Using formal theory in evaluation – What is it and how is it used?
| Published date | 01 September 2024 |
| DOI | http://doi.org/10.1177/1035719X241249249 |
| Author | Kim Grey |
| Date | 01 September 2024 |
| Subject Matter | Academic Articles |
Academic Article
Evaluation Journal of Australasia
2024, Vol. 24(3) 170–192
© The Author(s) 2024
Article reuse guidelines:
sagepub.com/journals-permissions
DOI: 10.1177/1035719X241249249
journals.sagepub.com/home/evj
Using formal theory in
evaluation –What is it and
how is it used?
Kim Grey
Charles Darwin University, Australia
Abstract
Little information is available about how formal, social science theory has been used
in outcome evaluations. This gap exists in debates about what role theory has in
evaluation. To help address this, we need to understand variation in formal theory
use in real-world practice. This research applied systematic qualitative coding to
identify and classify patterns of theory use, followed by qualitative comparative
analysis. The terms describing theory are defined and formal theory is differentiated
from other kinds of theory, such as program theory. The study found instances of
borrowing and repurposing theoretical material in a cohesive sample of 17 outcome
evaluation reports covering programs addressing complex social problems, drawn
from cross-cultural contexts. Theory was mostly used for post hoc explanation and
less often used upfront in framing, design and conduct of evaluation. The concrete
approach in the literature of applying formal theory to measure and explain causal
pathways to behavioural outcomes was found, as was layered use of a range of
theoretical material. This article offers insights that may assist evaluators to un-
dertaken more sophisticated and reflective approaches to using theory. Thinking
about ways we use theory could form part of the tool-kit of techniques available to
evaluation practice.
Corresponding author:
Kim Grey, Charles Darwin University, Ellengowan Drive, Brinkin, NT 0909, Australia.
Email: kimgrey@internode.on.net
Keywords
complexity, formal theory, practice, research about evaluation, social science theory,
theory based evaluation
What we already know
·Very little is known about the use of formal theory in evaluation.
·We know that social science theory plays a role in evaluation, as theory
can enhance explanation by drawing on existing knowledge to clarify
why programs fail.
The original contribution the article makes to theory and/
or practice
·This article is based on a study of use of formal theory in a set of
evaluation reports.
·It offers insights which may assist evaluators to undertaken more
sophisticated and reflective approaches to using theory.
Introduction
Evaluation plays an important role in helping to understand rather than only measure
the outcomes of programs. However, evaluation sometimes struggles to explain
program effects when addressing persistent social problems (Leeuw & Vaessen, 2010).
The search for adequate explanation of effectiveness and efficiency is a significant
feature of outcome evaluation. The term ‘outcome evaluation’refers to evaluations that
describe the results of interventions, with the term ‘impact’used to mean a study
covering the attribution of cause and effect –see Schwandt (2015) and Stern et al.
(2012). One way to enhance explanation is through the use of theory in order to draw on
existing knowledge. While not all writers agree on the need for theory, Chen and Rossi
(1983) argue that theory can clarify why programs fail and potentially help avoid this by
anticipating weakness.
The idea that good theory is useful is attractive. This idea, commonly attributed to
Kurt Lewin, dates back more than half a century. The aphorism ‘there is nothing as
practical as a good theory’has lasting resonance –Bedeian (2016) suggests that it
comes from a reference by Kurt Lewin to a much older statement. Greenwald (2012)
considers how theory contributes to the development of method. In evaluation, Pawson
(2013) has emphasised the practical value of theory in building understanding of the
Grey 171
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