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1、EVALUATION AND AID EFFECTIVENESS Glossary of Key Terms in Evaluation and Results Based Management 评估和面向结果管理的关键术语 DEVELOPMENT ASSISTANCE COMMITTEE 经济合作发展组织发展援助委员会(O E C D/D A C)授权 国家科技评估中心翻译 OECD Glossaire 关键术语 1 GLOSSARY OF KEY TERMS IN EVALUATION AND RESULTS BASED MANAGEMENT 评估和面向结果管理的关键术语 Glossair
2、e 关键术语 2 FOREWORD The DAC Working Party on Aid Evaluation(WP-EV)has developed this glossary of key terms in evaluation and results-based management because of the need to clarify concepts and to reduce the terminological confusion frequently encountered in these areas.Evaluation is a field where dev
3、elopment partners often with widely differing linguistic backgrounds work together and need to use a common vocabulary.Over the years,however,definitions evolved in such a way that they bristled with faux amis,ambivalence and ambiguity.It had become urgent to clarify and refine the language employed
4、 and to give it a harmonious,common basis.With this publication,the WP-EV hopes to facilitate and improve dialogue and understanding among all those who are involved in development activities and their evaluation,whether in partner countries,development agencies and banks,or non-governmental organis
5、ations.It should serve as a valuable reference guide in evaluation training and in practical development work.The selection of terms and their definitions in the attached glossary have been carefully discussed and analysed and have benefited from advice and inputs,notably from DAC Members and the ac
6、ademic evaluation community.A WP-EV Task Force,chaired by the World Bank,led the overall project,in collaboration with the Secretariat.France took the lead on the French version,whilst the Inter-American Development Bank produced the Spanish translation.Denmark,the Netherlands,Norway,and UNDP provid
7、ed financial support for the initial collection and review work,and Switzerland contributed financial support for producing this free distribution publication.The process has been guided by the highest considerations of clarity and conciseness and a spirit of collaboration and compromise in terms of
8、 the willingness of major development agencies and banks not to impose their specific vocabulary on others.Although terminology will continue to evolve alongside changing development practices and management instruments,this glossary is a“state-of-the-art”of key terms in use today.Niels Dabelstein C
9、hair of the Working Party on Aid Evaluation.Glossaire 关键术语 3 前言 这份术语表包含了关于评估和面向结果的管理的关键术语。发展援助委员会的援助评估工作组(WP-EV)认识到有必要阐明评估概念，减少评估领域中经常出现的术语混乱等问题，因而整理编纂了这个术语表。在评估领域，从事发展工作的合作伙伴往往有着不同语言背景，他们一起工作，需要使用共同的词汇。多年以来，评估概念由于语言背景的差异，在使用上常常不是自相矛盾就是含糊不清。澄清提炼评估词汇使其成为通用术语，这已成为一项紧迫的任务。通过出版这个术语表，援助评估工作组希望能为从事发展评估活动的
10、国家、发展组织、银行及非政府组织的工作带来便利，并促进其相互对话和相互了解。在评估培训和发展工作实践中，希望术语表也能成为有用的参考指南。术语表中的术语及其定义是经过精心讨论分析后筛选出来的，并得到了发展援助委员会成员和评估学术团体的建议和指导。WP-EV的特别任务组在世界银行的领导下，负责整个项目，并与秘书处合作。该术语表的法语版是由法国主持翻译的，而西班牙语版则是由美洲开发银行翻译的。丹麦、荷兰、挪威和联合国开发计划署为术语表的初期搜集工作和评议工作提供了资金援助，瑞士出资使得术语表成为免费分发的出版物。在术语表的编纂过程中，我们力求含义明确，措辞简洁，并本着合作和理解的精神，尊重主要发展
11、组织和银行的意愿，对一些内部使用的特殊词汇，并未收纳在内。尽管评估术语会随着发展时间和管理手段的改变不断的演进，该术语表目前仍堪称评估关键术语的集大成者。Niels Dabelstein O E C D/D A C评估工作组主席 Glossaire 关键术语 4 The Development Assistance Committee(DAC)Working Party on Aid Evaluation is an international forum where bilateral and multilateral development evaluation experts meet
12、periodically to share experience to improve evaluation practice and strengthen its use as an instrument for development co-operation policy.It operates under the aegis of the DAC and presently consists of 30 representatives from OECD member countries and multilateral development agencies(Australia,A
13、ustria,Belgium,Canada,Denmark,European Commission,Finland,France,Germany,Greece,Ireland,Italy,Japan,Luxembourg,Netherlands,New Zealand,Norway,Portugal,Spain,Sweden,Switzerland,United Kingdom,United States,World Bank,Asian Development Bank,African Development Bank,Inter-American Development Bank,Euro
14、pean Bank for Reconstruction and Development,UN Development Programme,International Monetary Fund).Further information may be obtained from Hans Lundgren,Advisor on Aid Effectiveness,OECD,Development Co-operation Directorate,2 rue Andr-Pascal,75775 Paris Cedex 16,France.Website:www.oecd.org/dac/eval
15、uation Glossaire 关键术语 5 发展援助委员会援助评估工作组(WP-EV)是一个国际性论坛，双边和多边发展评估专家定期举行会议，以分享评估经验，改进评估实践，加强评估手段在发展合作政策中的应用。援助评估工作组隶属于发展援助委员会，目前由来自经济合作发展组织（O E C D）成员国和多边发展组织（澳大利亚、奥地利、比利时、加拿大、丹麦、欧洲联盟、芬兰、法国、德国、希腊、爱尔兰、意大利、日本、卢森堡、荷兰、新西兰、挪威、葡萄牙、西班牙、瑞典、瑞士、英国、美国、世界银行、亚洲开发银行、非洲开发银行、美洲开发银行、欧洲复兴发展银行、联合国计划开发署、国际货币基金组织等）的30名代表组成
16、。更多信息请咨询经济发展合作组织顾问Hans Lundgren.地址:2 rue Andr-Pascal,75775 Paris Cedex 16,France 网址:www.oecd.org/dac/evaluation Glossaire 关键术语 6 TERMS GROUPED BY CATEGORIES Page 页码 Quality assurance 质量保证 Appraisal 12 评价 12 Audit 13 审计 13 Conclusions 15 结论 15 Evaluability 17 可评估性 17 Evaluation 18 评估 18 Feedback 19 反
17、馈 19 Finding 19 发现 19 Lessons learned 22 经验教训 22 Monitoring 24 监测 24 Performance measurement 26 绩效测量 26 Quality Assurance 27 质量保证 27 Recommendations 28 建议 28 Results-Based Management 30 面向结果的管理 30 Stakeholders 利益相关者 Beneficiaries 14 受益者 14 Partners 25 合作伙伴 25 Reach 28 涉及对象 28 Stakeholders 32 利益相关者 3
18、2 Glossaire 关键术语 7 Page 页码 Target group 32 目标群体 32 Logical Framework 逻辑框架 Activity 11 活动 11 Assumptions 12 假设 12 Development objective 16 开发目标 16 Logical Framework 23 逻辑框架 23 Results-Based Management 面向结果的管理 Benchmark 14 基准 14 Inputs 21 投入 21 Outcome 24 产效 24 Outputs 24 产出 24 Performance 25 绩效 25 Pe
19、rformance indicator 25 绩效指标 25 Performance measurement 26 绩效测量 26 Performance monitoring 26 绩效监测 26 Project or program objective 27 项目或计划目标 27 Purpose 27 提案 27 Results 29 结果 29 Results chain 29 结果链 29 Results framework 30 成果框架 30 Glossaire 关键术语 8 Page 页码 Results-based management 30 面向结果的管理 30 Evalua
20、tion tools,measures,analyses,and criteria 评估工具，测量，分析和准则 Accountability 11 责任 11 Analytical tools 12 分析工具 12 Attribution 13 归因 13 Base-line study 14 底线研究 14 Counterfactual 15 反事实 15 Data collection tools 15 数据采集手段 15 Development intervention 16 开发活动 16 Economy 16 经济性 16 Effect 16 效果 16 Effectiveness
21、17 成效 17 Efficiency 17 效率 17 Feedback 19 反馈 19 Goal 20 目的 20 Impacts 20 影响 20 Indicator 21 指标 21 Institutional development impact 21 制度建设的影响 21 Lessons learned 22 经验教训 22 Reach 28 涉及对象 28 Glossaire 关键术语 9 Page 页码 Relevance 28 相关性 28 Reliability 29 可靠性 29 Sustainability 32 可持续性 32 Terms of reference
22、33 受权调查范围 33 Triangulation 33 三元法 33 Validity 33 正确性 33 Types of evaluations 评估类型 Cluster evaluation 14 群体评估 14 Country program evaluation/Country assistance evaluation 15 国家计划评估/国家援助评估 15 Ex-ante evaluation 18 前评估 18 Ex-post evaluation 19 后评估 19 External evaluation 19 外部评估 19 Formative evaluation 2
23、0 局部评估 20 Independent evaluation 20 独立评估 20 Internal evaluation 22 内部评估 22 Joint evaluation 22 联合评估 22 Meta-evaluation 23 广义评估 23 Mid-term evaluation 23 中评估 23 Participatory evaluation 24 参与式评估 24 Process evaluation 26 过程评估 26 Glossaire 关键术语 10 Page 页码 Program evaluation 26 计划评估 26 Project evaluatio
24、n 27 项目评估 27 Review 30 检查 30 Risk analysis 31 风险分析 31 Sector program evaluation 31 行业与部门项目评估 31 Self-evaluation 31 自评估 31 Summative evaluation 32 总结性评估 32 Thematic evaluation 33 专项评估 33 Glossaire 关键术语 11 Accountability Obligation to demonstrate that work has been conducted in compliance with agreed
25、rules and standards or to report fairly and accurately on performance results vis a vis mandated roles and/or plans.This may require a careful,even legally defensible,demonstration that the work is consistent with the contract terms.Note:Accountability in development may refer to the obligations of
26、partners to act according to clearly defined responsibilities,roles and performance expectations,often with respect to the prudent use of resources.For evaluators,it connotes the responsibility to provide accurate,fair and credible monitoring reports and performance assessments.For public sector man
27、agers and policy-makers,accountability is to taxpayers/citizens.Activity Actions taken or work performed through which inputs,such as funds,technical assistance and other types of resources are mobilized to produce specific outputs.Related term:development intervention.责任 指特定对象必须履行的一种义务，即有义务表明有关工作是按
28、照约定的规则和标准进行的，有义务公正、准确地报告根据职能定位或相应的计划所实现的绩效。履行上述义务可能要求提供细致的说明甚至是法律依据，以表明有关工作与合同的条款一致。注：在发展工作中，上述责任往往涉及到合作伙伴责任义务，这些义务是根据明确规定的责任、角色和预期的绩效确定的，通常还要考虑到资源的慎重使用。对于评估人员来说，责任意味着提供准确的、公正的和可靠的监测报告和绩效评价报告。对于公共部门的管理人员和政策制定者来说，责任是对纳税人和公民负责。活动 指采取的行动或进行的工作。通过活动来调动相应的投入，例如：基金、技术援助及其它类型的资源，以获得特定的产出。相关术语：开发活动 Glossair
29、e 关键术语 12 Analytical tools Methods used to process and interpret information during an evaluation.Appraisal An overall assessment of the relevance,feasibility and potential sustainability of a development intervention prior to a decision of funding.Note:In development agencies,banks,etc.,the purpose
30、 of appraisal is to enable decision-makers to decide whether the activity represents an appropriate use of corporate resources.Related term:ex-ante evaluation Assumptions Hypotheses about factors or risks which could affect the progress or success of a development intervention.Note:Assumptions can a
31、lso be understood as hypothesized conditions that bear on the validity of the evaluation itself,e.g.,about the characteristics of the population when designing a sampling procedure for a survey.Assumptions are made explicit in theory based evaluations where evaluation tracks systematically the antic
32、ipated results chain.分析工具 指在评估过程中用来对信息进行处理与解释的方法。评价 指在投资决策之前，对一项活动的目标相关性、可行性和潜在的可持续性进行的全面评价。注：对于开发机构、银行等组织，评价的目的在于帮助决策者确定，对于该项活动，相应的资源的使用是否适当。相关术语：前评估 假设 即关于各种因素或风险的预先假定。这些因素可能会对活动的进展或成功产生影响。注：假设也可以理解为假设条件，这些条件与评估本身的正确性有关，例如在设计抽样调查方案时关于人口特点的假设条件。当评估系统地追踪预期的结果链时，在相应的理论中清楚地表明了其中的假设。Glossaire 关键术语 13 A
33、ttribution The ascription of a causal link between observed(or expected to be observed)changes and a specific intervention.Note:Attribution refers to that which is to be credited for the observed changes or results achieved.It represents the extent to which observed development effects can be attrib
34、uted To a specific intervention or to the performance of one or more partner taking account of other interventions,(anticipated or unanticipated)confounding factors,or external shocks.Audit An independent,objective assurance activity designed to add value and improve an organization s operations.It
35、helps an organization accomplish its objectives by bringing a systematic,disciplined approach to assess and improve the effectiveness of risk management,control and governance processes.Note:a distinction is made between regularity(financial)auditing,which focuses on compliance with applicable statu
36、tes and regulations;and performance auditing,which is concerned with relevance,economy,efficiency and effectiveness.Internal auditing provides an assessment of internal controls undertaken by a unit reporting to management while external auditing is conducted by an independent organization.归因 归因就是确定
37、观察到的变化（或预期将观察到的变化）和一项特定活动之间的因果关系。注：归因意味着观察到的变化或取得的结果是可信的，它表达了一个程度的概念，即观察到的效果可以在多大程度上归结于一项特定的活动。在考虑其他活动以及（预期的或未料到的）复杂因素或外部冲击时，归因表达了效果可以在多大程度上归结于一个或多个合作伙伴的绩效。审计 审计是一项独立的、客观的保证性活动，目的在于增值并改进组织的运行。审计通过系统的、专业化的方式，评价和改进风险管理，控制和管理活动的进程，帮助相应的机构完成其目标。注：常规（财务）审计和绩效审计是不同的。财务审计通常关注的是对财务条例与规章的遵守情况，而绩效审计则侧重资金使用的目标
38、相关性、经济性、效率与效果。内部审计提供一个关于内部控制的评价，由内设机构执行并向管理层报告，而外部审计则是由独立的机构来执行。Glossaire 关键术语 14 Base-line study An analysis describing the situation prior to a development intervention,against which progress can be assessed or comparisons made.Benchmark Reference point or standard against which performance or ach
39、ievements can be assessed.Note:A benchmark refers to the performance that has been achieved in the recent past by other comparable organizations,or what can be reasonably inferred to have been achieved in the circumstances.Beneficiaries The individuals,groups,or organizations,whether targeted or not
40、,that benefit,directly or indirectly,from the development intervention.Related terms:reach,target group.Cluster evaluation An evaluation of a set of related activities,projects and/or programs.底线研究 底线研究分析描述活动实施之前对象的状况。根据底线研究，可以对活动的进程进行评价或比较。基准 指参考点或标准，根据基准可以对绩效或成就进行评价。注：基准指其他可比对象近期所实现的绩效，或者是可以通过合理的推
41、断得出的，在同样环境下将实现的绩效。受益者 可以是个人、群体或组织，不论是否是为援对象，只要直接或间接地从活动中受益，都可以称为受益者。相关术语：涉及对象，目标群体 群体评估 群体评估即对一批相关的活动、项目或计划进行的评估。Glossaire 关键术语 15 Conclusions Conclusions point out the factors of success and failure of the evaluated intervention,with special attention paid to the intended and unintended results and
42、 impacts,and more generally to any other strength or weakness.A conclusion draws on data collection and analyses undertaken,through a transparent chain of arguments.Counterfactual The situation or condition which hypothetically may prevail for individuals,organizations,or groups were there no develo
43、pment intervention.Country Program Evaluation/Country Assistance Evaluation Evaluation of one or more donor s or agency s portfolio of development interventions,and the assistance strategy behind them,in a partner country.Data Collection Tools Methodologies used to identify information sources and c
44、ollect information during an evaluation.Note:Examples are informal and for-mal surveys,direct and participatory observation,community interviews,focus groups,expert opinion,case studies,literature search.结论 结论指出被评活动成功或失败的因素，尤其对预期的或未预料到的结果或影响给予特别的关注，也关注其他的优势或劣势。结论的形成要依据采集的数据和所进行的分析，并经过一系列公开透明的辩论。反事实
45、指某些情况或条件，对于不受活动影响的个人、机构或群体，假设这些条件也可能存在。国家计划评估/国家援助评估 评估一个或更多的援助方或代理机构在一个国家的投资和相应的援助战略。数据采收集手段 在评估中用来确定信息来源和采集信息的方法。注：正式的或非正式的调查、直接的或参与式的考察、集体访谈、专题组讨论、征求专家意见、案例研究、文献资料查询等都是数据采集手段。Glossaire 关键术语 16 Development Intervention An instrument for partner(donor and non-donor)support aimed to promote developm
46、ent.Note:Examples are policy advice,projects,programs.Development objective Intended impact contributing to physical,financial,institutional,social,environmental,or other benefits to a society,community,or group of people via one or more development interventions.Economy Absence of waste for a given
47、 output.Note:An activity is economical when the costs of the scarce resources used approximate the minimum needed to achieve planned objectives.Effect Intended or unintended change due directly or indirectly to an intervention.Related terms:results,outcome.开发活动 支持合作伙伴，促进发展的一种手段。注：政策建议、项目、计划都属开发活动（在本
48、术语中简称活动）。开发目标 指预定产生的影响，即通过一项或多项活动，在物质、财务、制度、社会、环境或其他方面，对于社会、团体或人群的预定产生的影响。经济性 指对于给定的产出没有浪费。注：当一项活动以最小的、必需的成本实现计划的目标时，该项活动是经济的。效果 效果是一项活动直接或间接产生的，预期的或未预料到的变化。相关术语：结果、产出 Glossaire 关键术语 17 Effectiveness The extent to which the development intervention s objectives were achieved,or are expected to be ac
49、hieved,taking into account their relative importance.Note:Also used as an aggregate measure of(or judgment about)the merit or worth of an activity,i.e.the extent to which an intervention has attained,or is expected to attain,its major relevant objectives efficiently in a sustainable fashion and with
50、 a positive institutional development impact.Related term:efficacy.Efficiency A measure of how economically resources/inputs(funds,expertise,time,etc.)are converted to results.Evaluability Extent to which an activity or a pro-gram can be evaluated in a reliable and credible fashion.Note:Evaluability