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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:
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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Title Page
Copyright
List of Figures, Tables, and Exhibits
Figures
Tables
Exhibits
Dedication
Preface
Acknowledgments
The Authors
Introduction
Changes to the First Edition
Intended Audience
Overview of the Book's Contents
Study Suggestions
Summary
Part One: Fundamentals of Evaluation
Chapter 1: Overview of the Evaluation Field
What Are Appropriate Objects of Evaluations and Related Subdisciplines of Evaluation?
Are Evaluations Enough to Control Quality, Guide Improvement, and Protect Consumers?
Evaluation as a Profession and Its Relationship to Other Professions
What Is Evaluation?
How Good Is Good Enough? How Bad Is Intolerable? How Are These Questions Addressed?
What Are Performance Standards? How Should They Be Applied?
Why Is It Appropriate to Consider Multiple Values?
Should Evaluations Be Comparative, Noncomparative, or Both?
How Should Evaluations Be Used?
Why Is It Important to Distinguish Between Informal Evaluation and Formal Evaluation?
How Do Service Organizations Meet Requirements for Public Accountability?
What Are the Methods of Formal Evaluation?
What Is the Evaluation Profession, and How Strong Is It?
What Are the Main Historical Milestones in the Evaluation Field's Development?
Summary
Group Exercises
Notes
Suggested Supplemental Readings
Chapter 2: Evaluation Theory
General Features of Evaluation Theories
Theory's Role in Developing the Program Evaluation Field
Functional and Pragmatic Bases of Extant Program Evaluation Theory
A Word About Research Related to Program Evaluation Theory
Program Evaluation Theory Defined
Criteria for Judging Program Evaluation Theories
Theory Development as a Creative Process Subject to Review and Critique by Users
Status of Theory Development in the Program Evaluation Field
Importance and Difficulties of Considering Context in Theories of Program Evaluation
Need for Multiple Theories of Program Evaluation
Hypotheses for Research on Program Evaluation
Potential Utility of Grounded Theories
Potential Utility of Metaevaluations in Developing Theories of Program Evaluation
Program Evaluation Standards and Theory Development
Summary
Group Exercises
Note
Suggested Supplemental Readings
Chapter 3: Standards for Program Evaluations
The Need for Evaluation Standards
Background of Standards for Program Evaluations
Joint Committee Program Evaluation Standards
American Evaluation Association Guiding Principles for Evaluators
Government Auditing Standards
Using Evaluation Standards
Summary
Group Exercises
Notes
Suggested Supplemental Readings
Part Two: An Evaluation of Evaluation Approaches and Models
Chapter 4: Background for Assessing Evaluation Approaches
Evaluation Approaches
Importance of Studying Alternative Evaluation Approaches
The Nature of Program Evaluation
Previous Classifications of Alternative Evaluation Approaches
Caveats
Summary
Group Exercise
Suggested Supplemental Readings
Chapter 5: Pseudoevaluations
Background and Introduction
Approach 1: Public Relations Studies
Approach 2: Politically Controlled Studies
Approach 3: Pandering Evaluations
Approach 4: Evaluation by Pretext
Approach 5: Empowerment Under the Guise of Evaluation
Approach 6: Customer Feedback Evaluation
Summary
Group Exercises
Notes
Suggested Supplemental Readings
Chapter 6: Quasi-Evaluation Studies
Quasi-Evaluation Approaches Defined
Functions of Quasi-Evaluation Approaches
General Strengths and Weaknesses of Quasi-Evaluation Approaches
Approach 7: Objectives-Based Studies
Approach 8: The Success Case Method
Approach 9: Outcome Evaluation as Value-Added Assessment
Approach 10: Experimental and Quasi-Experimental Studies
Approach 11: Cost Studies
Approach 12: Connoisseurship and Criticism
Approach 13: Theory-Based Evaluation
Approach 14: Meta-Analysis
Summary
Group Exercises
Note
Suggested Supplemental Readings
Chapter 7: Improvement- and Accountability-Oriented Evaluation Approaches
Improvement- and Accountability-Oriented Evaluation Defined
Functions of Improvement- and Accountability-Oriented Approaches
General Strengths and Weaknesses of Decision- and Accountability-Oriented Approaches
Approach 15: Decision- and Accountability-Oriented Studies
Approach 16: Consumer-Oriented Studies
Approach 17: Accreditation and Certification
Summary
Group Exercises
Note
Suggested Supplemental Readings
Chapter 8: Social Agenda and Advocacy Evaluation Approaches
Overview of Social Agenda and Advocacy Approaches
Approach 18: Responsive or Stakeholder-Centered Evaluation
Approach 19: Constructivist Evaluation
Approach 20: Deliberative Democratic Evaluation
Approach 21: Transformative Evaluation
Summary
Group Exercises
Suggested Supplemental Readings
Chapter 9: Eclectic Evaluation Approaches
Overview of Eclectic Approaches
Approach 22: Utilization-Focused Evaluation
Approach 23: Participatory Evaluation
Summary
Group Exercises
Suggested Supplemental Readings
Chapter 10: Best Approaches for Twenty-First-Century Evaluations
Selection of Approaches for Analysis
Methodology for Analyzing and Evaluating the Nine Approaches
Our Qualifications as Raters
Conflicts of Interest Pertaining to the Ratings
Standards for Judging Evaluation Approaches
Comparison of 2007 and 2014 Ratings
Issues Related to the 2011 Program Evaluation Standards
Overall Observations
The Bottom Line
Summary
Group Exercises
Notes
Suggested Supplemental Readings
Part Three: Explication of Selected Evaluation Approaches
Chapter 11: Experimental and Quasi-Experimental Design Evaluations
Chapter Overview
Basic Requirements of Sound Experiments
Prospective Versus Retrospective Studies of Cause
Uses of Experimental Design
Randomized Controlled Experiments in Context
Suchman and the Scientific Approach to Evaluation
Contemporary Concepts Associated with the Experimental and Quasi-Experimental Design Approach to Evaluation
Exemplars of Large-Scale Experimental and Quasi-Experimental Design Evaluations
Guidelines for Designing Experiments
Quasi-Experimental Designs
Summary
Group Exercises
Suggested Supplemental Readings
Chapter 12: Case Study Evaluations
Overview of the Chapter
Overview of the Case Study Approach
Case Study Research: The Views of Robert Stake
Case Study Research: The Views of Robert Yin
Particular Case Study Information Collection Methods
Summary
Group Exercises
Suggested Supplemental Readings
Chapter 13: Daniel Stufflebeam's CIPP Model for Evaluation: An Improvement- and Accountability-Oriented Approach
Overview of the Chapter
CIPP Model in Context
Overview of the CIPP Categories
Formative and Summative Uses of Context, Input, Process, and Product Evaluations
Philosophy and Code of Ethics Underlying the CIPP Model
The Model's Values Component
Using the CIPP Framework to Define Evaluation Questions
Delineation of the CIPP Categories and Relevant Procedures
Use of the CIPP Model as a Systems Strategy for Improvement
Summary
Group Exercises
Suggested Supplemental Readings
Chapter 14: Michael Scriven's Consumer-Oriented Approach to Evaluation
Overview of Scriven's Contributions to Evaluation
Scriven's Background
Scriven's Basic Orientation to Evaluation
Scriven's Definition of Evaluation
Critique of Other Persuasions
Formative and Summative Evaluation
Amateur Versus Professional Evaluation
Intrinsic and Payoff Evaluation
Goal-Free Evaluation
Needs Assessment
Scoring, Ranking, Grading, and Apportioning
Checklists
Key Evaluation Checklist
The Final Synthesis
Metaevaluation
Evaluation Ideologies
Avenues to Causal Inference
Product Evaluation
Professionalization of Evaluation
Scriven's Look to Evaluation's Future
Summary
Group Exercises
Notes
Suggested Supplemental Readings
Chapter 15: Robert Stake's Responsive or Stakeholder-Centered Evaluation Approach
Stake's Professional Background
Factors Influencing Stake's Development of Evaluation Theory
Stake's 1967 “Countenance of Educational Evaluation” Article
Responsive Evaluation Approach
Substantive Structure of Responsive Evaluation
Functional Structure of Responsive Evaluation
An Application of Responsive Evaluation
Stake's Recent Rethinking of Responsive Evaluation
Summary
Group Exercises
Note
Suggested Supplemental Readings
Chapter 16: Michael Patton's Utilization-Focused Evaluation
Adherents of Utilization-Focused Evaluation
Some General Aspects of Patton's Utilization-Focused Evaluation
Intended Users of Utilization-Focused Evaluation
Focusing a Utilization-Focused Evaluation
The Personal Factor as Vital to an Evaluation's Success
The Evaluator's Roles
Utilization-Focused Evaluation and Values and Judgments
Employing Active-Reactive-Adaptive Processes to Negotiate with Users
Patton's Eclectic Approach
Planning Utilization-Focused Evaluations
Collecting and Analyzing Information and Reporting Findings
Summary of Premises of Utilization-Focused Evaluation
Strengths of the Utilization-Focused Evaluation Approach
Limitations of the Utilization-Focused Evaluation Approach
Summary
Group Exercises
Note
Suggested Supplemental Readings
Part Four: Evaluation Tasks, Procedures, and Tools
Chapter 17: Identifying and Assessing Evaluation Opportunities
Sources of Evaluation Opportunities
Bidders' Conferences
Summary
Group Exercises
Suggested Supplemental Reading
Chapter 18: First Steps in Addressing Evaluation Opportunities
Developing the Evaluation Team
Developing Thorough Familiarity with the Need for the Evaluation
Stipulating Standards for Guiding and Assessing the Evaluation
Establishing Institutional Support for the Projected Evaluation
Developing the Evaluation Proposal's Appendix
Planning for a Stakeholder Review Panel
Summary
Group Exercise
Suggested Supplemental Readings
Chapter 19: Designing Evaluations
A Design Used for Evaluating the Performance Review System of a Military Organization
Generic Checklist for Designing Evaluations
Summary
Suggested Supplemental Readings
Chapter 20: Budgeting Evaluations
Ethical Imperatives in Budgeting Evaluations
Fixed-Price Budget for Evaluating a Personnel Evaluation System
Other Types of Evaluation Budgets
Generic Checklist for Developing Evaluation Budgets
Summary
Group Exercises
Note
Suggested Supplemental Readings
Chapter 21: Contracting Evaluations
Definitions of Evaluation Contracts and Memorandums of Agreement
Rationale for Evaluation Contracting
Addressing Organizational Contracting Requirements
Negotiating Evaluation Agreements
Evaluation Contracting Checklist
Summary
Group Exercises
Suggested Supplemental Readings
Chapter 22: Collecting Evaluative Information
Key Standards for Information Collection
An Information Collection Framework
Useful Methods for Collecting Information
Summary
Suggested Supplemental Readings
Chapter 23: Analyzing and Synthesizing Information
General Orientation to Analyzing and Synthesizing Information
Principles for Analyzing and Synthesizing Information
Analysis of Quantitative Information
Analysis of Qualitative Information
Justified Conclusions and Decisions
Summary
Group Exercises
Suggested Supplemental Readings
Chapter 24: Communicating Evaluation Findings
Review of Pertinent Analysis and Advice from Previous Chapters
Complex Needs and Challenges in Reporting Evaluation Findings
Establishing Conditions to Foster Use of Findings
Providing Interim Evaluative Feedback
Preparing and Delivering the Final Report
Providing Follow-Up Support to Enhance an Evaluation's Impact
Summary
Group Exercises
Suggested Supplemental Readings
Part Five: Metaevaluation and Institutionalizing and Mainstreaming Evaluation
Chapter 25: Metaevaluation: Evaluating Evaluations
Rationale for Metaevaluation
Evaluator and Client Responsibilities in Regard to Metaevaluation
Formative and Summative Metaevaluations
A Conceptual and Operational Definition of Metaevaluation
An Instructive Metaevaluation Case
Metaevaluation Tasks
Metaevaluation Arrangements and Procedures
Comparative Metaevaluations
Checklists for Use in Metaevaluations
The Role of Context and Resource Constraints
Summary
Group Exercises
Note
Suggested Supplemental Readings
Chapter 26: Institutionalizing and Mainstreaming Evaluation
Review of this Book's Themes
Overview of the Remainder of the Chapter
Rationale and Key Principles for Institutionalizing and Mainstreaming Evaluation
Early Efforts to Help Organizations Institutionalize Evaluation
Recent Advances of Use in Institutionalizing and Mainstreaming Evaluation
Checklist for Use in Institutionalizing and Mainstreaming Evaluation
Summary
Group Exercises
Suggested Supplemental Readings
Glossary
References
Index
End User License Agreement
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Cover
Table of Contents
Introduction
Part One: Fundamentals of Evaluation
Begin Reading
Figure 1.1
Figure 6.1
Figure 6.2
Figure 6.3
Figure 6.4
Figure 6.5
Figure 6.6
Figure 6.7
Figure 10.1
Figure 11.1
Figure 11.2
Figure 11.3
Figure 11.4
Figure 11.5
Figure 11.6
Figure 11.7
Figure 12.1
Figure 13.1
Figure 13.2
Figure 22.1
Figure 22.2
Figure 23.1
Figure 23.2
Figure 23.3
Figure 23.4
Figure 25.1
Table 1.1
Table 1.2
Table 1.3
Table 2.1
Table 2.2
Table 3.1
Table 3.2
Table 5.1
Table 10.1
Table 11.1
Table 11.2
Table 13.1
Table 13.2
Table 13.3
Table 15.1
Table 15.2
Table 15.3
Table 20.1
Table 20.2
Table 20.3
Table 20.4
Table 20.5
Table 20.6
Table 22.1
Table 22.2
Table 22.3
Table 23.1
Table 23.2
Table 23.3
Table 24.1
Table 25.1
Table 25.2
Table 25.3
Table 25.4
Second Edition
Daniel L. Stufflebeam
Chris L. S. Coryn
Cover design: Wiley
Cover image: © PASIEKAs | Getty
Copyright © Daniel L. Stufflebeam and Chris L. S. Coryn All rights reserved.
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Library of Congress Cataloging-in-Publication Data
Stufflebeam, Daniel L.
Evaluation theory, models, and applications / Daniel L. Stufflebeam,
Chris L.S. Coryn.— Second edition.
pages cm.— (Research methods for the social sciences ; 50)
Includes bibliographical references and index.
ISBN 978-1-118-07405-3 (cloth)— ISBN 978-1-118-87032-7 (pdf)—
ISBN 978-1-118-87022-8 (epub)
1. Evaluation research (Social action programs) I. Coryn, Chris L. S.
II. Title.
H62.S79627 2014
001.4— dc23
2014001638
1.1
Relationship Between Program Life Cycle and Evaluation Purpose
6.1
Conceptual Model of the Success Case Method
6.2
Distributional Assumptions of Success Case Method Samples
6.3
Hypothetical Shed Pattern of Student Gains over a Three-Year Period
6.4
Flowchart of Units Through a Randomized Experiment
6.5
Linear Program Theory Model
6.6
Nonlinear Program Theory Model
6.7
Hypothetical Meta-Analysis Forest Plot
10.1
Strongest Program Evaluation Approaches Within Types in Order of Compliance with
The Program Evaluation Standards
11.1
Suchman's Evaluation Process
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