Legislative Oversight: The Role of Program Evaluation. October 2008 Workshop for Nigerian National Assembly Committee Staff

Transcription

1 Legislative Oversight: The Role of Program Evaluation October 2008 Workshop for Nigerian National Assembly Committee Staff

2 The Importance of Legislative Oversight Serves as an essential check and balance of the executive branch Ensures that government agencies are: Following legislative intent Effective in achieving statutory goals Good stewards of public funds

3 The Importance of Legislative Oversight Enables lawmakers to: Identify opportunities for program improvement Find potential cost savings Uncover existing or looming problems Craft reforms to address problems or avoid them in the first place To inform the public of government programs

4 Forms of Legislative Oversight Ongoing reviews by legislative analysts Regular committee hearings Special or investigative committee hearings Media stories Complaints Allegations of mismanagement Ombudsman offices Program evaluation offices

5 The Importance of Program Evaluation Part of the legislative oversight toolkit Serves as another independent source of impartial information Has a specific and carefully designed focus Provides lawmakers with specific recommendations to improve government operations

6 Closing the Policy Circle Executive and Legislative Branches Create Policy Oversight Function Determines If Policy Intent Is Followed Judicial Branch Reviews Legality of Policy Executive Branch Agency Implements Policy Executive Branch Interprets Policy

7 Needs of Evaluation Units Strong legislative support Legal authority Clear mission Independence Power to access information Professional nonpartisan staff Program evaluators Financial auditors Other (e.g., financial system specialists) Resources to do work

8 Audit Authority (Wisconsin) The Legislative Audit Bureau s authority extends to the executive, legislative and judicial branches. The Bureau may audit any county, city or school district when requested by the Joint Legislative Audit Committee

9 Mission of North Carolina s Program Evaluation Division (created in June 2007) Assist the General Assembly in overseeing government functions Provide an independent, objective source of information Evaluate if public services are delivered effectively and efficiently and in accordance with the law Evaluate programs and activities of state agencies focusing on results and return on investment Develop quantitative performance indicators Make recommendations for improvement Follow up on recommendation implementation

10 Access to Records (Wisconsin) The state auditor or designated employees shall at all times with or without notice have access to all departments and to any books, records or other documents maintained by the departments and relating to their expenditures, revenues, operations and structure Wisconsin Statute Section 13.94

11 Expectations of Audit Staff Strict adherence to confidentiality Objective, nonpartisan analysis Provision of thorough, accurate and fair information A working knowledge of good government practices

12 Types of Audits Governmental Auditing Traditional Performance Financial Compliance Efficiency (Operational) Effectiveness Program

13 Methods for Audit Topic Selection Statutory authority Direction by governing authority (e.g., Joint Audit Committee) Legislative resolution Required by certain public or private agencies as a condition of receiving funds Initiated independently by the evaluation unit

14 Audit Findings Model Background statement Why? Criteria What should be? Condition What currently exists? Effect So what? Cause Why are the criteria and condition different? Recommendation What should be done?

15 Evaluation Research Methods Review of agency files and records Analyses of agency databases Interviews with program managers, staff and citizens being served Surveys of citizens, clients and staff Reviews of published literature (other government units, NGOs, academic, similar nations)

16 Audit Reports Easy to read Accurate and unbiased Timely Accompanied by briefings Distributed widely Findings communicated in multiple ways

17 Program Evaluation Challenges Difficulty in obtaining valid data Charges of micro-management Structuring findings for use during committee and budget deliberations Workload Timeliness of studies

18 Program Evaluation Outcomes Increased accountability Needed management or policy changes Potential program savings Improved strategic planning and goal setting Better performing government

19 Discussion Questions Does the NNA currently conduct evaluative research? Why or why not? What are some good research topics that could by studied by an evaluation unit of the NNA?

20 For More Information