March. 2006

Result-Based National Monitoring & Evaluation System for Key Projects in China

（ Nakproses+P9PIP ）

Presentation

March. 2006

Contents:

I. Overview What is Nakproses+P9PIP Conceptual Model System Structure Functional Organization Networking Framework

II. M&E Indicator System

III. Practices in China

I. Overview

I. Overview: Nakproses

Integrated approach to modern project management methodology and information technology to form the product, National Monitoring & Evaluation System for Key Project throughout China.

Leverages the internet and the vertical network of National Development and Reform Commission (NDRC).

Encompasses the central, regional and project level monitoring based on data from project construction enterprises.

Consisting of macro-side monitoring （ central) （ with the core of KPIO of NDRC ）、 middle-side （ regional ） monitoring （ with the node of local KPIO ）、 micro-side （ project ） monitoring （ based on project construction enterprises ）

Platform for enabling the collection, management, monitoring, early warning and evaluation of national key projects.

I. Overview: ADB and Nakproses

Theoretical basis and method model for Nakproses originates from the first ADB Technical Assistant, helping develop and strengthen evaluation capacities for key investment projects in PRC;. The KPIO Staff, jointly explorer for Nakproses accepted the second ADB TA since 1999, which upgraded KPIO staff’s capability in project monitoring and evaluation (M&E) and improved the development effectiveness in public sector investment projects and nurture an M&E culture within KPIO and related personnel in PRC. The result-based M&E methodologies and indicators for Nakproses are under developing with the help of ADB TA4581. With the achievement of TA4581, Chinese government decides to enhance results system construction in the future. Results National M&E System for Key Projects in China has participated CoP-MfDR construction and are ready to be dedicated to develop and research on results development for good governance.

I. Overview: Construction Goals

Indicator system ： develop a set of result-based national M&E indicator system for key projects

M&E software: develop a set of internet applications for result-based national dynamic M&E indicator system for key projects (central-side, regional-side or sector-side)

Platform software: develop a set of project management platform that suits national construction enterprises for key projects. The project owner may then perform project management online with the data automatically verified and sent to the M&E system.

M&E network ： establish a network to enable efficient inspection of national key projects.

I. Overview: Conceptual Model

Progress Management

Investment Management

Quality Management

Human

ResourceDocument

Management

Project Management

Function

Feasibility Research

Project Decision

Project Design

Bidding and procurement

Construction

Project Acceptance

Operation & Maintenance

Project Lifecycle

Project Micro Management Level

Project Meso Management Level

Project Macro Management Level

Project Management Levels

Material Management

Financial Management

Task & Work Management

Contract Management

Project Command

Cost Management

Owner

Designing

Construction

Manufacture

Supervision

Group

Industry

Region

Center A

a

b c

12

4

3

I. Overview: Application ModelNational development and reform

committee

KPIO at national levelProvincial and city and

municipal development and

reform committee KPIO at provincial and municipal level

large-sized corporation

groups Industries

Project Project designerdesigner

Project constructor

Project supervisor

Project evaluation

Project operational enterprises

E-g

overn

ment p

latfo

rm o

f natio

nal d

evelo

pm

ent a

nd

E-g

overn

ment p

latfo

rm o

f natio

nal d

evelo

pm

ent a

nd

refo

rm co

mm

ittee

refo

rm co

mm

ittee

Natio

nal m

acro

eco

nom

ic decisio

n in

form

atio

n sy

stem

Natio

nal m

acro

eco

nom

ic decisio

n in

form

atio

n sy

stem

National Key Project Dynamic Monitoring 、 Early Warning and Evaluation Indicator System

Industry and commerce administration 、 tax

units 、 finance 、 construction 、 statistic and audit

units.

There are ten thousands of national bond projects under construction. In 2003, the investment of the projects under construction amount to 1,000 billion RMB.…

national key project





Online project general

controlling

Online project material

controlling

Online project equipment controlling

Online project human resource

management

Online project financial

controlling

Online project progress

management

Online project quality

management

Online project cost

management

Online project contract

managementData interface

Project material

provider

National Key Project

Management knowledge and certification system


Credit evaluation and publication


Information exchange standard

protocol


Information system construction norm


Electron transaction platform

I. Overview: Functional Flow

I. Overview: Three Levels of Application Architecture

项目建设单位

项目施工单位

勘察设计单位

材料设备供应商

监理单位

招标代理机构

Construction Project

1 项目建设单位

项目施工单位

勘察设计单位


监理单位

招标代理机构

建设项目3项目建设单位

项目施工单位

勘察设计单位


监理单位

招标代理机构

建设项目2

现场稽察员

省市稽察信息汇总

项目申报单位

省市申报信息备案

综合处、监测处、管理处、一----十三处

某省市发改委重大项目稽察特派员办公室

项目评价

国家发改委重大项目稽察特派员办公室

某省市发改委重大项目稽察特派员办公室某省市发改委

重大项目稽察特派员办公室动态监测

项目稽察

指标确定

项目评价

动态监测

项目稽察

指标确定

项目评价

动态监测

项目稽察

指标确定

稽察要点设定

评价指标体系

预警指数设置

监测指标体系

申报信息备案

项目稽察功能

项目信息汇总与动态监测

项目评价功能

指标体系的设置管理

监测软件

平台软件

Project Construction Enterpri se

Project Constructiona

l Enterpr

ise

Exploring and Designi

ng Enterpr

ise

Material and

Equipment

Provider

Supervision

Enterprise

Bidding Agency

Construction Project 1

Project Construction Enterpri se

Project Constructional

Enterprise


ng Enterpri

se

Material and

Equipment Provider

Supervision

Enterprise

Bidding Agency

Construction

Project 3Project Construction Enterpri se

Project Constructional

Enterprise


ng Enterpri

se

Material and

Equipment Provider

Supervision

Enterprise

Bidding Agency

Construction Project 2

Spot checking officer

Provincial and city checking informati

on gathering

Project declaring enterprise

Record of

provincial and city declaring informati

on

General department,Supervision department, management department and so on ----total 13

departments

Provincial and Regional KPIO

Project Evaluati

on

National development and reform committee

KPIO



Gather Monitoring Information

Dynamic Monitori

ng

Project Checki

ng

Establish

Index

Dynamic Monitorin

g

项目稽察

Establish main

checking point

Evaluation index system

Establish warning

index

Monitoring Index system

Record of declaring information

Function of

project checki

ng

Gather project

information and dynamic monitori

ng

Function of

project evaluat

ion

Designing and management of the

Indicator

system

Mes

o-

data

Mac

ro-

data

Monitoring software

Platform software

Project Checki

ng

Project Evaluati

on

Establish

Index

Dynamic Monitorin

g

Project Checki

ng

Project Evaluati

on

Establish

Index

I. Overview: Network Model

Code Card And Aptitude Integrated CardProject-Side Monitoring（Legal

Person ）

Code Card (Encrypting Machine )

And Aptitude Integrated Card

Center-Side Monitoring

（Groups）

Internet

Vertical Network

Code Card And Aptitude Integrated CardProject-Side Monitoring（Legal Person ）

Code Card (Encrypting Machine )And Aptitude Integrated Card


（N Provincial Development and

Reform）


KPIO

Code Card (Encrypting Machine )

I. Overview: Architecture

Information System In The Project End

Mi ddl e Package of J 2EE Server Pl atform

General

Controlling

Investment

Management

Picture and Document

Material

Management

Finance

Management

Contract

Management

Cost Management

Quality

Management

Busi ness package l ayer Progre

ss Management

PI P basi c package l ayer Coordinat

ive Dynamic

Work Flow

Project Transfer

Uniform Informati

on System

Encrypt the

Safety System

Authority

Center

Whole Content Search System

Content Management

System

Safety

Certification Exchange

of Information and Data

J2EE Application

Net, Server, Stock Platform

Soft Platform of the System（Operational System、Database、Catalog Servece）

Key Servi ce Layer

Servi ce of Uni form Code System

Data Servi ce of Proj ect Management I nformati on

Project PIP Technology Structure

Enterpri se User I nformati on Portal

I ndi vi dual User I nformati on Portal

User Enter Individual Service

Information Issue

Information Collection and Edit

Column Management

Service Application and Search

I nterface Agreement Layer

Uniform Standard of the Code

Project PIP I nterface Agreement

Information System In The Moni toring End

Business ComponentsBusiness ComponentsContract 、 Quality 、

Progress 、 Investment

The dictionary and code information model

Basic ComponentBasic ComponentUser 、 Work Flow 、OA 、 Data Transfer

II. Indicator System

II. Indicator System: Structure of Indicator System

The Result-based sub-module on implementation (or monitoring) indicators and developmental result indicators (i.e. outcome and impact ) is under construction with the help of ADB TA4581.

Comprised of three levels of project indicators: central, regional, and project levels.

Establishing macro-side, middle-side (sector or region) and micro-side monitoring indicator system macro-side dynamic monitoring indicator ： 11 first class indicators, 36 second class indicators （ 16

investment monitoring indicators, 14 progress monitoring indicators, 6 quality monitoring indicators ）

middle-side （ region/sector ） indicator ： 11 first class indicators, 36 second class indicator micro-side （ project ） dynamic monitoring indicator ： 18 first class indicators ， 78 second class indicators

Indicators may be modified as needed.

All the indicators could be added, deleted or modified conveniently. Micro dynamic monitoring indicator: All the macro-side (middle) indicators are produced by the stat. of the micro side indicators All the micro-side indicators are automatically gained from the current project management information system of construction enterprises through project-side management software platform. (according to the integrated protocol or software platform)

II. Indicator System: Data Code and Interface Standard

Data criterion and interface standard system

Project basic information

Project investment information

Project process information

Contract category dictionary

Region dictionary

Industry dictionary

Project category dictionary

Project management character

Project management belongs to

Budget source category

Construction stage category

Industry alert indicator

Industry monitoring indicator system

Project quality information

Project contract information

Project information fundamental data

Planed investment

Total budget planed

Actual investment

Budget plan

Budget arrived

II. Indicator System: Data Code and Interface Standard

Data code is composed of 6 categories, 21 datasheets and 119 data indicators.

Data code including 6 categories, 21 datasheet and 119 data indicators.

Data Code and Interface Standards provide extensibility and offer a standardized interface for the project enterprises to report project data.

The establishment of Data Code and Interface Standard will offer a powerful basic sustainment environment for all management levels of “national key project dynamic M&E system”, and will offer a uniform interface for the project enterprises to report project data.

Arrangement for indicators

Project quality real-time evaluation· Control level of quality accident

· Great quality accident incidence · Number of quality accident（aggregation）· Number of the great quality accident（aggregation）

· Quality accident injuries and deaths situation · Death rate of quality accident· Wounded or disabled rate of quality accident

· Loss of quality accident· Average accident losses

· Control level of quality test· Fine rate of the project

· Fine rate of individual event project· Qualification rate of one time

· Qualification rate of one time

· Level of the quality file management· Complete rate of the quality file

· Photo of quality accident· Document of quality accident· Screen of the quality accident

Project investment real-time evaluation· Availability level of the fund（lacking amount, availability

rate）· Level of the bidding management · Level of the contract management

· Change of the contract· Arrears of the contract money· Deviation between the contract-settling price and the

contract signing-price

· Budget management level · Management level of the bidding process· Bidding situation· Difference rate of the base value and contract price

· Financial management level

Project process real-time evaluation· Control level of the project time· Control level of the project volume· Cost progress· Control level（ Earned Value Index ）· Management level of the material of spot

progress

Project dynamic monitoring alert indicators

· Sheet of general information of project· Project legal person's situation· Basic document of the project

（proposal、Feasibility research report、Environmental assessment report、Tentative design、Expanded tentative design）

· Sheet of operation information · Fund-coming sheet of the project· Fund-planning sheet· The general information of the projects

must call for bid in accordance with the law

Project overall information database

Quality dynamic monitoring data· Quality statement · Great quality accident statement· Dead population statement · Quality document

Investment and contract dynamic monitoring data

· Statement of found being executed· Table of qualification information of bid

agency · Table of bid unit's qualification information · Table of the Information of the bidding

project · Table of the information of tender

evaluation committee · Table of bid result information · Table of Information of amount of money of

bid· Table of bid information · Table of Information of contract change

being executed· Table of Information of contract being

executed· Table of Information of budget return· Table of Information of budget adjustment· Table of Information of financial benefit · Table of expenses information · Table of Information of the administration

expense· Table of Information of staying proportion

of balance fund

Process dynamic monitoring data· Progress statement· Performance statement of the

project amount· Performance statement of the

project expenses · Control statement of cost and

progress of project · Table of progress analysis of

the project· Table of Information of the spot

monitor

Project dynamic monitoring Database

。。。。

。。。。。。。。

Indicator structure and their relationship（一）

Static

Ear

ly W

arni

ngM

onit

orin

g

Dynamic

Proposal

Feasibilit

y

Design

Readiness

Implementation

Completion

Phase

Propasl

Feasibility

Design

Readiness

Implementatio

n

Completion

Phase

Project Project

Dynamic Static

Monitoring Indicator

Monitoring Indicator

Dynamic Static

Early Warning

Monitoring

Early warning Indicator

预警指标

预警指标

Data counting (counting formula)

Data counting (counting formula)

Early Warning

Parameter

Early earning

parameter

Early earning

parameter

Early earning

parameter

Industrial criteriaIndustrial rules

Notes from State CouncilRules of KPIO of NDRC

Setting Basis

Setting Basis

Monitoring

Early Warning

Parameter

Early Warning

Parameter

Indicator structure and their relationship （二）

Independent definitions of indicator and M&E system

prevent possible conflicts in the event that the

indicator is modified.

Assist KPIO of NDRC define, the indicators for the

monitoring and early warning systems in the

different industries and sectors.

Indicator tools

Establish indicator system: monitoring indicator system can be

established according to project level monitoring and early warning

indicators for different industries and sectors through such tools;

Early warning parameter settings ： Various early warning parameters

can be set for the different early warning indicators.

Display settings ： Different monitoring data for projects can be

displayed in multiple ways (e.g. graph 、 list, etc.).

Mode of early Warning ： different early warning indicators can be

presented with red 、 yellow 、 green lights.

Data collecting ： Standardized methods of collecting data on-time from

construction companies implementing the projects for monitoring

indicators on a sector and regional basis.

Function design for indicator system tools

Indicator System tools － Procedure of Monitoring and Early Warning

Project Original Data (Monitoring Indicator

Database)Monitoring Data Early Warning Analysis

100 908070605040304050

Indicator management tools ： settings for industry 、 early

warning indicator 、 monitoring indicator 、 edition

management of its issue 、 document management, etc.

Display the interfaces of how to acquire the indicator data.

Display the interfaces of indicator data.

Introduction to Indicator System Tools

Indicator system tools － Industry setting

Indicator system tools － Early warning setting

Indicator system tools － Monitoring indicator setting

Indicator system tools － indicator edition management

Indicator system tools － indicator system document （一）

Indicator system tools － indicator system document （二）

Indicator system tools － indicator data acquire

Indicator system tools － monitoring data presentation （一）

Indicator system tools－monitoring data presentation（二）

Indicator system tools － Earning Warning presentation

III. Practices in China

1 、 Overview of pilot projects application

Based on the document #581 of NDRC, five pilot projects were

conducted in Zhejiang, Sichuan, Jiangsu and Guangxi.

The pilot projects achieved the expected goals and feasibility of

the technology was confirmed.

The pilot project showed the regional level system as the core,

the establishment of local development & reform commission

system is the main body and project construction enterprises are

the key parts. To carry out the online M&E system roundly

require standardizing the information system establishment for

the project construction enterprises.

System establishment has started all around in Provincial levels

and Beijing development and reform commission inspector

office.

2 、 Future Plans

Based on industrialization project of the Department of High-Tech Industry and the TA4581 project of ADB, we will improve the indicator system and establish provincial inspectorate system that covers 31 provinces and cities and 16 municipalities separately listed on the state plan.

Enhance the training for provincial inspectorate office and project construction enterprises.

Establish a public investment information system based on e-government platform. With this, the relevant content of the “Eleventh Five” e-government planning may need adjustment.

With the General Office leadership and according to the e-government platform of NDRC, establish an operation platform spanning across multiple intranets using the internet. This requires the agency to implement internet security measures.

3 、 Learning

Unify ideas Regulation guarantee Criterion Priority Management Priority Results Management

Thank youThank you ！！

March. 2006

http://www.p9pip.comhttp://www.impa2006.comhttp://www.impa2006.comhttp://www.f6850.com:9080

March. 2006

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