Utilization-Focused Evaluation

Characteristics of Utilization-Focused Evaluation

[Page 1767]The utilization-focused approach is context specific. It can include any evaluation purposes, theory, model, design, or data. Within this framework, evaluators work to understand the specific situation, intended users, and evaluation purposes. They also build the capacity of the primary intended users to make evaluation decisions. The evaluators then guide these users in determining the evaluation’s questions and design, matched to the specific context for the specific purpose of the evaluation. At the same time, the evaluators adhere to professional principles and attend to the evaluation’s accuracy and feasibility.

Utilization-focused evaluation is both a comprehensive philosophy and a pragmatic approach. Patton published his first book with this title in 1978 and has since documented numerous evaluations adhering to this approach. His approach to evaluation emerged in a time when numerous researchers were characterizing the impact of evaluation as unsuccessful because the results were not being used. Patton’s research found that evaluations were more likely to affect change when individuals took direct, personal responsibility for making or advocating for decisions based on the results. In evaluations that did not include this ownership component, the results did not impact organizational change.

Conducting Utilization-Focused Evaluation

Patton has developed a 17-step process for conducting utilization-focused evaluation. These steps provide a deeper understanding of the utilization-focused evaluation process. It is important to note that, while these are organized as steps, they do not necessarily represent a linear process. Some steps are undertaken together while other steps must be addressed throughout the entire evaluation process.

Step 1. Assess and build program and organizational readiness for utilization-focused evaluation. Evaluators must strengthen the capacity for primary intended users to understand and value evaluation by learning about their organizational culture, perceptions of evaluation, and what they hope to gain from the evaluation. For example, the evaluator could ask a series of questions to gain an understanding of various perspectives of the organization and stakeholder groups, including their past experience with evaluation. Based on the responses, the evaluator might need to conduct a workshop to build evaluation capacity or support the stakeholder groups to develop a shared vision for the evaluation.

Step 2. Assess and enhance evaluator readiness and competence to undertake a utilization-focused evaluation. Evaluators need to establish credibility by demonstrating both technical competency to conduct the evaluation (e.g., identifying methods and measures, collecting valid data, and reporting accurate results) and situational responsiveness (e.g., cultural competence, group facilitation, conflict management, and adaptability). They must ensure that the evaluation is pragmatic, balancing methodological rigor with authentic response to the unique evaluation needs of the primary intended users. One example of this is to share artifacts from similar evaluation projects that the evaluator conducted, such as logic models, evaluation plans, measures, or summarized data reports. The evaluator should also explain how the tools were codeveloped with stakeholders.

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