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Read chapters 4 and 5 from Patton’s book (Essentials of utilization-focused evaluation). Write three points of interest and three corresponding open-ended discussion questions about each of approximately two of the assigned readings. You must highlight all the content on the book so I can identify your work.Make your answer clear and organized Points of interest Something in the reading that stood out to you, surprised you, or resonated with your experience; Something that connects with things you have learned in this or other courses; Something in the reading that you want a deeper understanding about;Something that has implications for your evaluation proposal.Open-ended questions: In general, these are questions that begin with the words What, Why, and How. Good questions will: Ask the class to reflect on the point of interest; Invite the class to think critically; Invite the class to think independently and creatively; Allow for students to express opinions based on what was read.”Use yellow color to highlight all the sentences or content that you did comment on each work and send it back to me along with your answer”Remember I use two sites for plagiarism checkers, so make sure your work free from counterfeit. In case if I find that you have plagiarism in your work, so will provide the result to you and no redo work will be accepted. So please your own world and thoughts.
essentials_of_utilization_focused_evaluation_by_michael_quinn_patton__z_lib.org_.pdf

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of
ESSENTIALS
UTILIZATION-FOCUSED
EVALUATION
To
Jean K. Gornick,
my brevity muse.
The calculus she holds before me:
“Fewer words,
more readers,
more smiles,
greater utility.”
of
ESSENTIALS
UTILIZATION-FOCUSED
EVALUATION
MICHAEL QUINN PATTON
Utilization-Focused Evaluation, Saint Paul, Minnesota
-6905-694(;065!
Copyright © 2012 by SAGE Publications, Inc.
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All rights reserved. No part of this book may be
reproduced or utilized in any form or by any
means, electronic or mechanical, including
photocopying, recording, or by any information
storage and retrieval system, without permission in
writing from the publisher.
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This book is printed on acid-free paper.
11 12 13 14 15 10 9 8 7 6 5 4 3 2 1
Contents
Preface
xvii
About the Author
xxi
Introduction, Overview, and Context
Utilization-Focused Reality Testing: Finding Out if
What Is Hoped for Actually Happens
Step 1. Assess and Build Program and Organizational Readiness
for Utilization-Focused Evaluation
Step 2. Assess and Enhance Evaluator Readiness and Competence
to Undertake a Utilization-Focused Evaluation
Interlude, Steps 1 and 2. Complex Dynamic Systems Interconnections:
Assessing the Match Between the Program and Evaluator, the
Interrelationship Between Steps 1 and 2
Step 3. Identify, Organize, and Engage Primary
Intended Users: The Personal Factor
Interlude, Steps 1, 2, and 3. Complex Dynamic Systems Interconnections:
Assessing the Readiness of Primary Intended Users to Engage
Step 4. Situation Analysis Conducted Jointly With Primary Intended Users
Interlude, Steps 1 Through 4. Complex Dynamic
Systems Interconnections: Assessing the Alignment Among the
Steps and Integrating the Situation Analysis From Steps 1 Through 4
Step 5. Identify and Prioritize Primary Intended
Uses by Determining Priority Purposes
Interlude, Steps 1 Through 5. Complex Dynamic
Systems Interconnections: Focusing
on Intended Uses by Intended Users
1
15
37
59
61
85
87
111
113
138
Step 6. Consider and Build in Process Uses if and as Appropriate
Interlude, Steps 1 Through 6. Complex Dynamic Systems
Interconnections: Integrating Findings Uses and Process Uses
140
Step 7. Focus Priority Evaluation Questions
Interlude, Steps 1 Through 7. Complex Dynamic
Systems Interconnections: Questioning and Focusing
as Part of Each Step Throughout the U-FE Process
169
Step 8. Check That Fundamental Areas for Evaluation Inquiry
Are Being Adequately Addressed: Implementation, Outcomes,
and Attribution Questions
Interlude, Steps 1 Through 8. Complex Dynamic Systems
Interconnections: Attending to Fundamental Interconnections
Step 9. Determine What Intervention Model or Theory of
Change Is Being Evaluated
Interlude, Steps 1 Through 9. Complex Dynamic
Systems Interconnections: Considering Model and Theory
Formulation Issues Throughout the U-FE Process
Step 10. Negotiate Appropriate Methods to Generate Credible
Findings That Support Intended Use by Intended Users
Interlude, Steps 1 Through 10. Complex Dynamic
Systems Interconnections: Attending to Methods and
Design Decisions Throughout the U-FE Process
Step 11. Make Sure Intended Users Understand Potential
Methods Controversies and Their Implications
Interlude, Steps 1 Through 11. Complex Dynamic Systems
Interconnections: Making Methods Choices That Are Appropriate
166
188
191
228
230
261
263
282
284
307
Step 12. Simulate Use of Findings: Evaluation’s Equivalent of a Dress Rehearsal
309
Step 13. Gather Data With Ongoing Attention to Use
323
Step 14. Organize and Present the Data for Interpretation and Use by
Primary Intended Users: Analysis, Interpretation, Judgment,
and Recommendations
336
Step 15. Prepare an Evaluation Report to Facilitate Use and
Disseminate Significant Findings to Expand Influence
365
Step 16. Follow Up With Primary Intended Users
to Facilitate and Enhance Use
Interlude, Interconnections Among Steps 14–16. U-FE
as a Complex Dynamic System: Facilitating Use
386
Step 17. Metaevaluation of Use: Be Accountable, Learn, and Improve
388
Summary and Conclusion
403
380
Utilization-Focused Evaluation Checklist: 17 Steps
to Evaluations That Are Useful—and Actually Used
406
U-FE Complex Dynamic and Adaptive Systems Graphic:
Interactions Among All 17 Steps
425
References
427
Author Index
441
Subject Index
445
Detailed Contents
Preface
xvii
About the Author
xxi
Introduction, Overview, and Context
Utilization-Focused Reality Testing: Finding Out if
What Is Hoped for Actually Happens
1. Step 1: Assess and Build Program and Organizational Readiness
for Utilization-Focused Evaluation
Learning About and Assessing the Evaluation Context
Formally Launching the Evaluation:
Exercises to Help Assess and Build Readiness
for Evaluation—and Get the Process Started
Initiating a Utilization-Focused Evaluation
Practice Exercises
2. Step 2: Assess and Enhance Evaluator Readiness and
Competence to Undertake a Utilization-Focused Evaluation
Essential Competencies
Evaluator Credibility
Utilization-Focused Evaluation Competence and Credibility
Technical and Methodological Competence:
Utilization-Focused Pragmatism
Evaluation Negotiations
Being Active-Reactive-Interactive-Adaptive
Adaptive Management
Multiple Evaluator Roles and Individual Style
Evaluation Teams
Cultural Competence
Respect for Intended Users
Balancing Attention to
Tasks and Relationships in Group Facilitation
1
15
18
19
35
36
37
38
40
42
44
44
47
47
49
50
50
53
53
Reflexivity
Self-Knowledge: Beyond Narcissism
Practice Exercises
Interlude, Steps 1 and 2. Complex Dynamic Systems Interconnections:
Assessing the Match Between the Program and Evaluator,
the Interrelationship Between Steps 1 and 2
3. Step 3: Identify, Organize, and Engage
Primary Intended Users: The Personal Factor
Asking Users About Use
The Personal Factor
Data on the Importance of the Personal Factor
Supporting Research on the Personal Factor
Identifying and Working With Primary Intended Users
Intended Users at Different Levels: From Local to
National and International Engagement
Evaluation Use Exemplars
Evaluation’s Premier Lesson
Practical Implications of the Personal Factor:
Selecting and Working With Primary Intended Users
Temptations Away From Engaging Primary Intended Users
Practice Exercises
Interlude, Steps 1, 2, and 3. Complex Dynamic Systems Interconnections:
Assessing the Readiness of Primary Intended Users to Engage
4. Step 4: Situation Analysis
Conducted Jointly With Primary Intended Users
Context Matters: The Challenge of Situation Analysis
in Designing and Conducting Evaluations
Force Field Analysis
Identifying Factors and Forces
Internal and External Evaluators
Themes From Internal Evaluators
Internal Role Definitions
Internal-External Evaluation Combinations
Evaluation as a Leadership Function
Evaluation Team Composition Analysis
Balancing Task and Relationship Demands
Risk Assessment and Contingency Thinking
Three Types of Risk
55
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84
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What’s Worth Knowing
Practice Exercises
Interlude, Steps 1 Through 4. Complex Dynamic Systems
Interconnections: Assessing the Alignment Among the Steps and
Integrating the Situation Analysis From Steps 1 Through 4
5. Step 5: Identify and Prioritize Primary Intended Uses
by Determining Priority Purposes
Purpose Decisions Connected to Situation Analysis
Six Alternative Evaluation Purposes
Summative, Judgment-Oriented Evaluation
Improvement-Oriented, Formative Evaluation
Accountability
Monitoring: Evaluation’s Global Partner
Knowledge-Generating Evaluation
Developmental Evaluation
Applying Purpose and Use Distinctions
Evaluation Use and Decision Making
Making Menu Selections: Connecting Decisions to Uses
Practice Exercises
Interlude, Steps 1 Through 5. Complex Dynamic Systems Interconnections:
Focusing on Intended Uses by Intended Users
6. Step 6: Consider and Build in Process Uses if and as Appropriate
Beyond Just Findings Use
Process as Outcome
Process Use as a Usefulism
Valuing Process Use
Varieties of Process Use
Developmental Evaluation
Intentional and Planned Process Use as a Menu Option
in Utilization-Focused Evaluations
Concerns, Caveats, and Controversies: Objections to
and Abuses of Process Use
Practice Exercises
Interlude, Steps 1 Through 6. Complex Dynamic Systems
Interconnections: Integrating Findings Uses and Process Uses
7. Step 7: Focus Priority Evaluation Questions
Actionable Evaluation Questions
Generating Questions
107
109
111
113
114
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160
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Matching Questions to the Evaluation’s Purpose
Evolving Questions Over Time: Stage Models of Evaluation
A Menu Approach to Focusing Evaluations
Focusing on Future Decisions
Focusing on Critical Issues or Concerns
Testing Assumptions
Discussing Undiscussables
The IT Question
Focusing an Evaluation
Practice Exercises
Interlude, Steps 1 through 7. Complex Dynamic
Systems Interconnections: Questioning and Focusing
as Part of Each Step Throughout the U-FE Process
8. Step 8: Check That Fundamental Areas for
Evaluation Inquiry Are Being Adequately Addressed:
Implementation, Outcomes, and Attribution Questions
Implementation Evaluation: What Happened in the Program?
A Beginning Point: Does the Program Exist?
The Importance of Implementation Analysis:
Distinguishing Theory Failure From Implementation Failure
Focus on Utility: Information for Action and Decisions
Ideal Plans Versus Actual Implementation
Adaptation Versus Fidelity
Variations and Options for Implementation Evaluation
Implementation Fundamentals Summary
Focusing on Program Goals and Participant Outcomes
Evaluability Assessment and Goals Clarification
Questions for Goals Clarification
Focusing on Outcomes and Results
Problematic Outcome Examples
Facilitating Understanding of and a Focus on Outcomes
Utilization-Focused Outcomes Framework
Interconnections Among the Distinct Parts of the Framework
Staying Focused on Primary Intended Users
10 Principles for Meaningful and Useful Goals
Using These Guidelines
Prioritizing Outcomes for Evaluation: Importance Versus Utility
Turbulent Environments and Changing Goals
Alternatives to Goals-Based Evaluation
Goal-Free Evaluation
173
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The Attribution Question: The Fundamentals of Evaluating
the Connection Between Implementation and Outcomes
Evaluability Assessment and Program Theory
Evaluation as an Up-Front Activity
Beginning by Connecting Implementation
Elements With Specific Outcomes
Causality and Attribution Questions
Conclusion: Staying Focused
on the Fundamentals of Being Useful
Practice Exercises
Interlude, Steps 1 Through 8. Complex Dynamic Systems
Interconnections: Attending to Fundamental Interconnections
9. Step 9: Determine What Intervention Model or
Theory of Change Is Being Evaluated
The Logic of Program Interventions and Attribution
The Logic Model Option in Evaluation
Constructing a Chain of Objectives
Logic Models Versus Theories of Change:
What Are We Talking About?
Evaluative Thinking: Comparing Rhetoric With Reality
Espoused Versus Actual Program Theories
Facilitating a Theory of Change Model
Getting at Causal Mechanisms and Assumptions
Identifying Critical Assumptions
Filling in the Conceptual Gaps and Testing the
Reasonableness of Program Theories
The Research-Evaluation Connection
Using the Theory of Change to Focus the Evaluation
Cautions Against Theory of Change Work
Systems Theory and Evaluation
Systems Framework Premises
The Increasing Importance of
Systems Thinking in Evaluation
System Failure: Why Governments
Must Learn to Think Differently
Evaluating Systems Reform
Evaluation in Complex Adaptive Systems
Three Kinds of Problems: Simple, Complicated, Complex
222
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An Evaluation Example Illustrating Simple,
Complicated, and Complex Designs
Matching the Evaluation
Framework to the Nature of the Intervention
Theory Informing Practice, Practice Informing Theory
Practice Exercises
Interlude, Steps 1 through 9. Complex Dynamic
Systems Interconnections: Considering Model and
Theory Formulation Issues Through the U-FE Process
10. Step 10: Negotiate Appropriate Methods to Generate Credible
Findings That Support Intended Use by Intended Users
Beyond Technical Expertise
Examples of Methods and Measurement Decisions
That Benefit From Intended User Involvement
Important Program Performance Rates
Methods and Measurement Options
The Odd-Even Question
Assuring Methodological Quality and Excellence
A Framework for Methods Decisions
Utilization-Focused Methods Principles
Designing Evaluations Worth Using:
Reflections on the State of the Art
Practice Exercises
Interlude, Steps 1 Through 10. Complex Dynamic
Systems Interconnections: Attending to Methods and
Design Decisions Throughout the U-FE Process
11. Step 11: Make Sure Intended Users Understand
Potential Methods Controversies and Their Implications
Methodology, Ideology, and Paradigms
What Constitutes Rigor and High-Quality Evidence?
Quants and Quals
Quantitative and Qualitative Data:
Different Perspectives on the World
Mixed-Methods Designs: Combining
Qualitative and Quantitative Data
The Gold Standard Debate:
Experimental Versus Nonexperimental Designs
255
257
259
260
261
263
264
266
266
268
268
270
272
273
280
281
282
284
286
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293
The Gold Standard Debate
Randomization
Internal Versus External Validity as a Design Priority
Generalizations Versus
Context-Sensitive Extrapolations
Pragmatism Versus Methodological Purity
Beyond Paradigm Orthodoxies:
A Paradigm of Choices
Practice Exercises
Interlude, Steps 1 Through 11. Complex Dynamic
Systems Interconnections: Making Methods
Choices That Are Appropriate
12. Step 12: Simulate Use of Findings: Evaluation’s
Equivalent of a Dress Rehearsal
Simulated Data Interpretation Scenarios
An Ancient Example
Standards of Desirability
Preparing for Use
Preparing for Interpretation: Making Comparisons
Cost-Benefit Analysis Scenario
Risk Assessment
Virtuous and Vicious Utilization Circles
Using Scenarios to Study Stakeholder
Engagement and Evaluation Use
The Ultimate Question
Practice Exercises
13. Step 13: Gather Data With Ongoing Attention to Use
Effective Management of the Data Collection Process
Managing Participatory Approaches to Data Collection
Keeping Primary Intended Users Informed
About How Things Are Going
Providing Feedback and Reporting Interim Findings
Site Visit Feedback
Reporting Interim Findings to Primary Intended Users
Gather Data With Ongoing Attention to Use
Parting Shot
Practice Exercises
295
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14. Step 14: Organize and Present the Data for Interpretation and
Use by Primary Intended Users: Analysis, Interpretation,
Judgment, and Recommendations
A Framework for Engaging Findings
Arranging Data for Ease of
Interpretation: Focusing the Analysis
Summary Principles of Analysis
Interpretations
An Example of a Utilization-Focused Data-Based
Deliberation With Stakeholders
Making Causal Inferences
Contribution Analysis
Rendering Judgment
Recommendations
Useful and Practical Recommendations: 10 Guidelines
Involving Intended Users in Generating Recommendations
Putting It All Together: Findings, Interpretation, Judgment,
and Recommendations
Preparing for Use
Practice Exercises
361
362
364
15. Step 15: Prepare an Evaluation Report to Facilitate
Use and Disseminate Significant Findings to Expand Influence
Formally Communicating Evaluation Findings: Report Menu
Utilization-Focused Reporting Principles
Use Is a Process, Not a Report
Taking Report Writing Seriously
Practice Exercises
365
366
369
376
378
379
16. Step 16: Follow Up With Primary Intended
Users to Facilitate and Enhance Use
Lessons About the Importance of Follow-Up to Enhance Use
Practice Exercise
380
382
385
Interlude: Interconnections Among Steps 14–16. U-FE as a
Complex Dynamic System: Facilitating Use
17. Step 17: Metaevaluation of Use: Be Accountable, Learn, and Improve
Utilization-Focused Evaluation Metaevaluation
Utility Versus Use
Follow-Up Support as a Metaevaluation Criterion
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International Metaevaluation Criteria: DAC Standards
DAC Standard Supporting Actual Use
Making Metaevaluation Utilization-Focused
Metaevaluation of Potential Utility and Actual Use
Reflective Practice and Learning
Commitment to Ongoing Professional Development
Practice Exercise
Summary and Conclusion
Utilization-Focused Evaluation Steps
Complete U-FE Checklist
Controlled Folly and Use
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398
402
402
403
403
404
404
Utilization-Focused Evaluation Checklist: 17 Steps
to Evaluations That Are Useful—and Actually Used
406
U-FE Complex Dynamic and Adaptive Systems Graphic:
Interactions Among All 17 Steps
425
References
427
Author Index
441
Subject Index
445
Preface
“Patton’s book is overwhelming.”
T
his was the lead item on a PowerPoint slide presenting some first-year lessons learned
in developing utilization-focused evaluation capacity (Ramírez & Brodhead, 2010).
The presenters reported that they had to work hard to turn the 667 pages of the 4th edition
of Utilization-Focused Evaluation (Patton, 2008) into a practical set of processes they could
apply to a real-world development evaluation. Others joined them in reflecting on putting
the principles of utilization-focused evaluation (U-FE) into practice at the 2010 Evaluation
Conclave in New Delhi (Mizumoto & Lim, 2010). I am grateful to Joaquin Navas, Ricardo
Ramirez, and their colleagues for their positive feedback on what they found useful and their
honest feedback about what was difficult as they worked with utilization-focused evaluation, especially the summary U-FE checklist (Patton, 2008, pp. 576–581).
They were not the first to comment on the length of the book. Jim Rugh, the 2010 recipient of the Alva and Gunnar Myrdal Evaluation Practice Award from the American Evaluation
Association and coauthor of RealWorld Evaluation: Working Under Budget, Time, Data,
and Political Constraints (Bamberger, Rugh, & Mabry, 2006), e-mailed me shortly after the
book was published about his experience carrying it on a trip to India. He found himself on
an overnight train in a sleeping compartment with no pillows. Jim wrote that the thickness
of the 4th edition made it quite serviceable and useful as a substitute pillow. He expressed
appreciation for the book’s real-world utility. Others have written lauding its weighty value
for strength training. Minnesot …
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