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Evaluation Theory, Models, and Applications, 2nd Edition

ISBN: 978-1-118-07405-3
800 pages
October 2014, ©2014, Jossey-Bass
Evaluation Theory, Models, and Applications, 2nd Edition (111807405X) cover image

Description

The golden standard evaluation reference text

Now in its second edition, Evaluation Theory, Models, and Applications is the vital text on evaluation models, perfect for classroom use as a textbook, and as a professional evaluation reference. The book begins with an overview of the evaluation field and program evaluation standards, and proceeds to cover the most widely used evaluation approaches. With new evaluation designs and the inclusion of the latest literature from the field, this Second Edition is an essential update for professionals and students who want to stay current. Understanding and choosing evaluation approaches is critical to many professions, and Evaluation Theory, Models, and Applications, Second Edition is the benchmark evaluation guide.

Authors Daniel L. Stufflebeam and Chris L. S. Coryn, widely considered experts in the evaluation field, introduce and describe 23 program evaluation approaches, including, new to this edition, transformative evaluation, participatory evaluation, consumer feedback, and meta-analysis. Evaluation Theory, Models, and Applications, Second Edition facilitates the process of planning, conducting, and assessing program evaluations. The highlighted evaluation approaches include:

  • Experimental and quasi-experimental design evaluations
  • Daniel L. Stufflebeam's CIPP Model
  • Michael Scriven's Consumer-Oriented Evaluation
  • Michael Patton's Utilization-Focused Evaluation
  • Robert Stake's Responsive/Stakeholder-Centered Evaluation
  • Case Study Evaluation

Key readings listed at the end of each chapter direct readers to the most important references for each topic. Learning objectives, review questions, student exercises, and instructor support materials complete the collection of tools. Choosing from evaluation approaches can be an overwhelming process, but Evaluation Theory, Models, and Applications, Second Edition updates the core evaluation concepts with the latest research, making this complex field accessible in just one book.

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Table of Contents

List of Figures, Tables, and Exhibits xiii

Dedication xvii

Preface xix

Acknowledgments xxiii

The Author xxv

Introduction xxvii

Changes to the First Edition xxviii

Intended Audience xxviii

Overview of the Book’s Contents xxix

Study Suggestions xxxii

Part One: Fundamentals of Evaluation 1

1 OVERVIEW OF THE EVALUATION FIELD 3

What Are Appropriate Objects of Evaluations and Related Subdisciplines of Evaluation? 3

Are Evaluations Enough to Control Quality, Guide Improvement, and Protect Consumers? 4

Evaluation as a Profession and Its Relationship to Other Professions 4

What Is Evaluation? 6

How Good Is Good Enough? How Bad Is Intolerable? How Are These Questions Addressed? 17

What Are Performance Standards? How Should They Be Applied? 18

Why Is It Appropriate to Consider Multiple Values? 20

Should Evaluations Be Comparative, Noncomparative, or Both? 21

How Should Evaluations Be Used? 21

Why Is It Important to Distinguish Between Informal Evaluation and Formal Evaluation? 26

How Do Service Organizations Meet Requirements for Public Accountability? 27

What Are the Methods of Formal Evaluation? 29

What Is the Evaluation Profession, and How Strong Is It? 29

What Are the Main Historical Milestones in the Evaluation Field’s Development? 30

2 EVALUATION THEORY 45

General Features of Evaluation Theories 45

Theory’s Role in Developing the Program Evaluation Field 47

Functional and Pragmatic Bases of Extant Program Evaluation Theory 48

AWord About Research Related to Program Evaluation Theory 49

Program Evaluation Theory Defined 50

Criteria for Judging Program Evaluation Theories 52

Theory Development as a Creative Process Subject to Review and Critique by Users 56

Status of Theory Development in the Program Evaluation Field 57

Importance and Difficulties of Considering Context in Theories of Program Evaluation 58

Need for Multiple Theories of Program Evaluation 58

Hypotheses for Research on Program Evaluation 59

Potential Utility of Grounded Theories 62

Potential Utility of Metaevaluations in Developing Theories of Program Evaluation 63

Program Evaluation Standards and Theory Development 63

3 STANDARDS FOR PROGRAM EVALUATIONS 69

The Need for Evaluation Standards 71

Background of Standards for Program Evaluations 73

Joint Committee Program Evaluation Standards 74

American Evaluation Association Guiding Principles for Evaluators 80

Government Auditing Standards 83

Using Evaluation Standards 97

Part Two: An Evaluation of Evaluation Approaches and Models 105

4 BACKGROUND FOR ASSESSING EVALUATION APPROACHES 107

Evaluation Approaches 109

Importance of Studying Alternative Evaluation Approaches 109

The Nature of Program Evaluation 110

Previous Classifications of Alternative Evaluation Approaches 110

Caveats 112

5 PSEUDOEVALUATIONS 117

Background and Introduction 117

Approach 1: Public Relations Studies 119

Approach 2: Politically Controlled Studies 120

Approach 3: Pandering Evaluations 122

Approach 4: Evaluation by Pretext 123

Approach 5: Empowerment Under the Guise of Evaluation 125

Approach 6: Customer Feedback Evaluation 127

6 QUASI-EVALUATION STUDIES  133

Quasi-Evaluation Approaches Defined 133

Functions of Quasi-Evaluation Approaches 134

General Strengths and Weaknesses of Quasi-Evaluation Approaches 134

Approach 7: Objectives-Based Studies 135

Approach 8: The Success Case Method 137

Approach 9: Outcome Evaluation as Value-Added Assessment 143

Approach 10: Experimental and Quasi-Experimental Studies 147

Approach 11: Cost Studies 152

Approach 12: Connoisseurship and Criticism 155

Approach 13: Theory-Based Evaluation 158

Approach 14: Meta-Analysis 164

7 IMPROVEMENT- AND ACCOUNTABILITY-ORIENTED EVALUATION APPROACHES 173

Improvement- and Accountability-Oriented Evaluation Defined 173

Functions of Improvement- and Accountability-Oriented Approaches 174

General Strengths and Weaknesses of Decision- and Accountability-Oriented Approaches 174

Approach 15: Decision- and Accountability-Oriented Studies 174

Approach 16: Consumer-Oriented Studies 181

Approach 17: Accreditation and Certification 184

8 SOCIAL AGENDA AND ADVOCACY EVALUATION APPROACHES 191

Overview of Social Agenda and Advocacy Approaches 191

Approach 18: Responsive or Stakeholder-Centered Evaluation 192

Approach 19: Constructivist Evaluation 197

Approach 20: Deliberative Democratic Evaluation 202

Approach 21: Transformative Evaluation 205

9 ECLECTIC EVALUATION APPROACHES 213

Overview of Eclectic Approaches 213

Approach 22: Utilization-Focused Evaluation 214

Approach 23: Participatory Evaluation 219

10 BEST APPROACHES FOR TWENTY-FIRST-CENTURY EVALUATIONS 229

Selection of Approaches for Analysis 230

Methodology for Analyzing and Evaluating the Nine Approaches 230

Our Qualifications as Raters 230

Conflicts of Interest Pertaining to the Ratings 231

Standards for Judging Evaluation Approaches 231

Comparison of 2007 and 2014 Ratings 236

Issues Related to the 2011 Program Evaluation Standards 237

Overall Observations 237

The Bottom Line 240

Part Three: Explication of Selected Evaluation Approaches 247

11 EXPERIMENTAL AND QUASI-EXPERIMENTAL DESIGN EVALUATIONS 249

Chapter Overview 249

Basic Requirements of Sound Experiments 250

Prospective Versus Retrospective Studies of Cause 251

Uses of Experimental Design 251

Randomized Controlled Experiments in Context 252

Suchman and the Scientific Approach to Evaluation 256

Contemporary Concepts Associatedwith the Experimental andQuasi-Experimental Design Approach to Evaluation 265

Exemplars of Large-Scale Experimental and Quasi-Experimental Design Evaluations 269

Guidelines for Designing Experiments 271

Quasi-Experimental Designs 280

12 CASE STUDY EVALUATIONS 291

Overview of the Chapter 291

Overview of the Case Study Approach 292

Case Study Research: The Views of Robert Stake 294

Case Study Research: The Views of Robert Yin 297

Particular Case Study Information Collection Methods 301

13 DANIEL STUFFLEBEAM’S CIPP MODEL FOR EVALUATION: AN IMPROVEMENT AND ACCOUNTABILITY-ORIENTED APPROACH 309

Overview of the Chapter 309

CIPP Model in Context 309

Overview of the CIPP Categories 312

Formative and Summative Uses of Context, Input, Process, and Product Evaluations 313

Philosophy and Code of Ethics Underlying the CIPP Model 314

The Model’s Values Component 317

Using the CIPP Framework to Define Evaluation Questions 319

Delineation of the CIPP Categories and Relevant Procedures 319

Use of the CIPP Model as a Systems Strategy for Improvement 332

14 MICHAEL SCRIVEN’S CONSUMER-ORIENTED APPROACH TO EVALUATION  341

Overview of Scriven’s Contributions to Evaluation 341

Scriven’s Background 343

Scriven’s Basic Orientation to Evaluation 343

Scriven’s Definition of Evaluation 343

Critique of Other Persuasions 344

Formative and Summative Evaluation 345

Amateur Versus Professional Evaluation 347

Intrinsic and Payoff Evaluation 347

Goal-Free Evaluation 347

Needs Assessment 348

Scoring, Ranking, Grading, and Apportioning 349

Checklists 352

Key Evaluation Checklist 353

The Final Synthesis 354

Metaevaluation 357

Evaluation Ideologies 357

Avenues to Causal Inference 361

Product Evaluation 363

Professionalization of Evaluation 366

Scriven’s Look to Evaluation’s Future 366

15 ROBERT STAKE’S RESPONSIVE OR STAKEHOLDER-CENTERED EVALUATION APPROACH 373

Stake’s Professional Background 374

Factors Influencing Stake’s Development of Evaluation Theory 374

Stake’s 1967 ‘‘Countenance of Educational Evaluation’’ Article 375

Responsive Evaluation Approach 383

Substantive Structure of Responsive Evaluation 390

Functional Structure of Responsive Evaluation 390

An Application of Responsive Evaluation 392

Stake’s Recent Rethinking of Responsive Evaluation 397

16 MICHAEL PATTON’S UTILIZATION-FOCUSED EVALUATION 403

Adherents of Utilization-Focused Evaluation 404

Some General Aspects of Patton’s Utilization-Focused Evaluation 405

Intended Users of Utilization-Focused Evaluation 407

Focusing a Utilization-Focused Evaluation 407

The Personal Factor as Vital to an Evaluation’s Success 408

The Evaluator’s Roles 408

Utilization-Focused Evaluation and Values and Judgments 409

Employing Active-Reactive-Adaptive Processes to Negotiate with Users 410

Patton’s Eclectic Approach 411

Planning Utilization-Focused Evaluations 411

Collecting and Analyzing Information and Reporting Findings 412

Summary of Premises of Utilization-Focused Evaluation 413

Strengths of the Utilization-Focused Evaluation Approach 414

Limitations of the Utilization-Focused Evaluation Approach 415

Part Four: Evaluation Tasks, Procedures, and Tools 421

17 IDENTIFYING AND ASSESSING EVALUATION OPPORTUNITIES 423

Sources of Evaluation Opportunities 423

Bidders’ Conferences 431

18 FIRST STEPS IN ADDRESSING EVALUATION OPPORTUNITIES 435

Developing the Evaluation Team 436

Developing Thorough Familiarity with the Need for the Evaluation 437

Stipulating Standards for Guiding and Assessing the Evaluation 437

Establishing Institutional Support for the Projected Evaluation 437

Developing the Evaluation Proposal’s Appendix 438

Planning for a Stakeholder Review Panel 439

19 DESIGNING EVALUATIONS 445

A Design Used for Evaluating the Performance Review System of a Military Organization 446

Generic Checklist for Designing Evaluations 462

20 BUDGETING EVALUATIONS 479

Ethical Imperatives in Budgeting Evaluations 480

Fixed-Price Budget for Evaluating a Personnel Evaluation System 483

Other Types of Evaluation Budgets 486

Generic Checklist for Developing Evaluation Budgets 493

21 CONTRACTING EVALUATIONS 505

Definitions of Evaluation Contracts and Memorandums of Agreement 506

Rationale for Evaluation Contracting 508

Addressing Organizational Contracting Requirements 511

Negotiating Evaluation Agreements 511

Evaluation Contracting Checklist 512

22 COLLECTING EVALUATIVE INFORMATION 519

Key Standards for Information Collection 519

An Information Collection Framework 540

Useful Methods for Collecting Information 543

23 ANALYZING AND SYNTHESIZING INFORMATION 557

General Orientation to Analyzing and Synthesizing Information 558

Principles for Analyzing and Synthesizing Information 559

Analysis of Quantitative Information 560

Analysis of Qualitative Information 575

Justified Conclusions and Decisions 580

24 COMMUNICATING EVALUATION FINDINGS 589

Review of Pertinent Analysis and Advice from Previous Chapters 590

Complex Needs and Challenges in Reporting Evaluation Findings 591

Establishing Conditions to Foster Use of Findings 592

Providing Interim Evaluative Feedback 600

Preparing and Delivering the Final Report 603

Providing Follow-Up Support to Enhance an Evaluation’s Impact 619

Part Five: Metaevaluation and Institutionalizing and Mainstreaming Evaluation 629

25 METAEVALUATION: EVALUATING EVALUATIONS 631

Rationale for Metaevaluation 632

Evaluator and Client Responsibilities in Regard to Metaevaluation 634

Formative and Summative Metaevaluations 634

A Conceptual and Operational Definition of Metaevaluation 634

An Instructive Metaevaluation Case 640

Metaevaluation Tasks 643

Metaevaluation Arrangements and Procedures 647

Comparative Metaevaluations 662

Checklists for Use in Metaevaluations 664

The Role of Context and Resource Constraints 664

26 INSTITUTIONALIZING AND MAINSTREAMING EVALUATION 671

Review of this Book’s Themes 671

Overview of the Remainder of the Chapter 672

Rationale and Key Principles for Institutionalizing and Mainstreaming Evaluation 673

Early Efforts to Help Organizations Institutionalize Evaluation 674

Recent Advances of Use in Institutionalizing and Mainstreaming Evaluation 675

Checklist for Use in Institutionalizing and Mainstreaming Evaluation 676

Glossary 691

References 713

Index 744

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Author Information

DANIEL L. STUFFLEBEAM, PHD, is Distinguished University Professor Emeritus at Western Michigan University, Kalamazoo.

CHRIS L. S. CORYN, PHD, is director of the Interdisciplinary PhD in Evaluation (IDPE) program and assistant professor in the Evaluation, Measurement, and Research (EMR) program at Western Michigan University. He is the executive editor of the Journal of MultiDisciplinary Evaluation.

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