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Designing and Conducting Useful Self-Evaluations at

UNESCOHallie Preskill, Ph.D.University of New Mexico – USAhpreskil@unm.edu

And

Brad Cousins, Ph.D.University of Ottawa, CANADAbcousins@uottawa.ca

June 2004

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Workshop Objectives

As a result of having taken this workshop, participants will:

Understand how this workshop fits in the broader scope of evaluation at UNESCO.

Understand how self-evaluation in UNESCO can be useful and potentially contribute to individual, team, and organizational learning.

Understand how to practically and realistically design, implement and use self-evaluation studies as a working tool in the current context of their projects or activities.

Have developed a self-evaluation plan for a project or activity in which they are involved.

Know how to integrate the self-evaluation activities into existing work structures and processes.

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Agenda

• Evaluation in UNESCO• Components of a Self-Evaluation Plan• Focusing Your Self-Evaluation • Choosing Among Data Collection Methods • Analysing Evaluation Data  • Communicating & Reporting Evaluation

Processes & Findings • Reflecting on the Context of Self-

Evaluations • Maximizing the Usefulness & Impact of

Self-Evaluations• Workshop evaluation and follow-up

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Background for this Workshop: UNESCO Evaluation Strategy

• The workshops are part of a set of capacity building activities in self-evaluation, implemented by Internal Oversight Service (IOS) on a pilot basis mainly in collaboration with the Education Sector. This initiative constitutes an important aspect in the implementation of the “UNESCO Evaluation Strategy” developed by IOS and endorsed by the Executive Board. The Evaluation Strategy (as well as other recent Audit and Evaluation reports) calls for self-evaluation as a necessary complement to external independent evaluation.

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Definition of Evaluation

• A systematic assessment of a planned, ongoing or completed intervention to determine its relevance, efficiency, effectiveness, impact and sustainability. The intent is to incorporate lessons learnt into the decision making process.

(Source: adapted from OECD/DAC Glossary, 2002)

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Judgement• Judgement implies comparison of

program performance data against some standard:– Performance in program at prior point in

time– Performance of those receiving similar

programs (comparative treatment)– Performance of those receiving no program

(control)– External standard

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Evaluation is the use of systematic inquiry to make judgements about program merit, worth and significance and to support program decision making.

• Summative evaluation (judgement)• Formative evaluation

(improvement)• Who is the judge?

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External Evaluation

• OECD Glossary Definition of External Evaluation (2002, p. 23):

The evaluation of a development intervention conducted by entities and/or individuals outside

the donor and implementing organisations.

• Independent systematic approach to answering evaluative questions

• Typically commissioned by senior management• Written into the C/5 or conducted upon donor

demand• IOS facilitates the process and oversees the quality

of the evaluations• Conducted by external (to UNESCO) evaluation

experts• Selection of C/5 evaluations is presented to ExB

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Self-Evaluation

OECD / DAC Glossary Definition of Self-Evaluation (2002):

• An evaluation by those who are entrusted with the design and delivery of a development intervention.

In the context of the UNESCO Evaluation Strategy:

• Self-evaluations are small-scale evaluation projects carried out by staff and management as part of their every-day work activities, which help them collect and use monitoring and evaluation data to answer their own questions concerning the quality and direction of their work.

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Purposes of Self-Evaluation

• Provides opportunities for continuous reflection and learning (individual, group, organization)

• Provides timely information for decision making and action on a day-to-day implementation level

• Draws on organization members’ knowledge of the project and evaluation context

• Results in useful findings; recommendations meet specific information needs

• If done well, results are from systematic, valid, and purposeful processes; minimizes perceptive fallacies

• Provides opportunity to share achievements

• Documents what works, what does not, and possible reasons why

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Benefits of Using a Collaborative Approach to Self-Evaluation

• Greater credibility to those involved• Shared work saves resources and creates team

spirit• Increased learning using reflection and dialogue

with others• More informed interpretations of findings• Greater breadth of recommendations• Enhanced stakeholder evaluation capacity

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A Systems Framework for Evaluation

• The Evaluation Process

• The Evaluation Environment

• The Organization’s Environment

• External Requirements and Demands

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An evaluation use conceptual framework

Evaluation Practice

Evaluation Resourcesand Context

Decision or Policy Setting

Use of Findings

Evaluation Knowledge Production

Process Use

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Evaluation Practice

• Planning (divergent / convergent)• Instrument development• Data collection, processing• Data analysis, interpretation• Reporting and follow up

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Self-Evaluation Plan Components (Terms of Reference)

• Identifying Self-Evaluation Team Members

• Focusing the Self-Evaluation – Background information (and logic model)– Purpose of the evaluation– Evaluation stakeholders (intended users of results)– Evaluation scope (key questions)

• Designing and Implementing the Self-Evaluation– Data collection methods, instruments, sample– Evaluation timeline with specified roles and

responsibilities– Communicating and reporting plan– Budget

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Self-Evaluation Stakeholders

• Users of the evaluation findings

– Primary• Yourself/your team

– Secondary• Implementers of projects/activities• Colleagues doing similar work• BSP (to feed into current reporting

requirements)• Immediate or Intermediate Managers • Leadership of the organization

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Evaluation Key Questions

? Are the broad overarching questions that guide the evaluation

? Form the boundaries and scope of the evaluation

? Are typically written in an open-ended format

? Guide the choice of data collection methods

? Reflect the stakeholders’ information needs

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Sample Self-Evaluation Key Questions

• To what extent does the project bring about the intended changes in its target group?

• How can this project benefit from enhanced collaboration with partners?

• Why does this activity work well in one region, but not in the other?

• For whom is this project working best? Why?

• What additional services, materials, and/or activities are needed to reach better outcomes?

• What are the unintended consequences of this activity?

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Using a Program’s Logic Model to Focus a Self-Evaluation

• A logic model:

Articulates a program’s theory of action – how it is supposed to work.

Is a systematic and visual way to represent a program’s underlying theory.

Helps focus an evaluation by making assumptions and expectations explicit.

Increases stakeholders’ understanding about a program and its evaluation.

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Logic Model Template

AssumptionsThe underlying

assumptions that influence the

project’s design, implementation or objectives

ResourcesHuman,

financial, organizational &

community resources needed to

achieve the project’s

objectives

ActivitiesThings the

project does with the resources to

meet its objectives

OutputsProducts of

implementing the activities,

which are necessary but not sufficient indications of achieving the

project’s objectives

Short-term OutcomesShort-term

intended and unintended

changes (e.g., in knowledge,

attitudes, skills) as a result of the

project

Long-term OutcomesLong-term

intended and unintended

changes (e.g., in behavior, status,

systems) as a result of the

project

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Developing a Logic Model for Your Self-Evaluation - Activity

• Think of a project or work activity that you would like to self-evaluate. It should be an evaluation:– That is narrow in scope– That is doable – Where there is an intended use of findings– Where there are realistic opportunities for using the

findings

• You may work in groups of 1-3, depending on how your work is actually organized.

• Using the Logic Model Template worksheet, begin to develop a logic model for your program/activity.

• Try to make a few notes in each of the columns.

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Focusing Your Self-Evaluation Activity

• Revisit the Logic Model you began to draft.

• Using the worksheet, Focusing Your Self-Evaluation, – Make some notes regarding the background of

the program/activity– Write an evaluation purpose statement– Develop 2-3 evaluation questions– Identify potential self-evaluation stakeholders– Describe the intended use of the self-

evaluation's findings

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Criteria for Choosing Among Data Collection Methods

Evaluation questionsStakeholder preferencesRespondent characteristicsRespondent availability/accessibilityLevel of acceptable intrusivenessValidity (trustworthiness of data)Costs (time, materials, subject matter experts)Organization’s experience

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A Menu of Data Collection Methods

• Surveys (mail, online, phone; open-ended, closed questions)

• Interviews (individual, focus group; conversational, semi-structured, structured)

• Observations (quantitative-structured; qualitative-unstructured)

• Records and Documents (e.g.,meeting minutes, emails, technical reports, existing databases)

• Tests (paper, simulation, computer)

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Enhancing the Validity of Data

• Pilot testing– Try out interview protocol, survey, or

observation form with a sample similar to respondent population or have it critiqued by colleagues and/or experts.

• Triangulation– Multiple: methods, data sources, evaluators,

and/or theories

• Sampling– Random/Probability – generalizable– Nonrandom/Nonprobability – not

generalizable

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Designing Your Self-EvaluationActivity

• Transfer your evaluation questions to the worksheet (top row).

• Discuss and note which data collection methods might be most appropriate and feasible for your self-evaluation study.

• Discuss and note who the respondents might be and whether you will include the entire population, or will select a sample (indicate how many you would like to include in your sample).

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Considerations for Analyzing Data

• Evaluation Key Questions• Stakeholders’ understanding of, and

experience with, data analysis methods• Types of data (quantitative, qualitative)• Levels of quantitative data (nominal,

ordinal, interval)• Choices for analyzing quantitative data• Choices for analyzing qualitative data • Evaluator skills and time – budget

implications

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Why Communicate and Report?

• To help organization members learn from one another and jointly improve their work…

To build internal capacities - learn about UNESCO’s substantive work and evaluation practice

To inform decision making by program staff and management about changes that will improve their own, as well as, overall organizational performance

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Why Communicate and Report?

To inform funders, community members, clients, customers, program staff, management, other parts of the organization, and other organizations

To demonstrate results, accountability

To build awareness and support within your unit, division, sector or across sectors and other organizational entities

To reflect jointly with others on findings and derive future actions

To aid decision making about continued implementation and funding, as well as replication at other sites

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Communicating and Reporting Strategies

Facilitates Individual Learning

• Short communications: Memos, email, postcards

• Interim reports• Final reports• Executive summaries• Newsletters, Bulletins,

Briefs, Brochures• Newsmedia• Website communications

Facilitates Interactive (Group) Learning

• Verbal presentations• Videotape/Computer

generated presentations • Posters and Poster

Sessions• Working sessions• Synchronous electronic

communications• Personal discussions • Photography• Cartoons• Drama-Performance• Poetry

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Developing Your Communicating and Reporting Plan

Activity

• Using the Communicating and Reporting Plan worksheet, work on Steps 1-6.

• Steps 7-8 can be completed when more of your self-evaluation plan has been developed.

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How Can We Maximize the Usefulness and Impact of Our Self-Evaluations?

• Hold meetings with each other to discuss progress, ask questions, seek feedback

• Use the evaluation planning worksheets provided in this workshop

• Record questions and lessons learned throughout the process (email)

• Make use of IOS resource person specifically available to support self-evaluation projects

• Consider linkages between this self-evaluation work and RBM reporting requirements

• Participate in a poster session in mid-September to share findings from the planned self-evaluations

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Ideal Use

AbuseRational non-use

Political non-use

Mistaken Use

Mischievous Use

USE

NON-USE

MISUSE

LEGIT

USE

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Workshop Follow up

• Current status of “Learning from Evaluation” survey process (with Education Sector staff)

• Follow-up to this workshop:– Support for self-evaluation projects (IOS

contact: Sandy Taut)– Online support materials: slides, handouts,

workshop audiotape transcription– Ongoing assessment of self-evaluation

processes based on observations and discussions

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Additional Resources

• Canadian Evaluation Society– www.evaluationcanada.ca

• American Evaluation Association– www.eval.org

• Australasian Evaluation Society– www.aes.asn.au

• European Evaluation Society– www.europeanevaluation.org

• Société Française de l'Évaluation – www.sfe.asso.fr

See for standards of professional practice, ethics etc.• Canadian Journal of Program Evaluation

– www.cjpe.ca