Ten Steps to a Results-Based Monitoring and Evaluation System

Jody Zall Kusek

Description

An effective state is essential to achieving socio-economic and sustainable development. With the advent of globalization, there are growing pressures on governments and organizations around the world to be more responsive to the demands of internal and external stakeholders for good governance, accountability and transparency, greater development effectiveness, and delivery of tangible results. Governments, parliaments, citizens, the private sector, NGOs, civil society, international organizations and donors are among the stakeholders interested in better performance. As demands for greater accountability and real results have increased, there is an attendant need for enhanced results-based monitoring and evaluation of policies, programs, and projects.
This Handbook provides a comprehensive ten-step model that will help guide development practitioners through the process of designing and building a results-based monitoring and evaluation system. These steps begin with a "Readiness Assessment" and take the practitioner through the design, management, and more importantly, the sustainability of such systems. Ten Steps to a Results-Based Monitoring and Evaluation System describes each step in detail, the tasks needed to complete each one, and the tools available to help along the way.

Sujets

• Governance
• Transparency
• Accountability
• Performance measurement
• Poverty reduction

Informations

• Publié par: world-bank-publications
• Publié le: 15 juin 2004
• Nombre de lectures: 17
• EAN13: 9780821389072
• Langue: English
• Poids de l'ouvrage: 8 Mo

Extrait

A Handbook for Development Practitioners
Ten Steps
to a
Results-
Based
Monitoring
and
Evaluation
System
Jody Zall Kusek
Ray C. Rist
THE WORLD BANKA Handbook for Development Practitioners
Ten Steps
to a
Results-Based
Monitoring
and
Evaluation
SystemA Handbook for Development Practitioners
Ten Stepsen Steps
to a
Results-Based
Monitoring Monitoring
and
Evaluation
System
Jody Zall Kusek
Ray C. Rist
THE WORLD BANK
Washington, D.C.© 2004 The International Bank for Reconstruction and Development /
The World Bank
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Washington, DC 20433
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All rights reserved.
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The findings, interpretations, and conclusions expressed herein are those of
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Library of Congress Cataloging-in-Publication Data
Kusek, Jody Zall, 1952–
Ten steps to a results-based monitoring and evaluation system : a hand-
book for development practitioners / Jody Zall Kusek and Ray C. Rist.
p. cm.
Includes bibliographical references and index.
ISBN 0-8213-5823-5
1. Government productivity—Developing countries—Evaluation.
2. Performance standards—Developing countries—Evaluation. 3. Total
quality management in government—Developing countries—Evaluation.
4. Public administration—Developing countries—Evaluation. I. Rist, Ray
C. II. Title.
JF1525.P67K87 2004
352.3′5—dc22 2004045527Contents
Preface xi
About the Authors xiv
Introduction
Building a Results-Based Monitoring and Evaluation System 1
Part I
New Challenges in Public Sector Management 2
International and External Initiatives and Forces for Change 3
National Poverty Reduction Strategy Approach 8
Internal Initiatives and Forces for Change 10
Part 2
Results-BasedM&E—APowerfulPublicManagementTool 11
Monitoring and Evaluation: What Is It All About? 12
Key Features of Traditional Implementation-Focused and Results-
Based M&E Systems 15
Many Applications for Results-Based M&E 17
Political and Technical Challenges to Building a Results-Based
M&E System 20
Introducing the 10-Step Model for Building a Results-Based 23
Where to Begin: Whole-of-Government, Enclave, or Mixed Approach
24
Part 3
M&E Experience in Developed and Developing Countries 27
M&E Experience in Developed and OECD Countries 27
Special M&E Challenges Facing Developing Countries 32
M&E Experience in Developing Countries 35
Chapter 1
Step 1: Conducting a Readiness Assessment 39
Part 1
Why Do a Readiness Assessment? 40
Part 2
The Readiness Assessment: Eight Key Questions 43
Part 3
Readiness Assessments in Developing Countries: Bangladesh, Egypt,
and Romania 48vi Contents
Part 4
Lessons Learned 49
Chapter 2
Step 2: Agreeing on Outcomes to Monitor and Evaluate 56
The Importance of Outcomes 56
Issues to Consider in Choosing Outcomes to Monitor and Evaluate 57
The Importance of Building a Participatory and Consultative Process
involving Main Stakeholders 58
The Overall Process of Setting and Agreeing upon Outcomes 59
Examples and Possible Approaches 61
Chapter 3
Step 3: Selecting Key Performance Indicators to Monitor
Outcomes 65
Indicators Are Required for All Levels of Results-Based M&E Systems 66
Translating Outcomes into Outcome Indicators 66
The “CREAM” of Good Performance Indicators 68
The Use of Proxy Indicators 70
The Pros and Cons of Using Predesigned Indicators 72
Constructing Indicators 74
Setting Indicators: Experience in Developing Countries 75
Chapter 4
Step 4: Setting Baselines and Gathering Data on Indicators 80
Establishing Baseline Data on Indicators 81
Building Baseline Information 82
Identifying Data Sources for Indicators 83
Designing and Comparing Data Collection Methods 84
The Importance of Conducting Pilots 86
Data Collection: Two Developing Country Experiences 89
Chapter 5
Step 5: Planning for Improvement—Selecting Results Targets 90
Definition of Targets 90
Factors to Consider When Selecting Performance Indicator Targets 91
Examples of Targets Related to Development Issues 93
The Overall Performance-Based Framework 94
Chapter 6
Step 6: Monitoring for Results 96
Part 1
Key Types and Levels of Monitoring 98
Links between Implementation Monitoring and Results Monitoring 101
Part 2
Key Principles in Building a Monitoring System 103
Achieving Results through Partnership 105
Needs of Every Results-Based Monitoring System 106
The Data Quality Triangle: Reliability, Validity, and Timeliness 108Contents vii
Analyzing Performance Data 111
Pretesting Data Collection Instruments and Procedures 112
Chapter 7
Step 7: The "E" in M&E—Using Evaluation Information to
Support a Results-Based Management System 113
Uses of Evaluation 115
The Timing of Evaluations 118
Types of Evaluations 121
Characteristics of Quality Evaluations 126
Examples of Evaluation at the Policy, Program, and Project Levels 128
Chapter 8
Step 8: Reporting the Findings 129
The Uses of Monitoring and Evaluation Findings 130
Know and Target the Audience 130
Presentation of Performance Data in Clear and Understandable Form
132
What Happens If the M&E System Produces Bad Performance News?
136
Chapter 9
Step 9: Using the Findings 138
Uses of Performance Findings 138
Additional Benefits of Using Findings: Feedback, Knowledge, and
Learning 140
Strategies for Sharing Information 146
Chapter 10
Step 10: Sustaining the M&E System within the Organization 151
Six Critical Components of Sustaining Results-Based M&E Systems
152
The Importance of Incentives and Disincentives in Sustaining
M&E Systems 155
Possible Problems in Sustaining Results-Based M&E Systems 155
Validating and Evaluating M&E Systems and Information 160
M&E: Stimulating Positive Cultural Change in Governments and
Organizations 160
Last Reminders 160
Chapter 11
Making Results-Based M&E Work for You and Your
Organization 162
Why Results-Based M&E? 162
How to Create Results-Based M&E Systems 165
Summing Up 170viii Contents
Annexes:
Annex I: Assessing Performance-Based Monitoring and Evaluation
Capacity: An Assessment Survey for Countries,
Development Institutions, and Their Partners 174
Annex II: Readiness Assessment: Toward Results-Based Monitoring
and Evaluation in Egypt 178
Annex III: Millennium Development Goals (MDGs): List of Goals
and Targets 200
Annex IV: National Evaluation Policy for Sri Lanka: Sri Lanka
Evaluation Association (SLEva) jointly with the Ministry
of Policy Development and Implementation 204
Annex V: Andhra Pradesh (India) Performance Accountability Act
2003: (Draft Act) (APPAC Act of 2003) 211
Annex VI: Glossary: OECD Glossary of Key Terms in Evaluation and
Results-Based Management (2002) 223
Notes 230
References 231
Useful Web Sites 235
Additional Reading 236
Index 239
Boxes
i.i Millennium Development Goals 4
i.ii Example of Millennium Development Goal, Targets, and
Indicators 5
i.iii Transparency International 6
i.iv The Power of Measuring Results 11
i.v Key Features of Implementation Monitoring versus Results
Monitoring 17
i.vi Australia’s Whole-of-Government Model 29
i.vii France: Lagging Behind bu