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1.6 Management of Appraisals and Evaluations

1.6.1Appraisal and evaluation are stages in the general management of projects, programmes and policies. Responsibilities for carrying out appraisals and evaluations should be clearly defined. Departments should ensure that appropriate procedures are in place, and that they are properly applied and kept up to date. It is essential that staff engaged in public expenditure (PE) and resource decisions recognise the need to undertake appraisal and evaluation, seek specialist help where appropriate and ensure that appraisals and evaluations are carried out.
1.6.2Conducting an assessment can be resource-intensive. Appraisals and evaluations should be carried out collaboratively wherever possible between stakeholders, but lead responsibilities need to be well defined, and accountability for accuracy and thoroughness clearly understood. Carrying out assessments should never be regarded as a specialist activity, and therefore sidelined.
1.6.3It should generally be the responsibility of policy and executive divisions to take the lead in carrying out appraisals, drawing on expert advice, where appropriate.
1.6.4In order to ensure an independent and objective approach, evaluations should be led by individuals or teams who have had no responsibility for or involvement in the management or implementation of the proposal under consideration. However, they must have the co-operation of those who have been involved and possess the necessary information.
1.6.5

Departments and Agencies should consider how appraisals and evaluations are integrated with decision-making processes and governance structures. To ensure a coordinated approach to conducting assessments, consideration should be given to:

  • Establishing formal evaluation or assessment units, or other centres of technical expertise;
  • Formalising access to internal and external auditors. In complex cases, it may be helpful to discuss appraisal methodology with sponsor departments, DFP or the Northern Ireland Audit Office;
  • Providing incentives for conducting thorough and timely appraisals; and evaluations; and
  • Maintaining an accessible archive.
1.6.6

For individual assessments, early consideration should be given to:

  • The availability and cost of financial and specialist resources that may be needed;
  • The possible need for quality assurance, for example, by economists and other experts and by service providers;
  • How the findings are to be disseminated (e.g. publication of assessments; dissemination via web sites, etc);
  • The possibility of deferring a proposal pending further research; and,
  • Establishing a project plan for the assessment, setting out key milestones, resources and work streams.

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