Transcript 国际金融组织贷款项目绩效评价工作介绍

Suggestions for overcoming
deficiencies in evaluation
capacity in China
Min Zhao （赵敏）
Asia-Pacific Finance and Development Center,
Ministry of Finance
Syllabus
 Backgrounds
 Strengths
 Barriers
 Countermeasures
China
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No. 3 biggest economy
Financial crisis
4,000 billion RMB fiscal stimulation policy
The number of poor people is 80 million.
( Per capita income is 1300 RMB)
 How to monitor and evaluate these huge public
expenditure?
Backgrounds
300000
35000
250000
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25000
20000
150000
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100000
50000
10000
0
1978
1981
1984
1987
1990
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2002
2005
Fig.1 Growth of Chinese GDP from 1978-2008 (unit: 100 million US$)
Backgrounds
fiscal expenditure
administration cost
20
07
20
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Fig 2. The Trend Chart of fiscal expenditure and administration cost of China from
1978-2007 (Unit:Billion Yuan)
Backgrounds
 Financial audit and performance-based audit
Performance-based audit is defined as monitoring, evaluating and
verifying by independent organization or individual the reasonability,
economy, effectiveness and efficiency of an economic activity and making
recommendation for improvements
 Performance-based audit focuses not only on
truth of records and compliance with financial
regulations, but also economy, efficiency and
effectiveness.
 Except a pilot project in the City of Shenzhen
since 2002, performance-based audit is not
practiced widely in China.
Backgrounds
 The legislation relating to result-based M&E
(monitoring and evaluation) promulgated by
Ministry of Finance as self-evaluation:
 Guidelines of Result-based Evaluation of National
Capital (MOF, 1999)
 Implementation Guide of Result-based Evaluation of
National Budget (MOF, 1999)
 Comments on Result-based M&E of Budget of
Projects funded by Central Government
Backgrounds
 These administrative orders apply result based
M&E to:
 Budget and expenditure of Banking, equities and
insurance;
 Loans and grants from IFIs;
 Budget of Projects funded by Central Government:
 But not to:
 public sector operation and project expenditure;
 foreign investment by SOEs; or
 government procurement
Backgrounds
Malaysia
Thailand
India, Laos,
Cambodia, India
and Bengal Etc.
Korea
Singapore
China, Vietnam,
Philippine, Mongolia
Nepal
LEAD
BODY
TAIL
Figure 4. The Wild Goose Mode of Development Evaluation
Capacity in Asia
Strengths
 - Stronger political wills
To establish an effective governmental M&E system
has become an urgent need in Chinese government and
also draws growing public attention.
- Better legislate framework
- Stronger technical assistant
- More financial support
- SHIPDET
Barriers
 Less developed financial, budgetary, and accounting
systems for evaluation
 Lack of formal government budget for improving
capacity of related officials
 Short of appropriate faculty with international knowledge
and Chinese practice.
 Weak apprehension of high-level policy makers
 Bad command of evaluation knowledge for officials
 The institutional framework for M&E has not established
yet. The work of M&E is not run in an institutionalized
and regularized way.
Barriers
 Challenges from institutional capacity.
China has less developed financial, budgetary, and
accounting systems, which bring vague knowledge of
the allocation of resources. Because different
government departments have different benefits and
goals, as well as their weak capacity of development
evaluation, it is hard to plan the resource allocation as a
whole. The capacity for a results-based system includes
the ability to measure inputs, activities, and outputs.
Barriers
 Challenges from technique.
Sound technical skills in data collection and analysis, as well as
the matched managerial skills in strategic goal setting and
organizational development are necessary for M&E system’s
sustainability. Prevalently short of basic data base, statistics system,
and e-financial budgeting system, as well as well-trained human
resources of data collecting, monitoring and analyzing are the
strong baffles of improving evaluation capacity. In order to better
management, information and data should be valid and available
while most developing countries prefer not to collect, analyze,
disclose and share data base. However, some projects only have
temporary offices and employees, and when the projects are shut
down it is hard to call these people and information back.
Counter-measures
 - Struggle for more financial support
 - Winn more support from senior officials
 - Cooperate with IFIs and other
international evaluation associates to get
more knowledge
 - Improve citizens’ involvement
 - Emphasize the media’s participation
 - Found a regional capacity center
Counter-measures
 (1) Winning more support from senior officials.
To achieve real benefits, the M&E system
constructing needs the political and financial
support from seniors. To provide performance
information and results to senior management
and program managers is fundamental for them
to gauge the success of their efforts and adjust
policies and programs when needed.
Counter-measures
 (2) Introducing more technical assistance.
As important knowledge tanks, the WB and
ADB have very abundant information,
experience, and experts of evaluation which
could be shared with the developing countries.
Furthermore, some OECD countries have best
practice in strengthening accountability for
results at projects, stimulating improved
managerial performance and introducing the
disciplines of relevant benchmarking at all
management levels.
Counter-measures
 Emphasizing the media’s participation.
Media plays very important role in popularizing the
ideas and methods of M&E, enhancing the supervision
of public services, improving the mass’s capacity and
disseminating the governments information performance.
Therefore the media, which is the bridge connecting
public and governments, should be trained first to
increase the communications of providers and recipients
of public products.
Counter-measures
 Found a regional capacity center.
Based on the past experience, some meaningful programs
should be paid more attention and get strategic growth by the
support of China’s government and IFR. For instance, SHIPDET
should still take the responsibility of constructing capacity for the
whole region in long term. In the near future, based on
strengthening and perfecting the existing mechanisms and training
model of SHIPDET, China is actively integrating domestic and
foreign resources to turn SHIPDET into the “Regional Evaluation
Capacity-Building Center”.
(1) Training
(2) Practice spreading
(3) Study
(4) Network Building
Counter-measures
 Enhancing the professionals’ capacity.
Well trained staff and managers are also very
essential to build an evaluation system. Now
many government officials have little knowledge
of evaluation ideas and methods, few
independent evaluation institutions or training
organizations. Therefore, it is very necessary for
universities, institute and government sectors to
work together on researching, training, and
popularizing evaluation concepts and
approaches.
Counter-measures
Take an active part in communicating and
cooperating with international communities
 Promote China’s results-based management concept,
present the achievements of SHIPDET and
exchange experience in carrying out pilot programs
using the 3rd High Level Forum on Development Aid
Project Performance, Annual Meeting of Community
of Practice on Development Results Management,
and International Seminar on China IFIs Performance
Management
Counter-measures
 Comments on Result-based M&E of Budget of Projects funded by
Central Government have incorporated the following approaches:
 Self-evaluation guide to project implementation parties for reporting to MOF;
 MOF playing an supervisory role, policy making, incorporation of evaluation
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findings and recommendations to improve budgeting, approval of budget and
disbursement;
Principles: due attention to social, economic and environmental benefits;
objectivity and impartiality; procedure in compliance with regulations and
administrative orders; and policy orientation
Three stages: before (worth, benefits, risks, etc), during (management
regulations, use of funds, availability of funding, progress and quality,
environmental impact, etc) and after (effectiveness, efficiency, impact and
sustainability) implementation, with different focus;
Qualitative and quantitative indicators attached to the order;
Use of findings;
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