. Darjes, Operations Manager, Asian Development Bank 8. Linking Evaluation to Policy Formulation and Budget Processes – Lessons Learned from Australia ...................................49 Mr.Leonard J. Early, Depatment of Finance – Australian Public Sector 9. Public Performance Evaluation and Improvement ..................................... 55 Mr. Marc Holzer, Executive Director, National Center for Public Productivity, NJ - USA ASIAN PERSPECTIVE IN EVALUATION CA PACITY DEVELOPMENT: The Challenges of the New Millennium i i i P a rt III: A) Monitoring Evaluation in a Results-Based Management A p p r o a c h B) Evaluation Initiatives in Science and Te c h n o l o gy 10.Evaluation Parternships ............................................................................... 65 Mr.Niels Dabelstein , Head of Evaluation Secretariat DANIDA, OECD/DAC WP 11.Evaluation Tools and Methodologies:Case Studies ...................................69 Mr. Jacques Toulemonde, Director, Centre for European Evaluation Expertise 12.Evaluation Initiatives in Science and Technology Programs ..................... 77 Mr.Rustam Lalkaka, President, Business & Technology Development Strategies 13.Review of Draft of Science and Technology Evaluation Standard of China ................................................. 91 Ms. Chen Zhaoying,Vice President NCSTE P a rt IV: ECD Opportunities for National Initiatives and International Cooperation 14.Guide to Diagnosing ECD Needs: Video Speech ...................................... 97 Mr. Keith Mackay, Senior Evaluation Officer,World Bank Institute P a rt V: Meeting W r a p - U p 15.Meeting Wrap-Up ...................................................................................... 103 Ms. Christine Roth, Evaluation Advisor, UNDP P a rt VI: A n n e x e s Annex 1.List of Participants ...................................................................... 107 Annex 2.Conference Agenda ..................................................................... 111 i v E V A L UATION CA PACITY DEVELOPMENT IN ASIA: Selected Proceedings from the International Conference in Beijing FOREWORD There is growing awareness in both developed and developing countries of the potential role that evaluation can play in improving the quality of public sector decision-making. Evaluation is becoming recognized as particularly important in promoting transparency and accountability; in some instances, it is even viewed as an integral part of responsible civic action and civil society development. Concurrent with the increasing interest in evaluation as a component of public sector development and civil service reform, evaluation capacity development (ECD) is being placed on the agenda of cooperat i o n between developing countrie s and development assistance agencies. The development of national evaluation capacities can be a critical component of efforts to strengthen the responsiveness of public management systems to both internal and external demands for transparency, effectiveness and a results orientation. Therefore, the World Bank, for example, organized a high-level seminar in Abidjan, Côte d’Ivoire, in 1998, during which senior officials from various African countries and international development assistance agencies looked at the status – and helped to plan the future – of monitoring and evaluation (M&E) capacity development in Africa. In the past few yea r s , UNDP has also been parti c u l a r ly active in the field of ECD. A survey of existing national M&E systems was undertaken in more than fifteen programme countries. In collaboration with national entities, recommendations were made to strengthen the effectiveness of these systems. In this context, the United Nations Development Programme and the Chinese National Center for Science and Technology Evaluation co-sponsored the Beijing Conference on Evaluation Capacity Development (ECD) with strong support from the World Bank. The conference, which was held 27-28 October 1999, focused particularly on issues of performance management and public sector reform. Par ticipants debated intensely on such issues as tran s p a re n c y and the independence of the eva l u a t i o n function and, as a coroll a r y, the cha l lenges of introducing a culture of eva l u a t i o n at the national level . Some of these cha l lenges stem from the political environment and the need to develop an appreciation at decision-making level of the importance of and the need for evaluation. Other challenges are linked to the systemic problems of institutionalizing and integrating evaluation into the government machinery and the weakness of internal capacities, human and financial, necessary to support a professional cadre of evaluators. The development of national capacities in evaluation requires strong alliances and partnership-building. Conference participants, aware of the benefits of such relationships, showed strong interest in launching an international development eva l u a t i o n association to help forging links with evaluators engaged in devel o pm e n t related activities in both donor and programme countries and support individual efforts of countries interested in creating such an association at the national level. UNDP and the World Bank emerged as the main promoters of this international association. Another topic of considerable interest for the Conference was the work carried out by aid agencies on the interface between results-based management (RBM) and monitoring and evaluation in connection with public sector reform and good F O R E W O R D V govern an c e. Despite the enormous methodological di v i d e n d s . In parti c u l a r ,the Confe r nce highligted the and techn i c al cha l lenges linked to this management strong potential for maximizing synergies between approach, results orientation in the public sector is the work of devel o p ment agencies,de vel o p ment banks clearly the way of the future. and national entities to promote the role of eva l u a t i o n as part of good gover nance and public sector ref o rm . Gi v en the high level of parti c i p a t i o n and interest in the topics debated during the Confe re n c e , it is cle a r It is hoped that the insight contained in the formal that the rel a t i ve l y modest investment made to finance presentations of this volume will stimulate further the Conference has the potential for yielding big discussions and developments in the field of ECD. A C K N O W L E D G M E N T S The sponsors of this conference were: ■ The United Nations Development Programme Evaluation Office (UNDP/EO) ■ The National Center for Science and Technology Evaluation (NCSTE) ■ The World Bank Operations Evaluation Department and World Bank Institute (WBI) Special thanks go to Professor Fang Yan and Christine Roth for their dedicated work in organizing the Conference.