EVAL 6000: Foundations of Evaluation

1. EVAL 6000: Foundations of Evaluation Dr. Chris L. S. Coryn Kristin A. Hobson Fall 2011

2. Agenda • Stage Three theories • Peter Rossi • Use-oriented theories and theorists • Utilization-focused evaluation • Michael Patton • Participatory Evaluation • Brad Cousins • Questions and discussion • Encyclopedia of Evaluation entries

3. “Evaluation research is more that the application of methods…it is also a political and managerial activity, an input into…policy decisions and allocations” — Peter H. Rossi

4. Biographical Sketch • Born in 1921 in New York City • Ph.D. in Sociology, Columbia University • B.S. in Sociology, City College • Professor Emeritus of Sociology at University of Massachusetts and held positions as Harvard, University of Chicago, and Johns Hopkins University • Published numerous books, research monographs and articles • Led many high-stakes national-level evaluations

5. Rossi’s View of Evaluation • Influenced by Campbell, Cronbach, and Scriven • Major function of social research in public policy formulation and change is to evaluate the effectiveness of public programs • Emphasis on empirically testing social theories as part of program evaluation

6. Rossi’s Influence • Extensive and diverse • Sociological (e.g., books on life histories of American families) • Methodological (e.g., survey research) • Primarily evaluation theory and methodology

7. Rossi’s Major Contributions • Tailored evaluation • Comprehensive evaluation • Theory-driven evaluation • Demystification • The “good enough” rule • The metallic and plastic laws of evaluation

8. Rossi’s Theory of Social Programming • Social interventions are conservative and incremental • Central task is to design programs that serve the disadvantaged well • Recognizes the political and economic constraints placed on social programs

9. Rossi’s Theory of Knowledge Construction • Both realist and empiricists in orientation • Simultaneously emphasizes fallibilism and multiplism • Questions the philosophical warrants for a singular epistemology, and questions the legitimacy and value of epistemology more generally

10. Rossi’s Theory of Valuing • Similar to Scriven in many respects • Social need is a crucial criterion for value claims • Integrates both prescriptive and descriptive theories (though never clear in explication of how to integrate)

11. Rossi’s Theory of Knowledge Use • Distinguishes between instrumental, conceptual, and persuasive uses • Not clear about contingencies to guide choices to facilitate types of use • Demystification (e.g., the nature of social problems and their amelioration) has been criticized for being too “scientistic”

12. Rossi’s Theory of Evaluation Practice • Clearly describes trade-offs and priorities depending on various circumstances (e.g., innovations, modifications, established programs) • Recognizes constraints associated with trade-offs and priorities (e.g., comprehensive versus tailored evaluations) • See Table 9.1, p. 383

13. Evaluation Theory Tree

14. Use-Oriented Theorists Fetterman King Preskill

15. “This class of theories [use] are concerned with designing evaluation that are intended to decision making…to ensure that evaluation results have a direct impact on decision making and organizational change” — Marvin C. Alkin

16. Use-Oriented Theories • Originated from decision-oriented theories • Decision-oriented theorists emphasize evaluation as assisting key decision makers in making informed decisions • Evaluations should be designed to ensure direct impact on decision making and organizational change

17. “Evaluations should be judged by their utility and actual use…[and]… evaluators should facilitate the evaluation process and design any evaluation with careful consideration of how everything that is done, from beginning to end, will affect use” — Michael Q. Patton

18. Utilization-Focused Evaluation • Explicitly geared to ensure that evaluations make an impact and are used • Evaluation is guided in collaboration with a targeted group of priority users

19. Utilization-Focused Evaluation • All aspects are chosen and applied to help targeted users obtain and apply evaluation findings to their intended use and maximize the likelihood that they will • In the interest of getting findings used, draws on any legitimate evaluation approach

20. Situational Analysis • What decisions, if any, are the evaluation findings expected to influence? • When will decisions be made? By whom? When, then, must the evaluation findings be presented to be timely and influential? • What is at stake in the decisions? For whom? What controversies or issues surround the decision? • What is the history and context of the decision-making process? • What other factors (values, politics, personalities, promises already made) will affect the decision making?

21. Situational Analysis • How much influence do you expect the evaluation to have—realistically? • To what extent has the outcome of the decision already been determined? • What data and findings are needed to support decision making? • What needs to be done to achieve that level of influence? • How will we know afterward if the evaluation was used as intended?

22. “[Practical participatory evaluation]…seeks to understand program with the expressed intention of informing and improving their implementation” — J. Bradley Cousins

23. Participatory Evaluation • Evaluator works collaboratively in partnership with a select group of intended users • The evaluator’s role is to provide technical support, training, and to assure and maintain quality control • Involves a broad group of stakeholder participants

24. Participatory Evaluation • Modified from more limited stakeholder-based aproaches • Stakeholders are engaged in the entire evaluation process (e.g., design, data collection, analysis, reporting, application of findings) • Assumes that involvement will increase buy-in, credibility, and use

25. “[The CIPP model encourages evaluators to engage a]…representative stakeholder review panel to help define the evaluation questions, shape evaluation plans, review draft reports and disseminate findings” — Daniel L. Stufflebeam

26. Improvement- and Accountability-Oriented Approaches • Expansive and seek comprehensiveness in considering the full range of questions and criteria needed to assess a program • Often employ the assessed needs of a program’s stakeholders as the foundational criteria for assessing a program

27. Improvement- and Accountability-Oriented Approaches • They usually reference all pertinent technical and economic criteria for judging the merit or quality of programs • Examine all relevant outcomes, not just those keyed to program objectives • Use multiple qualitative and quantitative assessment methods to provide cross-checks on findings

28. Decision- and Accountability-Oriented Studies • Emphasizes that program evaluation should be used proactively to help improve a program as well as retrospectively to judge value • Philosophical underpinnings include an objectivist orientation to finding best answers to context-limited questions and subscription to the principles of a well-functioning democratic society, especially human rights, an enlightened citizenry, equity, excellence, conservation, probity, and accountability

29. Decision- and Accountability-Oriented Studies • Serves stakeholders by engaging them in focusing an evaluation and assessing draft evaluation reports; addressing their most important questions plus those required to assess the program’s value; providing timely, relevant information to assist decision making; producing an accountability record; and issuing needed summative evaluation reports • This approach is best represented by Stufflebeam’s context, input, process, and product (CIPP) model for evaluation

30. CIPP Model

31. CIPP Model

32. Encyclopedia Entries • CIPP Model (Context, Input, Process, Product) • Cost-Benefit Analysis • Cost-Effectiveness • Goal • Indicators • Meta-Analysis • Monitoring • Needs Assessment • Objectives • Objectives-Based Evaluation • Outcomes • Outputs • Success Case Method • Tyler, Ralph W.