Thuat+Ngu+Danh+Gia a-V. Linh

Ph lc 3

Danh mc thut ng nh gi

B K hoch v u t Cm nang Theo di v nh gi - Mun Thc hnh nh gi

Ph lc 3-1

Ph lc 3 Danh mc thut ng nh giBi cnh nh gi l mt lnh vc trong cc i tc pht trin s dng cc ngn ng khc nhau cng lm vic vi nhau, v vy h cn c mt kho t vng chung. Tuy nhin, theo nm thng, nhiu nh ngha li pht trin theo chiu hng ngy cng tr nn phc tp v m h. Do vy, cn lm r v hon thin ngn ng s dng to ra mt nn tng chung hi ha. Mc ch ca Danh mc thut ng nh gi Mc ch ca Danh mc thut ng nh gi l cung cp cc nh ngha v gii thch chung v cc thut ng nh gi nhng ngi lm cng tc nh gi cng nh cc c quan chnh ph c th s dng. Danh mc ny tng hp cc thut ng ca mt s t chc cung cp ODA, nhm cng tc, t chc a phng v ngn hng pht trin a ra trong nhng nm gn y nh OED-WB (c quan bin son Danh mc thut ng ca OECD-DAC), Nhm cng tc nh gi vin tr ca OECD-DAC, Chng trnh pht trin Lin hp quc (UNDP), Qu Pht trin Nng nghip Quc t (IFAD), C quan Hp tc Pht trin Quc t Thy in (SIDA), C quan Pht trin Quc t xtrylia (AusAID), y ban Chu u (EC) v Nhm cc nh ti tr ng chnh kin (LMDG) ti Vit Nam. Cc thut ng trong danh mc ca OED-WB, OECD-DAC v cc n phm ca SIDA c bn thng nht vi nhau nn c th dng lm chun mc cho Danh mc ny. Danh mc cng thng nht vi Danh mc ca OECD-DAC v cc thut ng chnh trong nh gi v nh gi da trn kt qu, ng thi s dng cc thut ng t nhiu ngun khc, ph hp vi nhu cu nh gi. Danh mc thut ngThut ngAccountability / Trch nhim gii trnh

nh nghaL trch nhim ca Chnh ph, cc c quan cung cp dch v cng hoc cc t chc ti tr chng minh vi cc cng dn rng cng vic c thc hin ng vi nhng quy nh v tiu chun thng nht hoc bo co mt cch cng minh v chnh xc v kt qu thc hin lin quan n vai tr v (hoc) k hoch c giao. Trch nhim ny i hi phi chng minh cn thn, thm ch bo v c v mt php l rng cng vic thc hin nht qun vi cc iu khon hp ng. i vi cn b nh gi, l trch nhim cung cp cc bo co theo di v nh gi thc hin mt cch chnh xc, cng minh v ng tin cy. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004), (IFAD 2002) Nhng nhim v c th c thc hin nhm t c cc sn phm u ra theo yu cu ca hot ng u t ODA. Hnh ng hoc cng vic c thc hin thng qua vic huy ng cc yu t u vo nh ngun vn, h tr k thut v cc ngun lc khc to ra nhng sn phm u ra c th. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) Trnh by di dng biu (s Gantt hay biu hnh ct tng t) xc nh cc mc thi gian, trnh t v di thi gian ca cc hot ng trong d n. K hoch hot ng cn c th s dng xc nh cc mc theo di tin , v phn cng trch nhim t c cc mc ny. Cc phng php s dng phn tch, x l v din gii thng tin trong qu trnh nh gi. nh gi tng qut v mc ph hp, tnh kh thi v kh nng bn vng tim nng ca mt can thip pht trin trc khi a ra quyt nh ti tr. Xem: nh gi trc d n. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004)

Activity / Activities Hot ng

Activity Schedule K hoch hot ng Analytical tools Cng c phn tch Appraisal Thm nh


Ph lc 3-2

Thut ngApproach Phng php tip cn Assessment nh gi Assumptions Gi nh

nh nghaCch thc c th c la chn thc hin cc hot ng nhm t c cc sn phm u ra. (UNDP 2002) L mt qu trnh thu thp v phn tch thng tin t a ra nhn xt trn c s cc thng tin ny. (UNDP 2002) L nhng yu t bn ngoi nh cc s kin, iu kin hoc cc quyt nh c th tc ng n tin hoc s thnh cng ca mt chng trnh, d n. Chng cn thit t c cc mc tiu ca d n, nhng phn ln hoc hon ton nm ngoi tm kim sot ca qun l d n. Gi nh c vit di dng cc iu kin tt, thun li. Gi nh ban u l nhng iu kin c cm nhn l thit yu i vi s thnh cng ca mt chng trnh, d n. Gi nh then cht (hay gi nh cht ngi) l nhng iu kin c cho l e da n qu trnh thc hin mt chng trnh, d n. (IFAD 2002) L vic thit lp mi lin h nhn qu gia nhng thay i quan st c, hoc d kin s quan st c vi mt can thip c th. Thuc tnh phn nh mc cc tc ng pht trin quan st c c th quy cho mt can thip c th hoc cho hot ng ca mt hoc mt s bn, c tnh n cc can thip khc, ca cc nhn t gy tht bi [lng trc hoc khng lng trc], hoc ca nhng c sc t bn ngoi. (OED-WB 2001), (OECDDAC 2002), (SIDA 2004) Hot ng m bo khch quan c lp c thit k tng gi tr v hon thin hot ng ca mt t chc. Kim ton gip t chc t c cc mc tiu ca mnh bng cch mang n mt cch tip cn c h thng v c k lut nh gi v nng cao hiu qu cc qu trnh qun l ri ro, kim sot v qun l nh nc. Ghi ch: Cn phn bit gia kim ton (ti chnh) theo lut nh, tp trung vo vic tun th php lut v cc quy nh hin hnh; v kim ton thc hin lin quan n mc ph hp, tc ng, hiu sut v hiu qu. Kim ton ni b a ra nh gi v kim sot ni b do mt n v thc hin v bo co cp qun l, cn kim ton t bn ngoi do mt t chc c lp thc hin. (OEDWB 2001), (OECD-DAC 2002), (SIDA 2004) Biu hnh ct l phng php trnh by thng tin bng th, thng c s dng lp k hoch hot ng hoc biu thi gian. Xem Biu Gantt Thng tin bao gm s kin v s liu thu thp trc khi tin hnh cc hot ng ca d n. Thng tin u k cung cp thng tin ti im xut pht, cn c vo o lng mc t c mc tiu v cc sn phm u ra ca d n. D liu m t nhng iu kin trc khi thc hin d n hoc khi khng c d n. D liu ny l xut pht im cho vic o lng hot ng mt d n. (UNDP 2002). Phn tch m t tnh hnh trc khi bt u thc hin cc hot ng ODA, lm cn c nh gi tin hay so snh. Nghin cu ny l ti liu tham kho quan trng cho nh gi sau d n. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) im hoc tiu chun tham kho c s dng lm c s so snh vic thc hin hoc nhng kt qu t c. Mc chun nh gi c th cp n nhng g t c trc y, t c bi cc t chc tng ng khc, hoc nhng g ng l ra phi t c trong nhng iu kin nht nh. (IFAD 2002) C nhn, nhm hoc t chc, d l i tng mc tiu hay khng, c hng li trc tip hoc gin tip t nhng can thip pht trin. Xem: Nhm tc ng, Nhm mc tiu. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) Thc tin lp k hoch v (hoc) iu hnh chng t thnh cng trong nhng iu kin c th. Thc tin tt nht c s dng chia s bi hc kinh nghim thng qua vic trnh by nhng thnh cng v tht bi, tch ly v p dng kin thc v cch thc v l do m thc tin tt nht c tc dng trong nhng tnh hung v hon cnh khc nhau. Xem: bi hc kinh nghim. (UNDP 2002) Kh nng ca c nhn v t chc thc hin c hiu qu, hiu sut v bn vng.

Attribution Thuc tnh

Audit Kim ton

Bar Chart Biu hnh ct Baseline information Thng tin u k Baseline data D liu u k Baseline study Nghin cu u k Benchmark Mc chun gi

nh

Beneficiaries i tng th hng Best practices Thc tin tt nht

Capacity


Ph lc 3-3

Thut ngNng lc Capacity development / building Pht trin / Tng cng nng lc Causal relationship Quan h nhn qu Cluster evaluation nh gi nhm Co-financing ng ti tr (IFAD 2002)

nh nghaQu trnh cc c nhn, nhm, t chc v quc gia pht trin, nng cao v t chc cc h thng, ngun lc v kin thc ca mnh - tt c c phn nh qua kh nng [ca c nhn hoc tp th] trong vic thc hin cc chc nng, gii quyt vng mc, t ra v t c cc mc tiu. (UNDP 2002) Mi lin kt lgc hoc quan h gia nguyn nhn v kt qu tn ti trong vic t c cc kt qu c quan h ph thuc ln nhau. Nhn chung thut ng ny nhm ch nhng mi lin h hp l nhng khng th th hin bng con s thng k chnh xc. (UNDP 2002) nh gi mt tp hp cc hot ng, mc tiu ca d n v (hoc) chng trnh c mi quan h vi nhau. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) Khi Chnh ph hoc mt nh ti tr ku gi thm mt nh ti tr th hai cung cp mt phn vin tr khng hon li hoc mt phn vn vay u i. ng ti tr cho php cc nh ti tr gim chi ph giao dch ca nhng cc d n ln. Xem: ti tr song song S rng buc vng chc [cn c gi l cam oan] di dng vn bn, c hu thun bng cc ngun ti chnh cn thit do mt nh ti tr thc hin nhm cung cp mt khon ODA nht nh cho mt nc tip nhn vin tr hoc mt t chc a phng. Cam kt song phng c ghi li di dng tng s tin d nh chuyn giao, khng ph thuc vo thi gian hon thnh vic gii ngn. Cam kt vi cc t chc a phng c bo co di dng tng ca (a) cc khon gii ngn trong nm bo co hoc nhng khon gii ngn trc y cha bo co nh cam kt, v (b) nhng khon gii ngn d nh cho nm tip theo. Giai on cui cng trong chu trnh d n, khi xy dng bo co hon thnh d n. Cc bi hc kinh nghim c tng kt v cc hot ng kt thc d n hon tt. C th bao gm c nh gi cui k. (IFAD 2002) L nhn nh hp l trong xc nh cc nhn t thnh cng v tht bi ca can thip c nh gi, c bit quan tm n nhng kt qu v tc ng c ch ch v khng c ch ch, tng qut hn l cc u im hay nhc im. Kt lun c rt ra t qu trnh thu thp v phn tch d liu thng qua mt chui cc lp lun minh bch. (OED-WB 2001), (OECD-DAC 2002) (SIDA 2004) So snh gia chi ph vn u t v chi ph vn hnh vi nhng li ch hoc tc ng trc tip m u t to ra thng qua mt can thip c th no . Phn tch chi ph - li ch s dng nhiu phng php v cng c khc nhau th hin cc kt qu. (IFAD 2002) Mt dng phn tch trong so snh chi ph gia cc phng n khc nhau c cng sn phm u ra hoc c sn phm u ra tng t. Cch phn tch ny thng c s dng trong trng hp kh quy i cc sn phm u ra thnh gi tr tin t [v d trong chnh sch y t, chi ph theo nm tui th tit kim c]. Tnh hnh hoc trng thi c o lng hoc hnh dung khi khng c u t ODA hin ang c nh gi. i khi c gi l kim sot hoc khi khng c d n. Khon ng gp ca pha Vit Nam bng hin vt v gi tr chun b thc hin v thc hin chng trnh, d n ODA. (Ngh nh 131/2006/N-CP) nh gi danh mc h tr pht trin ca mt hay nhiu nh ti tr hoc c quan v chin lc h tr ng sau cc danh mc ny ti quc gia i tc. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004). Cn gi l nh gi H tr Quc gia. Yu t quan trng nm ngoi phm vi ca ODA v tc ng ca nh qun l song li c nh hng n s thnh cng ca mt hot ng. Cc gi nh ban u a ra nhng iu kin cm nhn v s thnh cng ca mt d n. Xem

Commitment Cam kt

Completion Hon thnh Conclusions Kt lun

Cost - benefit analysis Phn tch chi ph - li ch Cost - effectiveness Hiu qu - chi ph

Counterfactual i chng Counterpart funding Vn i ng Country Program Evaluation nh gi chng trnh quc gia Critical assumption Gi nh then cht


Ph lc 3-4

Thut ngGi nh. (IFAD 2002) Data D liu Data collection tools Cng c thu thp d liu Development intervention Can thip pht trin Development objective Mc tiu pht trin Disbursement Gii ngn

nh nghaS kin nh tnh v nh lng c th c o lng hoc thu thp. (UNDP 2002) Mu v k thut s dng xc nh ngun d liu v thu thp d liu phc v cng tc theo di hay nh gi. V d: iu tra chnh thc v khng chnh thc, quan st trc tip v cng tham gia, phng vn cng ng, nhm trng tm, kin chuyn gia, nghin cu tnh hung, tm kim ti liu. (OECD-DAC 2002), (SIDA 2004) Mt d n ODA c mc ch v mc tiu pht trin. V d: h tr ngn sch trc tip, c vn chnh sch, vin tr theo d n, chng trnh v theo ngnh (SWAps). (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) Tc ng c ch ch em li li ch vt cht, ti chnh, th ch, x hi, mi trng, hoc cc li ch khc cho x hi, cng ng hoc mt nhm ngi thng qua mt hoc nhiu can thip pht trin. (OECD-DAC 2002), (SIDA 2004) Gii ngn vn i ng: Gi tr vn i ng (bng tin VN) c gii ngn trong k bo co. Gii ngn vn nh ti tr: Gi tr vn ODA c Nh ti tr chuyn cho CPVN thng qua ti khon c bit/tm ng ca d n hoc chuyn trc tip cho nh thu (theo thng bo rt vn ca Nh ti tr). Thi im gii ngn l thi im vn c chuyn i t ti khon ca Nh ti tr vo ti khon c bit/tm ng ca d n hoc vo ti khon ca nh thu. (Hng dn s dng b mu biu bo co v AMT - MPI/VAMESP II, 2006) Thng bo cc loi ti liu v (hoc) cc loi bo co c t ng cng b rng ri cho cng chng m khng c bt c hn ch no. Thay i c ch hoc khng ch do mt can thip trc tip hoc gin tip. Xem: kt qu (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) Mc t c hoc d kin t c cc mc tiu ca hot ng u t ODA, c xt n tm quan trng tng i ca chng. L php o mc t c cc mc tiu ca d n cp mc ch hay mc tiu; ngha l mc t c hoc d kin t c cc mc tiu lin quan mt cch hiu sut v bn vng ca mt can thip pht trin. (IFAD 2002) Php o v phng din kinh t s chuyn ho cc ngun lc v cc yu t u vo (ngn sch, chuyn mn, thi gian,...) thnh cc kt qu. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) Trong nh gi c s phn bit r rng gia hiu sut u vo v hiu sut u ra; hiu sut u ra cho thy cc hot ng c chuyn ha thnh kt qu nh th no. Mc theo mt hot ng u t ODA hoc cc hp phn ca n c nh gi mt cch khch quan v tin cy. (OECD-DAC 2002), (SIDA 2004), (IFAD 2002) L vic xem xt c h thng nhng nh k v khch quan mt d n, mt chng trnh hay mt chnh sch ang thc hin hoc kt thc v thit k, thc hin v cc kt qu ca chng. Mc ch l xc nh mc ph hp v t c mc tiu, hiu sut pht trin, hiu qu, tc ng v tnh bn vng. nh gi cn cung cp thng tin chnh xc v c ch, cho php s dng nhng bi hc kinh nghim vo qu trnh ra quyt nh ca c bn nhn ti tr ln bn ti tr. nh gi l nhn nh c phn tch nu ln kt qu ca chnh sch cng, t chc hoc chng trnh trong nhn mnh tin cy v tnh hu ch ca nhng pht hin. Xem: Xem xt, Kim im (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) Cn gi l tiu ch thnh cng: mc ph hp, hiu qu, hiu sut, tc ng v tnh bn vng. Trng tm hoc iu khon giao vic ca nh gi di dng cu hi nu r

Disclosure Cng khai ha Effect nh hng Effectiveness Hiu qu

Efficiency Hiu sut

Evaluability Kh nng nh gi Evaluation nh gi

Evaluation Criteria Tiu ch nh gi Evaluation scope


Ph lc 3-5

Thut ngPhm vi nh gi Evaluation team Nhm nh gi Evaluator Cn b nh gi Evidence-based (Phng php) da vo bng chng (c c s) Ex-ante evaluation nh gi u k Ex-poste evaluation nh gi sau d n

nh nghagii hn, ni dung phi phn tch v khng cn phn tch. (UNDP 2002) Nhm cn b TD&G chu trch nhim v lp k hoch chi tit v tin hnh nh gi. Nhm nh gi lm vic vi cc i tc ca Chnh ph Vit Nam vit bo co nh gi. (UNDP 2002) Cn b TD&G tham gia vo tt c cc giai on ca qu trnh nh gi, t vic xc nh iu khon giao vic, thu thp v phn tch d liu cho n vic a ra cc khuyn ngh v thc hin cc bin php iu chnh hoc a ra cc ci tin. (UNDP 2002) S kt hp gia kinh nghim, nh gi v chuyn mn vi nhng bng chng bn ngoi tt nht sn c t cc nghin cu mang tnh h thng; mt mt lin quan n s cn bng gia nhn xt chuyn nghip v kin chuyn mn, mt khc s dng cc bng chng nghin cu c gi tr, ng tin cy v c lin quan. nh gi tin hnh trc khi thc hin mt can thip pht trin. Xem: Thm nh, Cht lng ban u. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) nh gi mt can thip pht trin sau khi hon thnh. Ghi ch: nh gi sau c th thc hin trc tip ngay sau khi kt thc (nh gi cui k) hoc mt thi gian sau khi hon thnh (nh gi tc ng). Mc ch l xc nh cc nhn t thnh cng hay tht bi nh gi tnh bn vng ca kt qu v tc ng, rt ra kt lun v thng bo cho cc can thip khc. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) nh gi mt hot ng u t ODA do cc t chc v/hoc cc c nhn c lp vi nh ti tr v c quan thc hin tin hnh. (OED-WB 2001), (OECD 2002), (SIDA 2004). Xem nh gi c lp Trao i cc bi hc kinh nghim, kt lun hay pht hin thu c t qu trnh nh gi vi cc bn coi nhng thng tin l ph hp v hu ch, qua to iu kin hc hi; Thng tin c th lin quan n vic thu thp v ph bin cc pht hin, kt lun, khuyn ngh v cc bi hc kinh nghim. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) Thng bo c cn c thc t v mt hot ng u t ODA da vo nhng bng chng thu thp c bng kinh nghim thng qua hot ng TD&G. nh gi ci thin tnh hnh thc hin, thng c tin hnh trong giai on thc hin d n hoc chng trnh. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) Nhm cn b TD&G v ngi lnh o nhm l ni lin h u tin trong vic lp k hoch v thc hin cc hot ng TD&G ODA. Biu Gantt l phng php trnh by thng tin bng biu , thng dng lp k hoch hot ng hoc lp thi gian biu, tng t nh Biu hnh ct. M t v sao hot ng u t ODA li quan trng i vi x hi, xt v nhng li ch lu di i vi i tng th hng cui cng v nhng ch li ln hn i vi cc nhm khc. Mc ch gip ch ra lm th no u t ODA ph hp vi cc chnh sch vng/ngnh ca Chnh ph/cc t chc c lin quan. Mc ch s khng th t c nu ch u t bng ngun vn ODA. Ngun vn ny ch ng vai tr h tr cho vic t c mc ch. Lgc chiu ngang [ca ma trn khung lgc] xc nh cch o lng cc mc tiu nu trong phn m t d n [ct 2], v cc phng tin kim chng kt qu o lng [ct 3]. Lgc chiu ngang to khung kh cho cng tc TD&G d n. Xem: lgc chiu dc. (AusAID 2003) Qu trnh hnh thnh tng cho cc d n c kh nng thc hin, c sng lc theo cc tiu ch chin lc nhm xc nh xem nhng tng no c s dng cho u t. y l giai on xy dng chnh sch khi phn tch nhu cu v thm nh cc phng n c a ra xem xt. nh hng ca chng trnh i vi mt mi trng rng hn v ng gp ca n vo cc mc tiu ln hn hoc cc mc tiu tng qut. Cc nh hng tch cc v tiu cc, nguyn pht v th pht tm di hn do s can thip pht

External evaluation nh gi t bn ngoi Feedback Thng tin phn hi

Finding Pht hin Formative evaluation nh gi nh hnh Focal Point u mi Gantt Chart Biu Gantt Goal Mc ch

Horizontal logic Lgc chiu ngang

Identification Xc nh Impact(s) Tc ng


Ph lc 3-6

Thut ng

nh nghatrin no to ra, trc tip hay gin tip, c ch ch hay khng ch ch. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) nh gi nh hng c ch ch hoc khng ch ch ca hot ng u t ODA nhm phn bit nhng thay i nh s can thip ca chng trnh, d n vi nhng thay i do cc tc nhn t bn ngoi to ra. Ni mt cch khc, nh gi tc ng nhm nh gi nhng g xy ra l kt qu ca d n, chng trnh v nhng g c th xy ra khi khng c d n, chng trnh . (PARC, UK) nh gi c ch nh hoc khng ch nh trong tp trung vo tc ng hoc cc kt qu rng hn v di hn ca mt chng trnh. V d, mt nh gi tc ng c th ch ra t l t vong ca tr s sinh mt cng ng gim i l kt qu trc tip ca mt chng trnh c thit k nhm cung cp dch v cht lng cao trc v sau khi sinh v cng tc h sinh c h tr bi cc chuyn gia y t c o to. Xem: nh gi tc ng quc gia. (UNDP 2002) Qu trnh trin khai thc hin cc hot ng d n theo mt k hoch v ngn sch thng nht. Ngn sch c theo di trong sut giai on thc hin nhm o lng tin thc hin k hoch, s dng ngn sch v thc hin cc kt qu ca d n. Nu cn thit, thit k d n c th c sa i trong giai on thc hin gii quyt cc vn ny sinh. nh gi mt hot ng u t ODA c tin hnh bi cc t chc v/hoc c nhn c lp vi nh ti tr v cc t chc thc hin. (OED-WB 2001), (OECD 2002), (SIDA 2004). Xem: nh gi t bn ngoi. Nhn t hoc bin s nh lng hoc nh tnh ng vai tr l phng tin n gin v tin cy o lng thnh qu, phn nh nhng thay i lin quan n mt can thip pht trin, hoc gip nh gi tnh hnh thc hin ca mt tc nhn pht trin. (OECD-DAC 2002), (SIDA 2004) Nhng thay i ngoi k hoch c xem nh kt qu ca mt hot ng u t ODA. (IFAD 2002) H thng nhp, tng hp v t chc d liu cung cp cc d liu chn lc v bo co cho cp qun l, h tr theo di v kim sot vic t chc d n, ngun lc, hot ng v kt qu. Xem: H thng thng tin qun l (IFAD 2002)

Impact assessment nh gi tc ng

Impact evaluation nh gi tc ng

Implementation Thc hin

Independent evaluation nh gi c lp Indicator(s) Ch s Indirect effects nh hng gin tip Information management system H thng qun l thng tin Inputs Cc yu t u vo Institutional development impact Tc ng pht trin th ch

Cc ngun lc v ti chnh, nhn lc v nguyn vt liu cn thit to ra nhng sn phm u ra d kin thng qua vic thc hin cc hot ng theo k hoch. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) (IFAD 2002) Mc m mt can thip no gip tng cng hoc lm yu i kh nng ca mt quc gia hoc vng trong vic s dng c hiu qu, hp l v bn vng cc ngun lc v con ngi, ti chnh v ti nguyn thin nhin, v d thng qua: (a) xc nh r hn, tnh n nh, minh bch, hiu lc v kh nng d bo trc ca t chc th ch; v/hoc (b) gn kt tt hn gia nhim v v nng lc ca mt t chc vi quyn hn ca t chc bt ngun t t chc th ch ny. Nhng tc ng nh vy c th bao gm c nhng nh hng c ch ch v khng c ch ch ca mt hot ng. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) nh gi mt can thip pht trin c thc hin bi mt n v v/hoc c nhn bo co cho cp qun l ca nh ti tr, i tc, hoc t chc thc hin. Xem: T nh gi (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) M t tm tt c s ca mt hot ng u t ODA trong ma trn khung lgc. y l ct u tin trong khung lgc, c gi l lgc can thip, ra nhng cp mc tiu khc nhau ca d n. Xem: Khung lgc nh gi d n c tin hnh vo cui giai on thc hin ca d n [khong mt nm trc ngy ng ti khon vn vay] khi c quan ti tr cn nhc yu cu ti tr cho giai on hai hoc mt d n mi trong cng lnh vc. nh gi chuyn tip l c hi quan trng cho c quan ti tr, Chnh ph, cc i tc thc hin v

Internal evaluation nh gi ni b Intervention logic Lgc can thip Interim evaluation nh gi chuyn tip


Ph lc 3-7

Thut ng

nh nghanhng c quan tham gia chnh hc tp kinh nghim trc khi tin hnh thit k d n tip theo. (IFAD 2002) D n to mi, m rng hoc ci to nhng c s vt cht nht nh nhm t c s tng trng v s lng hoc duy tr, ci tin, nng cao cht lng ca sn phm hoc dch v, c thc hin trn a bn c th, trong khong thi gian xc nh. (Ngh nh 131/2006/N-CP) nh gi trong cc c quan ti tr v/hoc cc i tc ca Chnh ph tham gia. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) Kin thc c to ra phn nh qua kinh nghim. Vic tng hp da trn kinh nghim nh gi cc hot ng u t ODA c rt ta t nhng hon cnh c th n nhng tnh hung rng hn. Thng thng, cc bi hc kinh nghim nu bt nhng im mnh hoc yu im trong cng tc chun b, thit k v thc hin d n, vn c nh hng n hot ng, kt qu v tc ng. (OEDWB 2001), (OECD-DAC 2002), (SIDA 2004) "C quan ch qun chng trnh, d n ODA" (Ngi quyt nh u t i vi d n u t hoc ngi quyt nh ph duyt d n h tr k thut) l cc B, cc c quan ngang B, cc c quan trc thuc Chnh ph, cc c quan Trung ng ca t chc chnh tr x hi, cc t chc ngh nghip, cc c quan trc thuc Quc hi, To n nhn dn ti cao, Vin Kim st nhn dn ti cao v y ban nhn dn cp tnh, thnh ph trc thuc Trung ng c chng trnh, d n. (Ngh nh 131/2006/N-CP) Cng c qun l dng ma trn c s dng phn loi trt t lgc ca mt chui cc s kin theo th t v l cng c phn tch trong chu trnh d n. Khung lgc lin quan n vic xc nh cc yu t chin lc [u vo, u ra, kt qu, mc tiu, mc ch] v cc mi quan h nhn qu ca chng, cc ch s, v cc gi nh hoc ri ro c th nh hng n s thnh cng hay tht bi; do s to iu kin cho cng tc lp k hoch, thc thi v nh gi mt hot ng u t ODA. Xem: Qun l da trn kt qu (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) Cng c phn tch, trnh by v qun l lin quan n vic phn tch vn , phn tch cc c quan tham gia, xy dng thp mc tiu v la chn chin lc thc hin ph hp. Phng php ny gip xc nh cc yu t chin lc [u vo, u ra, mc tiu, mc ch] v nhng mi quan h nhn qu ca chng, cng nh nhng gi nh v mi trng bn ngoi (cc ri ro) c kh nng nh hng n thnh cng hay tht bi; do s to iu kin cho vic lp k hoch, thc thi v nh gi mt d n. (IFAD 2002) Cn gi l khung lgc" hay ma trn khung lgc. l mt bng, thng gm 6 dng v 4 ct, trong tng kt nhng g d n nh lm v lm bng cch no [cc yu t u vo cn thit, hot ng, sn phm u ra, kt qu, mc tiu, mc ch), nhng gi nh chnh v vic TD&G cc sn phm u ra v kt qu s c thc hin nh th no. (IFAD 2002) Cng c cho php nhp, i chiu v t chc cc d liu TD&G mt cch h thng c th cung cp cc d liu chn lc v bo co cho cp qun l, h tr theo di v gim st cng tc t chc, ngun lc, hot ng v kt qu ca d n. Xem: H thng qun l thng tin (IFAD 2002) Ngun d liu, cc cng c v k nng thu thp s c s dng o lng cc ch s c th kim chng khch quan c la chn TD&G mt hot ng u t ODA. nh gi tng hp cc pht hin trn quy m ln hn t mt lot cc nh gi khc, thng c quy m nh hn. Thut ng ny cn c s dng di dng nh gi mt nh gi khc nhn xt v cht lng ca nh gi v/hoc nh gi hot ng ca cn b nh gi. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) nh gi c tin hnh trong qu trnh thc hin mt chng trnh, d n. Mc ch chnh l nh gi tin thc hin, a ra nhng kt lun ban u v qun l chng trnh, d n v xut cc khuyn ngh cho giai on thc

Investment project D n u t Joint evaluation nh gi chung Lessons learned Bi hc kinh nghim

Line Agency C quan ch qun

Logical framework (Logframe) Khung lgc

Logical framework approach (LFA) Phng php tip cn khung lgc

Logical Framework Matrix Ma trn khung lgc Management Information System (MIS) H thng thng tin qun l Means of Verification (MOVs) Phng tin kim chng Meta-evaluation nh gi da trn ti liu sn c Mid-term evaluation nh gi gia k


Ph lc 3-8

Thut ng

nh nghahin cn li. nh gi ny tp trung vo nhng vn c tnh tc nghip v mc ph hp v tnh hnh thc hin ng thi rt ra cc bi hc ban u. i khi c xem l nh gi d n ang thc hin. (UNDP 2002) Ch s xc nh trc v mc tiu s t c ti mt thi im. Vic thu thp v phn tch thng tin thng xuyn h tr ra cc quyt nh kp thi, m bo trch nhim gii trnh v to c s cho nh gi v rt ra bi hc kinh nghim. y l mt hot ng lin tc, s dng cc phng php thu thp d liu phc v cho cng tc qun l v nhng c quan tham gia chnh vo mt hot ng u t ODA ang tin hnh vi nhng biu hin sm nht v tin v cc kt qu t c. (IFAD 2002) S kt hp gia theo di v nh gi qua cung cp nhng kin thc cn thit cho: a) qun l d n c hiu qu; v b) cng tc bo co v trch nhim gii trnh. (IFAD 2002) Tm tt h thng TD&G c lp trong giai on thit k ca d n v nm trong bo co thm nh hay k hoch thc hin d n. (IFAD 2002) Xem: Ma trn TD&G Bng m t cc cu hi hot ng, nhng yu cu thu thp thng tin [bao gm c cc ch s] cc cng vic phn nh v r sot vi nhng c quan tham gia, cc ngun lc v hot ng cn thit vn hnh h thng TD&G. Ma trn ny lit k cch thc, i tng, thi gian v a im thu thp cc d liu. (IFAD 2002) Tn gi chung dng ch cc n v c cp d n v cp ngnh chu trch nhim v TD&G. (IFAD 2002) Ct u tin ca ma trn khung lgc trong m t cc yu t u vo, sn phm u ra, mc tiu v mc ch. Xem: Thp mc tiu, Lgc can thip (IFAD 2002) Bn lit k c th chi tit nhng kt qu mong mun ca mt hot u t ODA cc cp khc nhau [ngn hn v di hn]. Mt mc tiu tt phi tha mn c tiu ch nh nh hng tc ng, c th o lng c, c gii hn thi gian, c th v thc t. Cc mc tiu c th c sp xp theo th bc vi 2 cp tr ln. Xem: Thp mc tiu (IFAD 2002) Cc cp mc tiu khc nhau, t hot ng n mc ch, c m t chi tit ct th nht ca khung lgc. Nu d n c thit k tt, vic hin thc ha tng cp mc tiu trong thp mc tiu s gip hon thnh mc ch ca d n. (IFAD 2002) Mt nhm cc tiu ch [khng nht thit phi o lng c] c s dng kim chng mc hon thnh [d on hoc thc t] mc tiu ngnh, mc tiu, cc yu t u vo v cc sn phm u ra ca d n. Chng c th mang tnh nh lng, nn c th va kim chng va o lng c, hoc mang tnh nh tnh, do ch c th kim chng c. (IFAD 2002). Ct th hai ca khung lgc, c gi l cc ch s c th kim chng khch quan, c th ha cc ch s hot ng. Nhng ch s ny c th c xc nh v c o lng khch quan nhm ch ra liu cc mc tiu ca d n t c hay cha. Cc ch s ny c a ra cho tng cp mc tiu: hot ng, kt qu, mc tiu v mc ch tng th ca d n. Chng thng bao gm cc mc tiu c gii hn v thi gian, c m t di dng mt thay i c th din ra mt thi im nht nh (EC 2001) Chng trnh s dng ngun h tr pht trin chnh thc. (Ngh nh 131/2006/N-CP) D n s dng ngun h tr pht trin chnh thc. (Ngh nh 131/2006/N-CP) Tc ng ngn hn v trung hn t c hoc c kh nng t c nh cc sn phm u ra ca mt hot ng. Xem: Kt qu, u ra, Tc ng, nh hng (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004)

Milestone Mc Monitoring Theo di

Monitoring & evaluation (M&E) Theo di & nh gi (TD&G) M&E framework Khung TD&G M&E matrix Ma trn TD&G M&E unit n v TD&G Narrative summary M t tm tt Objective Mc tiu

Objective hierarchy Thp mc tiu Objectively verifiable indicators Ch s c th kim chng khch quan

ODA program Chng trnh ODA ODA project D n ODA Outcome(s) Kt qu


Ph lc 3-9

Thut ngOutput(s) u ra

nh nghau ra lin quan n vic hon thnh hn l thc hin hot ng. u ra bao gm cc sn phm hng ha v dch v l kt qu ca mt hot ng pht trin, c th l c nhng thay i bt ngun t hot ng lin quan n vic t c kt qu. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) Ch s cp u ra trong thp mc tiu, thng l s lng v cht lng ca cc sn phm u ra v thi gian c chng. (IFAD 2002) Mc tiu tng th l mc ch cui cng ca d n, c m t di dng li ch di hn ca d n i vi x hi ni chung. Mc tiu tng th cn phn nh nhng mc ch rng ln ca chnh sch pht trin ca Chnh ph v chin lc h tr quc gia ca nh ti tr. Mt d n n l phi ng gp vo mc tiu tng th, nhng khng th t mnh t c mc tiu tng th. Mc tiu tng th cn c gi l Mc ch. (EC 2001) Mt dng c th ca ng ti tr. Ti tr song song khc vi ng ti tr thng thng ch cc ngun ngn sch c gii ngn thng qua cc knh ti tr ring r v khng tp trung mt ch. Ti tr song song cho php cc nh ti tr nhn cc tc ng ca mt chng trnh, d n ln song vic gim cc chi ph giao dch vn c nhng hn ch quy m nht nh. Xem: ng ti tr. (UNDP 1996) Phng php nh gi trong i din ca cc t chc v c quan tham gia d n [bao gm c cc n v th hng] phi hp vi nhau trong qu trnh thit k, tin hnh nh gi v din gii kt qu nh gi. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) Cc c nhn v/hoc t chc cng tc vi nhau nhm t c nhng mc tiu chung thng nht. Ghi ch: Khi nim v quan h i tc hm v cc mc ch c chia s, trch nhim chung i vi kt qu, trch nhim ring v trch nhim vi nhau. Cc i tc c th bao gm Chnh ph, t chc dn s, t chc phi Chnh ph, trng i hc, hip hi ngh nghip v kinh doanh, t chc a phng v khu vc t nhn. S phi hp gia cc t chc nhm t c cc mc tiu v mc ch chung thng nht da trn sc mnh ca tng t chc ng thi ti a ha sc mnh tng hp. Quan h i tc t hiu qu ti ni m s ng gp ca tng i tc i vi kt qu chung c hiu r s l mu cht t c kt qu. (UNDP 2002) Mc mt can thip pht trin hay mt i tc pht trin hot ng theo cc tiu ch/ tiu chun/ hng dn c th hoc t c kt qu theo mc ch hoc k hoch t ra. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) (IFAD 2002) Ton b hot ng theo di, nh gi v o lng tc ng gp phn vo vic ci thin tnh hnh thc hin ODA theo cc mc tiu pht trin quc t tha thun. (PARC, UK) o lng tc ng, kt qu, u ra v u vo ca d n c theo di trong qu trnh thc hin nh gi tin theo cc mc tiu ca d n. Vic thu thp, din gii v bo co d liu v cc ch s hot ng nhm o lng mc cung cp sn phm u ra ca cc chng trnh, d n v mc ng gp ca cc chng trnh, d n vo vic t c cc mc tiu cp cao hn (mc tiu v mc ch). o lng mc thc hin s hu ch nht khi c s dng so snh theo thi gian hoc gia cc n v thc hin cc cng vic ging nhau. (UNDP 2002) Qu trnh thu thp v phn tch d liu thng xuyn v lin tc nhm so snh mc thc hin ca chng trnh, d n hay chnh sch vi cc kt qu mong i. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004)

Output Indicator Ch s u ra Overall Objective Mc tiu tng th

Parallel financing Ti tr song song

Participatory evaluation nh gi c s tham gia ca cng ng Partner(s) i tc

Partnership Quan h i tc

Performance Mc thc hin Performance assessment nh gi mc thc hin Performance indicator Ch s hot ng Performance measurement o lng mc thc hin Performance monitoring Theo di mc thc hin


Ph lc 3-10

Thut ngPerformance monitoring indicators Ch s theo di hot ng Performance question Cu hi hot ng Performance ratings Xp hng mc thc hin

nh nghaCc ch s theo di hot ng c s dng o lng tc ng, kt qu, u ra v u vo. Cc ch s ny c theo di trong sut qu trnh thc hin d n nh gi tin thc hin cc mc tiu ca d n. Nhn chung, ch s theo di hot ng sp xp cc thng tin theo cch lm r cc mi quan h gia tc ng, kt qu, u ra v u vo ca d n, gip xc nh cc vn c kh nng cn tr vic t c cc mc tiu ca d n trong qu trnh thc hin. Xem: ch s hot ng (OPD-WB 1996) Cu hi gip nh hng qu trnh tm kim v phn tch thng tin nhm tm hiu xem d n c c thc hin theo k hoch hay khng, nu khng, nguyn nhn v sao. (IFAD 2002) H thng xp hng c s dng nh gi cc kha cnh thc hin ca d n khng o lng c bng cc ch s nh gi c th kim chng khch quan. V d, tiu ch nh gi ca DAC i hi nh gi da trn cc bng chng khc nhau, bao gm c cc ch s c th o lng c v cc thng tin nh tnh. Trong nhng trng hp ny, h thng xp hng mc thc hin thng c s dng, trong a ra tr s theo mt thang im c th [v d: 1 = tt, 2 = kh, 3 = trung bnh, 4 = km] (OECD-DAC 1986) nh gi ng lc bn trong ca cc t chc thc hin, cc cng c chnh sch, c ch cung cp dch v, thc t qun l ca cc t chc, cc mi lin h gia nhng yu t ny. Xem: nh gi nh hnh (OED-WB 2001), (OECDDAC 2002), (SIDA 2004) Hot ng ca cc tin c la chn mt cch c ch , quan st mt cch c chn lc v c h thng so snh vi cc tin khc, trao i nhng g quan st c hc cch iu hnh v hnh thnh cc tin . (IFAD 2002) Mt tp hp cc hot ng, cc d n c lin quan n nhau v c th lin quan n mt hoc nhiu ngnh, lnh vc, nhiu vng lnh th, nhiu ch th khc nhau nhm t c mt hoc mt s mc tiu xc nh, c thi hn thc hin tng i di hoc theo nhiu giai on, ngun lc thc hin c th c huy ng t nhiu ngun nhng thi im khc nhau, vi nhiu phng thc khc nhau...(Ngh nh 131/2006/N-CP) nh gi mt nhm cc hot ng c cc mc tiu lin quan vi nhau. Xem: nh gi chng trnh/chin lc quc gia (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) Mt tp hp cc hot ng c lin quan n nhau nhm t c mt hoc mt s mc tiu xc nh, c thc hin trn a bn c th, trong khong thi gian xc nh, da trn nhng ngun lc xc nh. D n bao gm d n u t v d n h tr k thut (Ngh nh 131/2006/N-CP) Bo co m t thc trng sau khi kt thc mt can thip pht trin, bao gm c nhng bi hc kinh nghim. (IFAD 2002)

Process evaluation nh gi tin Process monitoring Theo di tin Programme / program Chng trnh

Program evaluation nh gi chng trnh Project D n Project Completion Report Bo co kt thc d n Project cycle Chu trnh d n

Khi nim di dng biu m t vng i ca mt d n t nhng tng u tin cho n khi hon thnh. Chu trnh d n a ra mt c cu m bo cc c quan tham gia c tham vn; xc nh nhng quyt nh quan trng, yu cu thng tin v trch nhim tng giai on cc quyt nh c a ra trn c s thng tin y cho tng giai on trong vng i ca d n. Chu trnh d n bao gm c vic nh gi phn nh cc bi hc kinh nghim vo cc thit k chng trnh, d n trong tng lai. (EC PCM) Phng php chun b, thc hin v nh gi chng trnh, d n da trn phng php tng hp v phng php khung lgc. (EC PCM)

Project Cycle Management (PCM) Qun l chu trnh d n Project description M t d n

M t tm tt nhng g d n d kin t c v bng cch no, m t cc phng tin m nh t c cc kt qu cui cng nh mong mun [lgc chiu dc trong Ma trn khung lgc]. (AusAID 2003)


Ph lc 3-11

Thut ngProject evaluation nh gi d n Project or program objective Mc tiu ca chng trnh hoc d n Project Impacts Tc ng ca d n Project Implementing Agency C quan thc hin d n Project Owner Ch d n

nh nghanh gi mt can thip pht trin c lp k hoch ring bit, v c thit k nhm t nhng mc tiu c th trong mt khun kh thi gian v ngn sch nht nh. (IFAD 2002) Kt qu vt cht, ti chnh, th ch, x hi, mi trng hoc cc kt qu pht trin khc mong mun m chng trnh, d n d kin s ng gp vo. (OEDWB 2001), (OECD-DAC 2002), (SIDA 2004)

nh hng ca d n i vi mi trng rng hn v s ng gp ca n cho nhng mc tiu rng hn. (EC) T chc c giao nhim v trc tip qun l v s dng ODA v vn i ng thc hin mt d n/chng trnh theo nhng ni dung c thng qua.

Project performance Mc thc hin d n Project Preparation Chun b d n Provincial-Level People's Committee UBND tnh Purpose Mc tiu Qualitative nh tnh Quantitative nh lng Quality assurance m bo cht lng

"Ch chng trnh, d n ODA" (ch u t i vi chng trnh, d n u t, ch d n i vi chng trnh, d n h tr k thut - sau y gi chung l ch d n) l n v c Th tng Chnh ph hoc c quan ch qun giao trch nhim trc tip qun l, s dng ngun vn ODA v ngun vn i ng thc hin chng trnh, d n theo ni dung c cp c thm quyn ph duyt, v qun l, s dng cng trnh sau khi chng trnh, d n kt thc. (Ngh nh 131/2006/N-CP) Cht lng chung ca mt d n xt trn phng din tc ng, gi tr i vi cc i tng th hng, hiu qu, hiu sut v tnh bn vng ca vic thc hin. (IFAD 2002) Chun b d n lin quan n vic xy dng xut chi tit ca d n, c th bao gm c vic phn tch khung lgc, lp k hoch thc hin v phn b ngun lc. (EC 2001) y ban nhn dn cp tnh, thnh ph trc thuc trung ng. (Ngh nh 131/2006/N-CP) Mc tiu trng tm ca d n. Mc tiu nhm gii quyt vn c bn v c xc nh di dng cc li ch bn vng cho mt hoc nhiu nhm c nhm ti. (EC-PCM) D liu khng th tm tt di dng s, nh bin bn cc cuc hp cng ng, ghi chp chung t cc quan st. D liu nh tnh thng m t kin thc, thi hoc hnh vi ca mi ngi. (IFAD 2002) D liu c o lng hoc c th o lng c, lin quan n s lng v c m t di dng cc con s hoc s lng. (IFAD 2002) Bao gm bt k hot ng no lin quan n nh gi v ci thin gi tr hoc tnh hu ch ca mt can thip pht trin hay vic tun th ca can thip theo cc tiu chun nht nh. Ghi ch: Cc v d v cc hot ng m bo cht lng bao gm thm nh, qun l da trn kt qu (RBM), kim im thc hin, nh gi, ... m bo cht lng cng c th lin quan n nh gi cht lng mt danh mc u t v hiu qu pht trin ca danh mc . (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) i tng th hng v cc c quan tham gia khc ca mt can thip pht trin (mt ngnh, mt nhm ngi ti mt vng hay mt a phng). Xem: i tng th hng. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004), (IFAD 2002) xut nhm nng cao hiu qu, cht lng hoc hiu sut ca mt can thip pht trin; nhm thit k li cc mc tiu; v/hoc phn b li cc ngun lc. Khuyn ngh phi c lin h vi cc kt lun. (OECD-DAC 2002), (SIDA 2004) Mc ph hp ca cc mc tiu d n i vi nhng vn thc t, nhu cu v u tin cho cc nhm mc tiu v cc i tng th hng d kin m d n cn phi gii quyt, ph hp vi mi trng vt cht v chnh sch m d n ang hot ng. (EC-PCM) chc chn hoc ng tin cy ca cc d liu v kt lun nh gi, c tham

Reach Phm vi tc ng Recommendation(s) Khuyn ngh Relevance Mc ph hp Reliability


Ph lc 3-12

Thut ng tin cy

nh nghakho n cht lng ca cc cng c, quy trnh v phn tch c s dng thu thp v x l d liu nh gi. Ghi ch: thng tin nh gi ch ng tin cy khi cc quan st lp i lp li s dng cc cng c tng t nhau trong nhng iu kin tng t vn cho cc kt qu tng t. (OED-WB 2001), (OECD-DAC 2002) u ra, kt qu, sn phm hoc tc ng (c ch ch hoc khng c ch ch, tch cc v/hoc tiu cc) ca mt can thip pht trin. Xem: u ra, nh hng, Tc ng. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) Chin lc hay phng php qun l qua t chc m bo cc qu trnh, sn phm v dch v ca mnh gp phn vo vic t c cc kt qu xc nh. Qun l da trn kt qu cung cp mt khun kh cht ch cho vic lp k hoch chin lc v qun l, bng cch tng cng hc hi v trch nhim gii trnh. cng l mt chin lc qun l rng nhm t c nhng thay i quan trng trong cch cc c quan hot ng, vi vic nng cao nng lc thc hin cng nh t c cc kt qu, thng qua vic xc nh cc kt qu d kin thc t, qua theo di tin nhm t c cc kt qu mong i, qua kt hp cc bi hc kinh nghim vi cc quyt nh qun l, v bo co tnh hnh thc hin. (UNDP 2002) Chui nhn qu ca mt can thip pht trin quy nh th t cn thit t c cc mc tiu mong mun - bt u bng u vo, chuyn sang hot ng v u ra, n cc im l kt qu, tc ng v phn hi. mt s c quan, phm vi tc ng l mt phn ca chui kt qu. Xem: Gi nh, Khung kt qu. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) Lgc chng trnh gii thch lm th no t c mc tiu pht trin, bao gm cc mi quan h nhn qu v cc gi nh c bn. Xem: Chui kt qu, Khung lgc. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) nh gi qu trnh thc hin mt can thip nh k hoc t xut. Ghi ch: thut ng nh gi thng c s dng cho nhng nh gi ton din v/hoc su hn xem xt. Theo di l vic xem xt lin tc cc qu trnh v tin . Xem xt thng nhn mnh kha cnh hot ng tng t nh gim st. i khi thut ng xem xt, gim st v theo di c s dng nh cc t ng ngha. Xem: Theo di, Gim st. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) Cc yu t v s kin bn ngoi c th nh hng n tin hoc s thnh cng ca mt d n, v thng khng ng. Chng dng tiu cc. (EC PCM) Phn tch hoc nh gi cc yu t (c gi l cc gi nh trong khung lgc) nh hng hoc c kh nng nh hng n vic t c thnh cng cc mc tiu ca mt can thip. y l mt nghin cu chi tit v cc hu qu tiu cc v khng mong mun tim n cho cuc sng, sc khe, ti sn ca con ngi, hoc mi trng do cc can thip pht trin to ra; mt qu trnh c h thng nhm cung cp thng tin lin quan v nhng hu qu khng mong mun, qu trnh lng ha cc xc sut v cc tc ng d kin ca cc ri ro c xc nh. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) nh gi mt tp hp can thip pht trin trong mt ngnh ca mt quc gia hoc gia cc quc gia, tt c u gp phn cho vic t c mt mc tiu pht trin c th. Ghi ch: mt ngnh bao gm cc hot ng pht trin thng c nhm li vi nhau theo mc ch hot ng cng nh y t, gio dc, nng nghip, giao thng,... (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) SWAP l mt c ch qua Chnh ph v nh ti tr c th h tr qu trnh pht trin ca mt ngnh mt cch thng nht thng qua mt chnh sch ngnh duy nht v chng trnh chi tiu di s qun l ca Chnh ph. Trong bi cnh ny, thut ng ngnh tng ng vi mt chc nng c bn ca Chnh ph, lin quan n mt b c th v mt chng trnh chi tiu [v d: y t, gio dc v ng s], mc d cng mt nguyn tc c th p dng cho cp di

Result(s) Kt qu Results Based Management (RBM) Qun l da trn kt qu

Results Chain Chui kt qu

Results framework Khung kt qu Review Xem xt

Risk Ri ro Risk Analysis Phn tch ri ro

Sector program evaluation nh gi chng trnh ngnh

Sector Wide Approach (SWAP) Phng php tip cn theo ngnh


Ph lc 3-13

Thut ng

nh nghangnh. Cc nguyn tc ny bao gm: t ch ca quc gia; phi hp ca nh ti tr; chuyn i h tr ngn sch ngnh, cc quy trnh hi ha; v qun l da trn kt qu. (Ngun: Trch Brown, A, Foster, Norton, A v Nascold, F 2001)

Self evaluation T nh gi

nh gi bi nhng ngi lm cng tc qun l hoc tham gia vo mt chng trnh hay d n ti ch v/hoc bi nhng ngi c giao nhim v thit k v thc hin ton b hoc mt phn can thip pht trin. Cng nh bt c mt nh gi no, t nh gi tp trung vo tc ng tng th v mc thc hin, hoc nhng kha cnh c th ca n. (IFAD 2002) Cn gi l k hp ng trc tip. i vi nhng hp ng nh nht, cc c quan cng quyn c th c php m phn trc tip vi mt hoc nhiu nh cung ng do h la chn (U ban Kinh t 2001 v WB 1999) Bt k mt c nhn, nhm ngi, c quan hay doanh nghip c th lin quan n d n/chng trnh. H c th - trc tip hoc gin tip, tch cc hoc tiu cc - nh hng hoc chu nh hng bi qu trnh v nhng kt qu ca d n hoc chng trnh. L s ch ng tham gia ca cc c quan tham gia trong vic thit k, qun l v theo di d n. S tham gia y ngha l tt c i din ca cc nhm lin quan chnh trong phm vi d n tham d cc hot ng ca d n theo cc cch ph hp v c s ng thun. (IFAD 2002) nh gi v mt vn c th, thng l vn a ngnh, a ra nhng gi quan trng cho nhng u tin pht trin chnh ca Chnh ph v nh ti tr, vi ri ro cao cho cc c quan tham gia. Thi gian ca nh gi chin lc c bit quan trng do tnh cp bch ca vn c th to ra ri ro cao v gy ra nhng quan im mu thun t pha nhng c quan tham gia. nh gi ny nhm thc y s hiu bit su hn v vn , gim bt nhng iu khng chc chn lin quan n nhng la chn khc nhau trong vic xc nh vn , v gip t ti mt tha thun lm vic gia cc c quan tham gia v cho php cc c quan tham gia khc nhau t ti mt cch hiu chung v cc vn chnh sch nht nh, ng vai tr l mt bc quan trng hng ti vic hnh thnh chnh sch. (UNDP 2002) M t chung v cc hot ng thng s c thc hin nh mt phn ca pht trin d n, t bt u cho n kt thc, v nhng mc nhn chung s t c trong qu trnh thc hin, nh nhng tha thun thc hin, ng k,... K hoch cng phi gii thch cc kha cnh khc nhau cn quan tm nh mt phn ca pht trin d n, v m t cc nguyn tc c bn cn phi tun th. Th t ca mi quan h gia cc hot ng chnh v cc mc cng cn c m t. Bo co thm nh cng nn c s dng nh mt im khi u cho vic gn lc k hoch chin lc cng nh cc k hoch hot ng c th. (IFAD 2002) Thut ng chung ch mt gi thuyt pht trin bao gm nhng kt qu cn thit t c mt mc tiu chin lc v nhng mi quan h nhn qu gia chng v nhng gi nh quan trng. Khung kt qu chin lc hnh thnh mt c s c t chc o lng, phn tch v bo co cc kt qu ca n v thc hin. Khung ny cng c tc dng nh mt cng c qun l, do tp trung vo cc kt qu chnh cn c theo di bit tin . cng c th l nhng mc ch v mc tiu tng qut ca mt quc gia nhm tip cn pht trin da trn c s phn tch cc vn , bao gm c vic xc nh nhng u tin. (UNDP 2002) Nghin cu t ra nhng cu hi v tc ng ca mt chnh sch, chng trnh hoc mt can thip i vi nhng kt qu c th v cc nhm ngi khc nhau. nh gi ny xc nh c lng nh hng ca mt chnh sch di dng nhng g ngay t u d kin s xy ra, hoc di dng so snh vi cc can thip khc, hay so snh vi vic khng lm g c (tc l s i chng). (DfID) nh gi mc thc hin mt can thip nh k hoc t xut.

Simplified procedures Cc th tc n gin Stakeholders Cc c quan tham gia Stakeholder participation S tham gia ca cc c quan tham gia Strategic evaluation nh gi chin lc

Strategic planning Lp k hoch chin lc

Strategic results framework Khung kt qu chin lc

Summative evaluation nh gi tm tt Supervision


Ph lc 3-14

Thut ngGim st

nh nghaGhi ch: thut ng nh gi thng c s dng cho nhng nh gi ton din v/hoc su hn gim st. Xem xt nhn mnh kha cnh hot ng. i khi cc thut ng xem xt, gim st v nh gi c s dng nh cc t ng ngha. Xem: Theo di, Xem xt. (OED-WB 2001), (OECD-DAC 2002), (SIDA 2004) Thu thp c h thng nhng thng tin t mt nhm ngi xc nh, thng bng cch phng vn hoc pht phiu iu tra cho mt n v trong nhm ngi (v d, ngi, n v th hng, ngi trng thnh). (UNDP 2002) S tip tc hng li t mt can thip pht trin sau khi nhng h tr pht trin chnh kt thc. L xc sut tip tc c li ch lu di. Kh nng phc hi sau nhng nguy c ca cc li ch rng qua thi gian. (OED-WB 2001), (OECDDAC 2002), (SIDA 2004) Mc tiu c th trong ch r s lng, thi gian v a im mc tiu c hin thc ha. (IFAD 2002) C nhn hoc t chc c th m u t ang thc hin em li li ch. (OEDWB 2001), (OECD-DAC 2002), (SIDA 2004) D n ch yu nhm cung cp cc yu t k thut phn mm, bao gm pht trin nng lc th ch, pht trin ngun nhn lc, chuyn giao cng ngh, kin thc v kinh nghim, cung cp cc u vo k thut chun b v thc hin mt d n/chng trnh u t. (Ngh nh 131/2006/N-CP) nh gi khi kt thc mt chng trnh/d n khi c bo co kt thc, hoc ngay sau . Nhim v yu cu i vi nh thu, nu r thng tin c bn v cc mc tiu ca d n, cc hot ng theo k hoch, u vo v u ra d kin, ngn sch, thi gian biu v m t cng vic. (EC-PCM) nh gi vic la chn cc can thip pht trin, tt c cc can thip ny u tp trung vo mt u tin pht trin c th gia cc quc gia, khu vc v cc ngnh. (OED-WB 2001), (OECD 2002), (SIDA 2004) Chi ph pht sinh t vic chun b, m phn, thc hin, theo di v xc tin cc tha thun cho vic tin hnh d n ODA. Chi ph giao dch c th di dng cc chi ph hnh chnh [pht sinh t cc ngun lc u vo cn thit cho giao dch], chi ph gin tip [bt ngun t tc ng ca c ch thc hin t c cc mc tiu pht trin), v chi ph c hi [o lng nhng li ch mt i do c th dng cc ngun lc s dng trong qu trnh giao dch vo nhng vic khc] (Ngun: Trch theo LMDG 2001) Vic s dng cc ngun, phng php hoc thnh vin nhm kho st khc nhau kim tra cho v xc nhn sai s ca cc d liu v thng tin mc gii hn. (IFAD 2002) Mc mt iu g c th tin cy v thc s o lng c hay c xc nhn chnh xc, bao gm c cc chin lc v cc cng c thu thp d liu. (IFAD 2002) Qu trnh kim tra cho m bo cc d liu thu c t mt phng php theo di c xc nhn bi cc d liu thu c t mt phng php khc. (IFAD 2002) Lgc chiu dc [ca ma trn khung lgc] xc nh nhng g d n nh lm, lm r cc mi quan h nhn qu [ct 1], v chi tit ha nhng gi nh quan trng v nhng iu khng chc chn nm ngoi s kim sot ca nh qun l d n [ct 4]. Xem: lgc chiu ngang. (AusAID 2003) Lch trnh trong ra cc hot ng v ngun lc cn thit t c cc kt qu v mc tiu ca mt d n.

Survey iu tra, kho st Sustainability Tnh bn vng Target Mc tiu Target group(s) Nhm mc tiu Technical assistance project D n h tr k thut Terminal evaluation nh gi kt thc Terms of reference iu khon giao vic Thematic evaluation nh gi theo ch Transaction costs of ODA Chi ph giao dch ca chng trnh, d n ODA Triangulation Kim tra cho Validity Tnh hiu lc Validation Xc nhn Vertical logic Lgc chiu dc

Work Plan K hoch cng tc

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