Evaluation in health promotion : principles and perspectives / edited
Evaluation in health promotion : principles and perspectives / edited
Evaluation in health promotion : principles and perspectives / edited
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Ev <strong>Evaluation</strong> Ev aluation <strong>in</strong> <strong>in</strong> <strong>health</strong> <strong>health</strong> pr <strong>promotion</strong> pr<br />
pr omotion<br />
Ev Evalua aluation ion<br />
<strong>in</strong> healt <strong>health</strong><br />
pr <strong>promotion</strong> omotion<br />
Pr<strong>in</strong>ciples <strong>in</strong>ciples <strong>and</strong><br />
<strong>perspectives</strong> es<br />
WHO Regional Publications<br />
European Series, No. 92
<strong>Evaluation</strong> <strong>in</strong> <strong>health</strong> <strong>promotion</strong><br />
Pr<strong>in</strong>ciples <strong>and</strong> <strong>perspectives</strong>
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<strong>Evaluation</strong> <strong>in</strong> <strong>health</strong> <strong>promotion</strong><br />
Pr<strong>in</strong>ciples <strong>and</strong> <strong>perspectives</strong><br />
Edited by:<br />
Irv<strong>in</strong>g Rootman, Michael Goodstadt,<br />
Brian Hyndman, David V. McQueen,<br />
Louise Potv<strong>in</strong>, Jane Spr<strong>in</strong>gett<br />
<strong>and</strong> Erio Ziglio<br />
Health<br />
Canada<br />
Santé<br />
Canada<br />
WHO Regional Publications, European Series, No. 92
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Introduction <strong>and</strong> framework
Introduction to the book<br />
Irv<strong>in</strong>g Rootman<br />
WHO European Work<strong>in</strong>g Group on Health Promotion<br />
<strong>Evaluation</strong><br />
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A framework for<br />
<strong>health</strong> <strong>promotion</strong> evaluation<br />
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Table 1.1. Def<strong>in</strong>itions of <strong>health</strong> <strong>promotion</strong><br />
Source <strong>and</strong> date Def<strong>in</strong>ition (emphasis added)<br />
Lalonde, 1974 (3) A strategy “aimed at <strong>in</strong>form<strong>in</strong>g, <strong>in</strong>fluenc<strong>in</strong>g <strong>and</strong> assist<strong>in</strong>g both <strong>in</strong>dividuals<br />
<strong>and</strong> organizations so that they will accept more responsibility <strong>and</strong> be<br />
more active <strong>in</strong> matters affect<strong>in</strong>g mental <strong>and</strong> physical <strong>health</strong>”<br />
US Department of<br />
Health, Education, <strong>and</strong><br />
Welfare, 1979 (19)<br />
“A comb<strong>in</strong>ation of <strong>health</strong> education <strong>and</strong> related organizational, political<br />
<strong>and</strong> economic programs designed to support changes <strong>in</strong> behavior <strong>and</strong> <strong>in</strong><br />
the environment that will improve <strong>health</strong>”<br />
Green, 1980 (20) “Any comb<strong>in</strong>ation of <strong>health</strong> education <strong>and</strong> related organizational, political<br />
<strong>and</strong> economic <strong>in</strong>terventions designed to facilitate behavioral <strong>and</strong><br />
environmental changes that will improve <strong>health</strong>”<br />
Green & Iverson, 1982<br />
(21)<br />
“Any comb<strong>in</strong>ation of <strong>health</strong> education <strong>and</strong> related organizational, economic,<br />
<strong>and</strong> environmental supports for behavior conducive to <strong>health</strong>”<br />
Perry & Jessor, 1985 (22) “The implementation of efforts to foster improved <strong>health</strong> <strong>and</strong> well-be<strong>in</strong>g <strong>in</strong><br />
all four doma<strong>in</strong>s of <strong>health</strong> [physical, social, psychological <strong>and</strong> personal]”<br />
Nutbeam, 1985 (23) “The process of enabl<strong>in</strong>g people to <strong>in</strong>crease control over the determ<strong>in</strong>ants<br />
of <strong>health</strong> <strong>and</strong> thereby improve their <strong>health</strong>”<br />
WHO, 1984 (24), 1986<br />
(4) <strong>and</strong> Epp, 1986 (25)<br />
Goodstadt et al., 1987<br />
(26)<br />
“The process of enabl<strong>in</strong>g people to <strong>in</strong>crease control over, <strong>and</strong> to improve,<br />
their <strong>health</strong>”<br />
“The ma<strong>in</strong>tenance <strong>and</strong> enhancement of exist<strong>in</strong>g levels of <strong>health</strong> through<br />
the implementation of effective programs, services, <strong>and</strong> policies”<br />
Kar, 1989 (27) “The advancement of wellbe<strong>in</strong>g <strong>and</strong> the avoidance of <strong>health</strong> risks by<br />
achiev<strong>in</strong>g optimal levels of the behavioral, societal, environmental <strong>and</strong><br />
biomedical determ<strong>in</strong>ants of <strong>health</strong>”<br />
O’Donnell, 1989 (28) “The science <strong>and</strong> art of help<strong>in</strong>g people choose their lifestyles to move<br />
toward a state of optimal <strong>health</strong>”<br />
Labonté & Little, 1992<br />
(29)<br />
“Any activity or program designed to improve social <strong>and</strong> environmental<br />
liv<strong>in</strong>g conditions such that people’s experience of well-be<strong>in</strong>g is <strong>in</strong>creased”<br />
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WLYHV SURFHVVHV DQG DFWLRQV 7DEOH DQDO\VHV WKH FRQFHSWV RI KHDOWK SUR<br />
PRWLRQ DV FRQWDLQHG LQ WKH GHILQLWLRQV OLVWHG LQ 7DEOH 7KHVH GHILQLWLRQV DUH<br />
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Source <strong>and</strong> date Activities<br />
(programmes, policies, etc.)<br />
W<strong>in</strong>slow, 1920 (2) “Organized community effort for the education<br />
of the <strong>in</strong>dividual <strong>in</strong> personal<br />
<strong>health</strong>, <strong>and</strong> the development of the social<br />
mach<strong>in</strong>ery”<br />
Table 1.2. Def<strong>in</strong>itions of <strong>health</strong> <strong>promotion</strong> deconstructed<br />
Processes<br />
(underly<strong>in</strong>g mechanisms)<br />
Objectives<br />
(<strong>in</strong>strumental outcomes)<br />
“... to ensure everyone a<br />
st<strong>and</strong>ard of liv<strong>in</strong>g”<br />
Goals<br />
(ultimate outcomes)<br />
“... the ma<strong>in</strong>tenance or<br />
improvement of <strong>health</strong>”<br />
Sigerist, 1946 (1) “... by provid<strong>in</strong>g a decent<br />
st<strong>and</strong>ard of liv<strong>in</strong>g, good labor<br />
conditions, education, physical<br />
culture, means of rest <strong>and</strong> recreation”<br />
“Health is promoted”<br />
Lalonde, 1974 (3) “... <strong>in</strong>form<strong>in</strong>g, <strong>in</strong>fluenc<strong>in</strong>g <strong>and</strong> assist<strong>in</strong>g<br />
both <strong>in</strong>dividuals <strong>and</strong> organizations”<br />
US Department of Health,<br />
Education, <strong>and</strong> Welfare,<br />
1979 (19)<br />
“A comb<strong>in</strong>ation of <strong>health</strong> education <strong>and</strong><br />
related organizational, political <strong>and</strong> economic<br />
programs”<br />
Green, 1980 (20) “Any comb<strong>in</strong>ation of <strong>health</strong> education<br />
<strong>and</strong> related organizational, political <strong>and</strong><br />
economic <strong>in</strong>terventions”<br />
Green & Iverson, 1982 (21) “Any comb<strong>in</strong>ation of <strong>health</strong> education<br />
<strong>and</strong> related organizational, political <strong>and</strong><br />
economic supports”<br />
“... so that they [<strong>in</strong>dividuals<br />
<strong>and</strong> organizations] will accept<br />
more responsibility <strong>and</strong> be<br />
more active <strong>in</strong> matters affect<strong>in</strong>g<br />
mental <strong>and</strong> physical<br />
<strong>health</strong>”<br />
“… designed to support<br />
changes <strong>in</strong> behavior <strong>and</strong> <strong>in</strong> the<br />
environment”<br />
“... designed to facilitate<br />
behavioral <strong>and</strong> environmental<br />
changes”<br />
“… that will improve <strong>health</strong>”<br />
“... that will improve <strong>health</strong>”<br />
“… for behavior” “… conducive to <strong>health</strong>”
Source <strong>and</strong> date Activities<br />
(programmes, policies, etc.)<br />
Perry & Jessor, 1985 (22) “The implementation of efforts” “... to foster improved <strong>health</strong><br />
<strong>and</strong> well-be<strong>in</strong>g <strong>in</strong> all four<br />
doma<strong>in</strong>s of <strong>health</strong> [physical,<br />
social, psychological <strong>and</strong> personal]”<br />
Nutbeam, 1985 (23) “The process of enabl<strong>in</strong>g people<br />
to <strong>in</strong>crease control”<br />
WHO, 1984 (24), 1986 (4)<br />
Epp, 1986 (25)<br />
Goodstadt et al., 1987 (26) “… through the implementation of<br />
effective programs, services, <strong>and</strong> policies”<br />
“The process of enabl<strong>in</strong>g people<br />
to <strong>in</strong>crease control over<br />
[their <strong>health</strong>]”<br />
“… over the determ<strong>in</strong>ants of<br />
<strong>health</strong>”<br />
Kar, 1989 (27) “… <strong>and</strong> the avoidance of<br />
<strong>health</strong> risks by achiev<strong>in</strong>g optimal<br />
levels of the behavioral,<br />
societal, environmental, <strong>and</strong><br />
biomedical determ<strong>in</strong>ants of<br />
<strong>health</strong>”<br />
O’Donnell, 1989 (28) “The science <strong>and</strong> art of help<strong>in</strong>g people<br />
choose their lifestyles”<br />
Green & Kreuter, 1991 (7) “The comb<strong>in</strong>ation of educational <strong>and</strong><br />
environmental supports for actions <strong>and</strong><br />
conditions of liv<strong>in</strong>g”<br />
Processes<br />
(underly<strong>in</strong>g mechanisms)<br />
Objectives<br />
(<strong>in</strong>strumental outcomes)<br />
Goals<br />
(ultimate outcomes)<br />
“... <strong>and</strong> thereby improve their<br />
<strong>health</strong>”<br />
“… <strong>and</strong> thereby to improve<br />
their <strong>health</strong>”<br />
“The ma<strong>in</strong>tenance <strong>and</strong><br />
enhancement of exist<strong>in</strong>g levels<br />
of <strong>health</strong>”<br />
“The advancement of wellbe<strong>in</strong>g”<br />
“... to move toward a state of<br />
optimal <strong>health</strong>”<br />
... conducive to <strong>health</strong>”
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Louise Potv<strong>in</strong><br />
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Fig. 2.2. Programme phases <strong>and</strong> evaluation questions<br />
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Table 4.1. Characteristics of positivism <strong>and</strong>hermeneutics<br />
Positivism Hermeneutics<br />
Objective observation Critical subjectivity<br />
Explanation <strong>and</strong> prediction Underst<strong>and</strong><strong>in</strong>g <strong>and</strong> f<strong>in</strong>d<strong>in</strong>g mean<strong>in</strong>g<br />
Search for general knowledge <strong>and</strong><br />
st<strong>and</strong>ardization<br />
View of social organization as comb<strong>in</strong>ations<br />
of similar th<strong>in</strong>gs<br />
Surface view<br />
Hypothesis test<strong>in</strong>g through formal def<strong>in</strong>ition<br />
of ideas <strong>and</strong> measurement<br />
Mechanistic, with a focus on an object that<br />
has no voice <strong>and</strong> is submissive<br />
Aim: the power to control the collection of<br />
facts<br />
View of every situation as unique<br />
Stress on richness, variety <strong>and</strong> depth<br />
Dialectical cycle to ga<strong>in</strong> knowledge<br />
Emphasis on quantity Emphasis on quality<br />
Dialogue <strong>and</strong> subjective participation (underst<strong>and</strong><strong>in</strong>g<br />
is not real unless it is mutual)<br />
Aim: enlightenment, edification, enrichment, personal<br />
growth<br />
Source: adapted from Dahlbom & Mathiassen (4).<br />
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Fig. 4.1. Action research <strong>and</strong> the learn<strong>in</strong>g cycle<br />
Active<br />
experimentation<br />
(decid<strong>in</strong>g on<br />
future action)<br />
Concrete<br />
experience<br />
(do<strong>in</strong>g)<br />
Abstract<br />
conceptualization<br />
(th<strong>in</strong>k<strong>in</strong>g/<br />
learn<strong>in</strong>g)<br />
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observation<br />
(th<strong>in</strong>k<strong>in</strong>g)<br />
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Table 4.2. Differences between the natural <strong>and</strong> social sciences <strong>in</strong><br />
approach to <strong>and</strong> methods of programme evaluation<br />
Question Natural sciences Social sciences<br />
Who performs evaluation? External experts Community, project staff facilitator<br />
What is exam<strong>in</strong>ed? Predeterm<strong>in</strong>ed <strong>in</strong>dicators of<br />
success, pr<strong>in</strong>cipally cost <strong>and</strong> <strong>health</strong><br />
outcomes/ga<strong>in</strong>s<br />
How? Focus on objectivity, distanc<strong>in</strong>g<br />
evaluators from other participants;<br />
uniform, complex procedures;<br />
delayed, limited distribution of<br />
results<br />
When? Usually at programme completion;<br />
sometimes also mid-term<br />
Why? To ensure accountability, usually<br />
summative, to determ<strong>in</strong>e whether<br />
fund<strong>in</strong>g cont<strong>in</strong>ues<br />
Indicators of success identified by<br />
participants, which may <strong>in</strong>clude<br />
<strong>health</strong> outcomes <strong>and</strong> ga<strong>in</strong>s<br />
Self-evaluation, simple methods<br />
adapted to local culture; open,<br />
immediate shar<strong>in</strong>g of results<br />
through local <strong>in</strong>volvement <strong>in</strong> evaluation<br />
processes<br />
Merg<strong>in</strong>g of monitor<strong>in</strong>g <strong>and</strong> evaluation;<br />
hence frequent small-scale<br />
evaluation<br />
To empower local people to <strong>in</strong>itiate,<br />
take <strong>and</strong> control corrective action<br />
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Table 4.3. The advantages <strong>and</strong> disadvantages<br />
of external <strong>and</strong> <strong>in</strong>ternal evaluators<br />
External evaluators Internal evaluators<br />
Can take a fresh look at the programme Know the programme well<br />
Are not personally <strong>in</strong>volved F<strong>in</strong>d it harder to be objective<br />
Are not part of the programme’s normal power<br />
structure<br />
Ga<strong>in</strong> noth<strong>in</strong>g from programmes, but may ga<strong>in</strong><br />
prestige from evaluations<br />
Are tra<strong>in</strong>ed <strong>in</strong> evaluation methods, may have<br />
experience with other evaluations, are regarded<br />
as experts by programme participants<br />
Are outsiders who may not underst<strong>and</strong> programmes<br />
or the people <strong>in</strong>volved<br />
Are part of the programme’s normal power structure<br />
Source: Fuerste<strong>in</strong> (29).<br />
May be motivated by hopes of personal ga<strong>in</strong><br />
May not be tra<strong>in</strong>ed <strong>in</strong> evaluation methods, have<br />
little or no more tra<strong>in</strong><strong>in</strong>g than others <strong>in</strong> the programme<br />
Are familiar with <strong>and</strong> underst<strong>and</strong> programmes<br />
<strong>and</strong> can <strong>in</strong>terpret personal behaviour <strong>and</strong> attitudes<br />
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Table 6.1. L<strong>in</strong>dström’s model for the quality of life of children<br />
<strong>in</strong> Nordic countries<br />
Spheres Dimensions Examples<br />
Global 1. Macro environment Physical environment<br />
2. Culture<br />
3. Human rights<br />
Source: L<strong>in</strong>dström (66).<br />
Responsiveness to the United Nations<br />
Convention on the Rights of the Child<br />
4. Welfare policies Welfare distribution<br />
External 1. Work Parental education <strong>and</strong> satisfaction<br />
with employment<br />
2. Income Income distribution<br />
3. Hous<strong>in</strong>g Quality of <strong>and</strong> satisfaction with hous<strong>in</strong>g<br />
Interpersonal 1. Family structure <strong>and</strong> function Satisfaction with family, lack of<br />
negative events<br />
2. Intimate friends<br />
Support from friends, neighbours <strong>and</strong><br />
3. Extended social networks society<br />
Personal 1. Physical Growth, activity<br />
2. Mental Self-esteem <strong>and</strong> mood<br />
3. Spiritual Mean<strong>in</strong>g of life
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Table 6.2. The Centre for Health Promotion’s doma<strong>in</strong>s of quality of life<br />
Doma<strong>in</strong>s Subdoma<strong>in</strong>s Contents<br />
Be<strong>in</strong>g Physical Physical <strong>health</strong>, mobility, nutrition, exercise, fitness <strong>and</strong><br />
appearance<br />
Psychological Independence, autonomy, self-acceptance <strong>and</strong> freedom<br />
from stress<br />
Spiritual Personal values <strong>and</strong> st<strong>and</strong>ards <strong>and</strong> spiritual beliefs<br />
Belong<strong>in</strong>g Physical Physical aspects of the immediate environment<br />
Social Relationships with family, friends <strong>and</strong> acqua<strong>in</strong>tances<br />
Community Availability of societal resources <strong>and</strong> services<br />
Becom<strong>in</strong>g Practical Home, school <strong>and</strong> work activities<br />
Leisure Indoor <strong>and</strong> outdoor activities, recreational resources<br />
Growth Learn<strong>in</strong>g th<strong>in</strong>gs, improv<strong>in</strong>g skills <strong>and</strong> relationships,<br />
adapt<strong>in</strong>g to life<br />
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The community quality-of-life project: underst<strong>and</strong><strong>in</strong>g communities<br />
through a <strong>health</strong> <strong>promotion</strong> approach<br />
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Table 7.1. Different types of full economic evaluation<br />
Type of study Treatment of alternatives<br />
Cost-m<strong>in</strong>imization<br />
analysis<br />
Cost–effectiveness<br />
analysis<br />
Measurement/<br />
Valuation of costs<br />
<strong>in</strong> alternatives<br />
Identification of<br />
consequences<br />
Monetary terms Identical <strong>in</strong> all relevant<br />
respects<br />
Monetary terms S<strong>in</strong>gle effect of <strong>in</strong>terest,<br />
common to both<br />
alternatives, but achieved to<br />
different degrees<br />
Cost–utility analysis Monetary terms S<strong>in</strong>gle or multiple effects,<br />
not necessarily common to<br />
both alternatives<br />
Cost–benefit analysis Monetary terms S<strong>in</strong>gle or multiple effects,<br />
not necessarily common to<br />
both alternatives<br />
Source: adapted from Drummond et al. (1).<br />
Measurement/<br />
Valuation of<br />
consequences<br />
None<br />
Natural units (life years<br />
ga<strong>in</strong>ed, numbers stopp<strong>in</strong>g<br />
smok<strong>in</strong>g, etc.)<br />
Healthy years or<br />
(more often) QALYs<br />
Monetary terms<br />
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Cost–effectiveness analysis<br />
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Cost–utility analysis<br />
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Table 7.2. An example of cost–benefit analysis:<br />
legislation for bicycle helmets <strong>in</strong> Israel<br />
Benefits <strong>and</strong> costs<br />
Benefits<br />
Values (US $)<br />
Value of lives saved 8 939 979<br />
Reduced <strong>health</strong> care costs 17 412 622<br />
Reduced long-term care costs 25 263 243<br />
Reduced need for special education 1 527 131<br />
Productivity ga<strong>in</strong> from reduced disabilities<br />
Costs<br />
7 545 779<br />
60 688 754<br />
Health education programme <strong>and</strong> helmets (20 143 984)<br />
Total social benefits 40 544 770<br />
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Fig. 8.1. The start<strong>in</strong>g po<strong>in</strong>t for quality <strong>in</strong> <strong>health</strong> <strong>promotion</strong> plann<strong>in</strong>g<br />
Consult<br />
stakeholders<br />
Clarify the <strong>health</strong> <strong>promotion</strong><br />
issue or problem<br />
Agree the target groups<br />
Formulate precise programme<br />
objectives: usually educational,<br />
behavioural, environmental or<br />
organizational<br />
Quantify desired outcome<br />
with<strong>in</strong> given period of time<br />
(target sett<strong>in</strong>g)<br />
Rewiew possible<br />
methodological approaches<br />
Agree <strong>in</strong>tervention approach<br />
Determ<strong>in</strong>e precise resources<br />
required<br />
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resources<br />
Allocate tasks<br />
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unproven methods are proposed<br />
Execute programme<br />
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of the issues, level of<br />
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time limits<br />
Take account of exist<strong>in</strong>g<br />
knowledge, attitudes,<br />
behaviour, environmental<br />
factors <strong>and</strong> organizational<br />
systems<br />
Have due regard of<br />
approximate costs, time limits<br />
<strong>and</strong> social, economic <strong>and</strong><br />
environmental constra<strong>in</strong>ts<br />
Determ<strong>in</strong>e immediate target<br />
groups, significant mediators<br />
<strong>and</strong> support systems<br />
Determ<strong>in</strong>e skills deficit <strong>and</strong><br />
tra<strong>in</strong><strong>in</strong>g required<br />
Modify programme if<br />
necessary
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9<br />
Investigat<strong>in</strong>g policy<br />
networks for <strong>health</strong>:<br />
theory <strong>and</strong> method <strong>in</strong> a larger<br />
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Evelyne de Leeuw 2<br />
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Source: adapted from Fawcett et al. (26).<br />
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Fig. 11.2. Logic model for the documentation <strong>and</strong> evaluation system of the University of Kansas<br />
Work Group on Health Promotion <strong>and</strong> Community Development<br />
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Fig. 11.3. Community changes (<strong>in</strong>termediate outcomes) from work to prevent<br />
adolescent pregnancy <strong>in</strong> Geary County, Kansas, 1993–1996<br />
120<br />
110<br />
100<br />
90<br />
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70<br />
60<br />
50<br />
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J F M A M J J A S O N D J F M A M J J A S O N D J F M A M J J O S O N D J F M A M J J A S O N D<br />
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1994 1995 1996<br />
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Table 13.1. Participatory evaluation of a <strong>health</strong> <strong>promotion</strong> programme: ma<strong>in</strong> actions, associated actions <strong>and</strong> comments<br />
Ma<strong>in</strong> actions Associated actions Comments<br />
Step 1. Clarify the aims<br />
<strong>and</strong> objectives of the<br />
proposed programme.<br />
Step 2. Design the<br />
framework for evaluation<br />
<strong>and</strong> what questions<br />
to ask.<br />
Step 3. Design the<br />
framework for evaluation<br />
<strong>and</strong> decide how<br />
to measure change.<br />
Get the participants on board.<br />
Set up an evaluation group.<br />
Determ<strong>in</strong>e what the real <strong>health</strong> problem is.<br />
Establish basel<strong>in</strong>e <strong>in</strong>formation.<br />
Decide the purpose of the evaluation <strong>and</strong> who will use the <strong>in</strong>formation.<br />
Decide what questions are useful to ask <strong>in</strong> relation to achiev<strong>in</strong>g aims<br />
<strong>and</strong> objectives.<br />
Decide from whom to collect <strong>in</strong>formation.<br />
Decide whether process as well as outcome <strong>in</strong>formation is needed.<br />
Decide what to measure <strong>and</strong> which methods to use.<br />
Decide on sample size <strong>and</strong> target population.<br />
Decide when to collect the <strong>in</strong>formation.<br />
Step 4. Collect the data. Make sure data collection is unobtrusive <strong>and</strong> does not add to participants’<br />
workload or, if it does, they can see the value of do<strong>in</strong>g it.<br />
Make sure participants are still on board.<br />
Keep participants <strong>in</strong>formed by regular feedback.<br />
Remember that data are not <strong>in</strong>formation.<br />
The importance of spend<strong>in</strong>g time on this groundwork cannot be overemphasized.<br />
Involvement of the right people will ensure commitment<br />
to the use of the <strong>in</strong>formation generated <strong>and</strong> a good response to any<br />
questionnaires. The evaluation group (at least three people) should<br />
reflect the range of <strong>in</strong>terests. Proper clarification makes the evaluation<br />
straightforward.<br />
Take this action before decid<strong>in</strong>g what measures to use. If the objectives<br />
have been stated clearly, this should be relatively easy. Be clear<br />
about the aims of the evaluation; this affects what questions are<br />
asked. The ma<strong>in</strong> aim is to see whether the activities <strong>in</strong> the programme<br />
resulted <strong>in</strong> achiev<strong>in</strong>g the stated objectives. Try to look at<br />
process as well as outcome.<br />
Good measurement depends on be<strong>in</strong>g clear about the issues. Methods<br />
should be appropriate to the questions <strong>and</strong> need not be numerical.<br />
Be realistic <strong>and</strong> honest about limitations of time <strong>and</strong> money.<br />
There will be problems of confidentiality <strong>and</strong> bias. Bias is most common<br />
<strong>in</strong> self-reported behaviour. Problems are smaller if all stakeholders<br />
have been <strong>in</strong>volved. Participation is a key.
Ma<strong>in</strong> actions Associated actions Comments<br />
Step 5. Evaluate the<br />
results to determ<strong>in</strong>e the<br />
effectiveness of the programme.<br />
Step 6. Make recommendations.<br />
Interpret data <strong>in</strong> association with the evaluation group, compar<strong>in</strong>g<br />
what actually happened with what was expected.<br />
Remember that numbers are only <strong>in</strong>dicators of what the world is like.<br />
Clarify what is useful.<br />
Cover practical changes for immediate implementation.<br />
Include the costs <strong>and</strong> benefits of not implement<strong>in</strong>g as well as implement<strong>in</strong>g<br />
the recommendations. Challenge exist<strong>in</strong>g beliefs.<br />
Look for longer-term changes that may not yet be visible.<br />
Source: Workplace Task Force report. London, Department of Health, 1993.<br />
Data are not <strong>in</strong>formation until they have been <strong>in</strong>terpreted. This is best<br />
done as a collaborative process, so the participants underst<strong>and</strong> how<br />
the results were obta<strong>in</strong>ed. Remember the value of so-called soft<br />
<strong>in</strong>formation, <strong>and</strong> that some <strong>health</strong> changes take time to be revealed.<br />
If the participants have been <strong>in</strong>volved <strong>in</strong> the process, they will already<br />
be committed to act<strong>in</strong>g on the f<strong>in</strong>d<strong>in</strong>gs <strong>and</strong> be receptive to results
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14<br />
<strong>Evaluation</strong> <strong>in</strong> urban sett<strong>in</strong>gs:<br />
the challenge of Healthy Cities<br />
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Fig. 15.2. Design for an evaluation of <strong>health</strong>y public policies at the local level<br />
Implementation<br />
process<br />
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Fig. 15.3. Current policy implementation structure<br />
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Fig. 15.4. Desired implementation structure for <strong>health</strong>y public policies<br />
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Overview of the framework<br />
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Fig. 16.1. Health organizations <strong>and</strong> policy-mak<strong>in</strong>g<br />
Policy environment Policy impacts<br />
Economy<br />
Demographics<br />
Epidemiology<br />
Technology–media mix<br />
Ideologies<br />
Political processes<br />
Policy-makers<br />
Stakeholder<br />
groups<br />
Communication<br />
<strong>and</strong> <strong>in</strong>terpretive<br />
media<br />
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processes<br />
Public<br />
policies<br />
Policy<br />
tools<br />
Goods <strong>and</strong> services: jobs, hous<strong>in</strong>g, food, education, environment<br />
Organizations:<br />
• public<br />
• private (profit<br />
<strong>and</strong> non-profit)<br />
Self-start<strong>in</strong>g <strong>in</strong>itiatives<br />
Health<br />
organizations<br />
policy<br />
action<br />
Coalition build<strong>in</strong>g:<br />
•lobby<strong>in</strong>g<br />
•litigation<br />
•negotiation<br />
•op<strong>in</strong>ion shap<strong>in</strong>g<br />
Public<br />
policy<br />
responses<br />
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changes:<br />
•fiscal<br />
•adm<strong>in</strong>istrative<br />
•programmatic<br />
•<strong>in</strong>formational<br />
Impacts:<br />
• on other<br />
organizations<br />
•on other<br />
environments<br />
Outcomes for:<br />
• clients<br />
• total population
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Fig. 16.2. Media <strong>and</strong> policy-mak<strong>in</strong>g processes<br />
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Table 16.1. Strategies for disease prevention <strong>and</strong> <strong>health</strong> <strong>promotion</strong><br />
Intervention strategy Focus<br />
Individual-directed, <strong>in</strong>formation-mediated change Homes <strong>and</strong> communities<br />
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18<br />
Health impact assessment<br />
as a tool for <strong>health</strong> <strong>promotion</strong><br />
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C. James Frankish, Lawrence W. Green, Pamela A. Ratner,<br />
Treena Chomik <strong>and</strong> Craig Larsen<br />
Introduction<br />
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Fig. 18.1. Influences of policies <strong>and</strong> programmes on <strong>health</strong><br />
Policies <strong>and</strong> programmes<br />
(<strong>health</strong> or non-<strong>health</strong>)<br />
Health impact<br />
(outcomes)<br />
Quality of life<br />
Source: Frankish, J. et al. Health impact assessment as a tool for population <strong>health</strong> <strong>promotion</strong> <strong>and</strong><br />
public policy. A report submitted to the Health Promotion Development Division of Health Canada<br />
(http://www.hc-sc.gc.ca/hppb/<strong>health</strong><strong>promotion</strong>development/pube/impact/impact.htm).<br />
Ottawa, Health Canada, 1996 (accessed 21 February 2001). © M<strong>in</strong>ister of Public Works <strong>and</strong><br />
Government Services Canada, 2001.
Fig. 18.2. Potential impact of policies <strong>and</strong> programmes<br />
Environmental<br />
impact<br />
Social<br />
impact<br />
Health<br />
impact<br />
Economic<br />
impact<br />
Source: Frankish, J. et al. Health impact assessment as a tool for population <strong>health</strong> <strong>promotion</strong> <strong>and</strong><br />
public policy. A report submitted to the Health Promotion Development Division of Health Canada<br />
(http://www.hc-sc.gc.ca/hppb/<strong>health</strong><strong>promotion</strong>development/pube/impact/impact.htm).<br />
Ottawa, Health Canada, 1996 (accessed 21 February 2001). © M<strong>in</strong>ister of Public Works <strong>and</strong><br />
Government Services Canada, 2001.<br />
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Fig. 18.3. Model for population <strong>health</strong> <strong>promotion</strong><br />
SOCIETY<br />
Income <strong>and</strong> social status<br />
Social support networks<br />
SECTOR/SYSTEM<br />
Education<br />
Work<strong>in</strong>g conditions<br />
Psysical environments<br />
Biology <strong>and</strong> genetics<br />
Personal <strong>health</strong> practices <strong>and</strong> cop<strong>in</strong>g skills<br />
Healthy child development<br />
EVIDENCE-BASED<br />
Health services<br />
• Research • <strong>Evaluation</strong><br />
VALUES AND<br />
COMMUNITY<br />
FAMILY<br />
INDIVIDUAL<br />
Strengthen community<br />
action<br />
Build <strong>health</strong>y<br />
public policy<br />
Create supportive<br />
environments<br />
Develop personal<br />
skills<br />
Reorient <strong>health</strong><br />
services<br />
DECISION-MAKING<br />
• Experiential learn<strong>in</strong>g<br />
ASSUMPTIONS<br />
Source: Frankish, J. et al. Health impact assessment as a tool for population <strong>health</strong> <strong>promotion</strong> <strong>and</strong><br />
public policy. A report submitted to the Health Promotion Development Division of Health Canada<br />
(http://www.hc-sc.gc.ca/hppb/<strong>health</strong><strong>promotion</strong>development/pube/impact/impact.htm).<br />
Ottawa, Health Canada, 1996 (accessed 21 February 2001). © M<strong>in</strong>ister of Public Works <strong>and</strong><br />
Government Services Canada, 2001.
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Fig. 19.1. Measur<strong>in</strong>g social capital <strong>in</strong> two Midwestern communities<br />
Town A<br />
(high social capital)<br />
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Newspaper Cooperative<br />
extension<br />
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survey<br />
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(low social capital)<br />
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A B<br />
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C D<br />
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survey<br />
extension<br />
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F<strong>in</strong>d<strong>in</strong>gs <strong>and</strong> implications<br />
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Fig. 19.2. A social capital model of community change<br />
Institutional<br />
<strong>in</strong>frastructure<br />
Population perceptions of social capital<br />
More positive Less positive<br />
Collaborative Less collaborative Collaborative<br />
Institutional<br />
change<br />
Population<br />
frustration<br />
Struggl<strong>in</strong>g<br />
programmes<br />
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realized<br />
Quality of life not<br />
improved<br />
Institutional<br />
<strong>in</strong>frastructure<br />
Population<br />
frustration<br />
Success Failure<br />
Less collaborative<br />
Population<br />
frustration<br />
Authoritarian<br />
or chaotic<br />
leadership<br />
Quality of life<br />
marg<strong>in</strong>alized
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services<br />
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Fig. 22.2. Goals <strong>and</strong> policy decisions shared by three sectors<br />
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Synthesis <strong>and</strong> conclusion
23<br />
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synthesis <strong>and</strong> recommendations<br />
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EVALUATION LOOP<br />
Overall impacts<br />
Health <strong>promotion</strong> goals<br />
Core <strong>perspectives</strong><br />
Outcomes or<br />
objectives<br />
Action areas<br />
Instrumental<br />
objectives,<br />
processes <strong>and</strong><br />
outcomes<br />
Generic strategies<br />
Instrumental<br />
activities, products<br />
<strong>and</strong> outputs<br />
MICRO-LEVEL OBJECTIVES<br />
Enhanced <strong>in</strong>dividual capacities<br />
Improved awareness,<br />
knowledge, skills,<br />
decision-mak<strong>in</strong>g<br />
<strong>and</strong> behaviour<br />
Health<br />
education<br />
EVALUATION LOOP<br />
Develop<strong>in</strong>g<br />
personal skills<br />
Programme,<br />
market<strong>in</strong>g <strong>and</strong><br />
materials<br />
Individuals, communities <strong>and</strong> societies<br />
achieve/approach their potentials<br />
Improved <strong>health</strong> <strong>and</strong> wellbe<strong>in</strong>g<br />
Health<br />
communication<br />
Enhanced<br />
organizational<br />
capacity<br />
Organizational<br />
development<br />
Increased<br />
community<br />
capacity <strong>and</strong><br />
participation<br />
Community<br />
development<br />
Enhanced<br />
<strong>health</strong><br />
promot<strong>in</strong>g<br />
policies<br />
Reduced mortality <strong>and</strong> morbidity<br />
VALUES<br />
Positive <strong>health</strong>, holistic <strong>health</strong>, social justice, equity, participation<br />
MECHANISM<br />
Empowerment: enhanc<strong>in</strong>g capacities of <strong>in</strong>dividuals <strong>and</strong> communities to exercise control over the<br />
determ<strong>in</strong>ants of <strong>health</strong><br />
PREREQUSITES (DETERMINANTS) OF HEALTH<br />
Income equity/<strong>in</strong>equity, social status, social support networks, education, employment <strong>and</strong> work<strong>in</strong>g<br />
conditions, physical environments, biology <strong>and</strong> genetics, personal <strong>health</strong> practices <strong>and</strong> cop<strong>in</strong>g skills,<br />
<strong>health</strong>y/un<strong>health</strong>y child development, <strong>health</strong> services<br />
Strengthen<strong>in</strong>g<br />
community action<br />
Modified<br />
organizational<br />
structures <strong>and</strong><br />
climate<br />
MESO-LEVEL OBJECTIVES<br />
Enhanced community capacities<br />
Creat<strong>in</strong>g<br />
supportive<br />
environments<br />
Resource <strong>in</strong>puts<br />
Coord<strong>in</strong>ation of community<br />
efforts, enhanced community<br />
resources <strong>and</strong> capacities, <strong>and</strong><br />
community coalition build<strong>in</strong>g<br />
Laws <strong>and</strong><br />
regulations,<br />
policy<br />
statements<br />
MACRO-LEVEL OBJECTIVES<br />
Supportive <strong>in</strong>stitutional <strong>and</strong> societal environments<br />
Build<strong>in</strong>g <strong>health</strong>y<br />
public policy<br />
Policy<br />
development<br />
INSTRUMENTAL OBJECTIVES, PROCESSES AND OUTCOMES<br />
Reduced <strong>health</strong> <strong>and</strong> social costs<br />
More equitable<br />
access to <strong>health</strong><br />
care<br />
Advocacy<br />
Public dialogue<br />
on decisionmak<strong>in</strong>g<br />
Reorient<strong>in</strong>g<br />
<strong>health</strong> services<br />
Increased focus on<br />
prevention <strong>and</strong> <strong>health</strong><br />
<strong>promotion</strong> <strong>in</strong> <strong>health</strong><br />
care system<br />
Intersectoral<br />
collaboration<br />
Coord<strong>in</strong>ation of<br />
policies <strong>and</strong> activities<br />
<strong>in</strong> sectors that affect<br />
<strong>health</strong><br />
Increased<br />
knowledge on<br />
effectiveness<br />
Research/<br />
<strong>Evaluation</strong><br />
THE FOUNDATIONS OF HEALTH PROMOTION<br />
(Ottawa Charter for Health Promotion)<br />
Knowledge<br />
development <strong>and</strong><br />
dissem<strong>in</strong>ation<br />
PLANNING HEALTH PROMOTION<br />
INITIATIVES<br />
Fig. 23.1. Generic logic model for plann<strong>in</strong>g <strong>and</strong> evaluat<strong>in</strong>g <strong>health</strong> <strong>promotion</strong>
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<strong>Evaluation</strong> aluation<br />
<strong>in</strong> <strong>in</strong> <strong>health</strong><br />
<strong>health</strong><br />
pr <strong>promotion</strong> pr omotion<br />
Policy-makers, professionals of<br />
all k<strong>in</strong>ds <strong>and</strong> the general public<br />
<strong>in</strong>creas<strong>in</strong>gly recognize social<br />
<strong>and</strong> economic factors as important<br />
determ<strong>in</strong>ants of <strong>health</strong>. Because<br />
<strong>health</strong> <strong>promotion</strong> approaches<br />
address these factors,<br />
they can play an <strong>in</strong>creas<strong>in</strong>gly<br />
valuable role <strong>in</strong> protect<strong>in</strong>g <strong>and</strong><br />
improv<strong>in</strong>g <strong>health</strong>. At the same<br />
time, fund<strong>in</strong>g sources <strong>in</strong>creas<strong>in</strong>gly<br />
dem<strong>and</strong> evidence that <strong>in</strong>itiatives give value for money. Health <strong>promotion</strong><br />
<strong>in</strong>itiatives need effective evaluation to realize their potential: both<br />
to prove their value as <strong>in</strong>vestments <strong>and</strong> to <strong>in</strong>crease their effectiveness <strong>in</strong><br />
achiev<strong>in</strong>g their aims.<br />
To help meet this need, the WHO European Work<strong>in</strong>g Group on Health<br />
Promotion <strong>Evaluation</strong> exam<strong>in</strong>ed the current range of qualitative <strong>and</strong><br />
quantitative evaluation methods to provide guidance to policy-makers<br />
<strong>and</strong> practitioners. This book is the result. It comprises an extensive compilation<br />
<strong>and</strong> discussion of the theory, methodologies <strong>and</strong> practice of evaluat<strong>in</strong>g<br />
<strong>health</strong> <strong>promotion</strong> <strong>in</strong>itiatives <strong>in</strong> Europe <strong>and</strong> the Americas. The book<br />
takes three <strong>perspectives</strong> <strong>in</strong> exam<strong>in</strong><strong>in</strong>g the issues. It <strong>in</strong>cludes a retrospective<br />
exam<strong>in</strong>ation of the evolution of <strong>health</strong> <strong>promotion</strong> evaluation. This<br />
provides the context for assess<strong>in</strong>g <strong>and</strong> underst<strong>and</strong><strong>in</strong>g the current state of<br />
evaluations of <strong>in</strong>itiatives address<strong>in</strong>g sett<strong>in</strong>gs, polices <strong>and</strong> systems for<br />
promot<strong>in</strong>g <strong>health</strong>. F<strong>in</strong>ally, the chapter authors <strong>and</strong> the Work<strong>in</strong>g Group as<br />
a whole make many recommendations for improvement that provide a<br />
look <strong>in</strong>to the future.<br />
This book shows how a <strong>health</strong> <strong>promotion</strong> approach offers a comprehensive<br />
framework for plann<strong>in</strong>g <strong>and</strong> implement<strong>in</strong>g <strong>in</strong>terventions that can effectively<br />
address today’s major <strong>health</strong>-related problems. The authors describe<br />
how good evaluations assist <strong>in</strong>itiatives <strong>in</strong> achiev<strong>in</strong>g their goals,<br />
provide a wealth of guidance on how to undertake them <strong>and</strong> call for<br />
greater <strong>in</strong>vestment <strong>in</strong> the evaluation of <strong>health</strong> <strong>promotion</strong>. The authors<br />
hope that their work will stimulate policy-makers <strong>and</strong> practitioners to <strong>in</strong>vest<br />
<strong>in</strong> <strong>and</strong> undertake good evaluation for good <strong>health</strong> <strong>promotion</strong>. This is<br />
their commitment; they hope that readers share it.<br />
ISBN 92 890 1359 1<br />
Sw.fr. 122.–