The Guiding Principles for Evaluators
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Using the
Using the
Guiding Principles for
Guiding Principles for
Evaluators
Evaluators
to Improve Your Practice
to Improve Your Practice
Released 2008; Updated 2021
Note: This workshop has been approved by the AEA Board for public use and
dissemination.
Objectives of Workshop
Increase knowledge of the AEA
Guiding
Principles for Evaluators (GP)
Analyze the
Guiding Principles
in a
program evaluation context
Consider how the
Guiding Principles
can
be used to inform ethical evaluation
practice
History of
Guiding Principles
1986: Founding of American Evaluation
Association
1993-1994: Original five
Guiding Principles
for
Evaluators
developed and ratified
2016-2018:
Guiding Principles
most recently
reviewed and updated
2018: Revised
Guiding Principles
endorsed
through referendum of AEA membership
Assumptions behind the
Guiding
Principles
Purposes of the
Guiding Principles
Promote ethical evaluation practice
Foster continuing professional development
Stimulate discussion within and outside evaluation
Evaluators aspire to provide best possible
information that might bear on the value of
whatever is being evaluated
Assumptions behind the
Guiding
Principles
The
Guiding Principles
:
Proactively guide everyday practice
Cover all kinds of evaluation
Are not independent, but overlap
May sometimes conflict; need to consider trade-offs
The
Guiding Principles
were developed in the
context of the United States
Principle A: Systematic Inquiry
Evaluators conduct
systematic, data-based
inquiries:
Adhere to highest technical standards
Explore strengths and shortcomings of evaluation
questions and approaches
Communicate approaches, methods and limitations
accurately
Principle B: Competence
Evaluators provide
competent performance
to
stakeholders:
Possess appropriate skills and experience
Demonstrate cultural competence
Practice within limits of competence
Continually improve competencies
Principle C: Integrity/Honesty
Evaluators
display honesty and integrity
and
attempt to ensure
them throughout the entire
evaluation process:
Negotiate honestly with clients and stakeholders
Disclose values, interests and conflicts of interest
Represent accurately methods, data and findings
Disclose source of request and financial support for
evaluation
Principle D: Respect for People
Evaluators
respect security, dignity and self-
worth
of all stakeholders:
Understand evaluation context
Get informed consent and protect confidentiality
Maximize benefits and minimize harm
Foster social equity
Respect differences among stakeholders
Principle E: Common Good and
Equity
Evaluators strive to contribute to the
common
good
and
advancement of an
equitable
and
just
society
:
Balance stakeholders' interests and the common
good
Address the evaluation’s potential threats to the
common good
Address the evaluation’s potential risks of
exacerbating historic inequity
Promote transparency and active sharing
Mitigate bias and potential power imbalances
Case Studies
for Small Group Work
Summary of actual evaluation cases,
adapted for discussion
Cases include all phases of evaluation
All details could not be included in
summary
Instructions for Small Group Work
Individually:
1)
Read the complete case study
2)
Identify issues or questions that relate to each
Guiding Principle
3)
Record issues/questions on work sheet
Instructions for Small Group Work
As a Group:
1)
Identify main issues to report
2)
Record on flipchart and choose a reporter
3)
Discuss how the
Guiding Principles
relate to
the evaluation summarized in the case study
Reporting Out from Small Groups
Summarize small group reports—what are
similarities and differences across groups?
Large Group Discussion
How can you use the
Guiding Principles
as you design and conduct your own
evaluations?
How can the
Guiding Principles
inform
the ethical practice of evaluation?
Professional Support Resources
Colleagues:
Evaluation colleagues and faculty who teach evaluation
AEA Local Affiliates and Topical Interest Groups (TIGs)
Professional Support Resources
Selected Journal Articles:
Levin-Rozalis, M. (2015). A Purpose‐Driven Action: The
Ethical Aspect and Social Responsibility of Evaluation.
New Directions for Evaluation
, Volume 146.
Morris, M. (2015) Research on evaluation ethics: reflections
and an agenda.
New Directions for Evaluation
, Volume
148.
Morris, M. (2018). A War + A Decision = A Future in
Evaluation Ethics?
New Directions for Evaluation
, Volume
157.
Professional Support Resources
Selected Books:
Donaldson, S. & Picciotto, R. (eds) (2016).
Evaluation for
an Equitable Society
.
Kara, H. (2018).
Research Ethics in the Real World: Euro-
Western and Indigenous Perspectives.
Mertens, D. & Ginsberg, P. (2008).
Handbook of Social
Research Ethics.
Morris, M. (2007).
Evaluation Ethics for Best Practice.
Tyler, R. (1941).
General Statement on Evaluation.
Tyler, R. (1991).
Evaluation and Education at a Quarter
Century.
Professional Support Resources
Selected Resources on Culturally Responsive Evaluation:
AEA Statement of Cultural Competence in Evaluation
(2011)
http://www.eval.org/ccstatement.asp
Center for Culturally Responsive Evaluation and
Assessment
https://crea.education.illinois.edu/
Other Resources for Guiding
Evaluation Practice
Meta-evaluation Checklist for AEA
Guiding Principles
for Evaluators
http://www.wmich.edu/evalctr/archive_checklists/guidingpri
nciples2005.pdf
Program Evaluation Standards, 3
nd
Edition (2011)
http://www.jcsee.org/program-evaluation-standards
Personnel Evaluation Standards , 2
nd
Edition (2008)
http://www.jcsee.org/personnel-evaluation-standards
International Organisation for Cooperation in
Evaluation (IOCE)
http://www.ioce.net
About the Training Package…
Originally developed by AEA Ethics Committee
Professional Development Task Force:
2006/2007 Ethics Committee: Jules Marquart, Leslie
Goodyear, Dennis Affholter, Scott Rosas, Valerie Caracelli
Other AEA members: Marcie Bober, Denice Cassaro, Edie
Cook, Randall Davies, Amy Germuth, Tom Grayson, Kelly
Hannum, Judith Inazu, Bill Rickards, Rita O’Sullivan,
Stephanie Schneider, Linda Schrader, Veronica Thomas,
Jennifer Williams, Brian Yates
Updated most recently by Leanne Kallemeyn, Leslie
Goodyear, Sarah Heath, Monica Ruiz-Casares, Melanie
Hwalek, Herb Baum, Xiaoxia Newton, Jeffrey Hillman
Workshop Evaluation
Wrap-up
Now it’s up to you to use the
Guiding Principles
in your practice!
Your turn to give us feedback
Please complete and return the evaluation
survey
https://www.surveymonkey.ca/r/AEAGPTP
The notes for each slide provide, where relevant, Background information for you as the facilitator, Talking Points you may use, and Adaptations you may want to make.
Background:
• The purpose of this workshop is to help disseminate the Guiding Principles for Evaluators (GP) and to encourage their use to guide the ethical practice of evaluation. The workshop was originally developed by a Professional Development Task Force under the leadership of the former AEA Ethics Committee. It was updated and expanded in 2021.
• The workshop provides one way, but not the only way, to present the GP in a training situation. We encourage facilitators to adapt the workshop content and materials to the knowledge and experience of your audience members.
Talking Points:
• You may want to begin by saying something like, Good evaluation is ethical evaluation. The AEA Guiding Principles for Evaluators were developed to provide direction for the ethical practice of evaluation.
• You may want to get an idea of the evaluation background and knowledge of the GP of your participants if you don’t know it already.
Adaptation:
• You will want to adapt the information provided throughout your presentation based on the amount of time available and the experience level of your participants.
This content provides insights into the Guiding Principles for Evaluators, including their history, assumptions, and key principles such as Systematic Inquiry and Competence. The workshop aims to increase knowledge about ethical evaluation practices and stimulate discussions within the evaluation community. By following these principles, evaluators can enhance the quality and effectiveness of their evaluations.
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Presentation Transcript
Using the Guiding Principles for Evaluators to Improve Your Practice Released 2008; Updated 2021 Note: This workshop has been approved by the AEA Board for public use and dissemination. 1
Objectives of Workshop Increase knowledge of the AEA Guiding Principles for Evaluators (GP) Analyze the Guiding Principles in a program evaluation context Consider how the Guiding Principles can be used to inform ethical evaluation practice 2
History of Guiding Principles 1986: Founding of American Evaluation Association 1993-1994: Original five Guiding Principles for Evaluators developed and ratified 2016-2018: Guiding Principles most recently reviewed and updated 2018: Revised Guiding Principles endorsed through referendum of AEA membership 3
Assumptions behind the Guiding Principles Purposes of the Guiding Principles Promote ethical evaluation practice Foster continuing professional development Stimulate discussion within and outside evaluation Evaluators aspire to provide best possible information that might bear on the value of whatever is being evaluated 4
Assumptions behind the Guiding Principles The Guiding Principles: Proactively guide everyday practice Cover all kinds of evaluation Are not independent, but overlap May sometimes conflict; need to consider trade-offs The Guiding Principles were developed in the context of the United States 5
Principle A: Systematic Inquiry Evaluators conduct systematic, data-based inquiries: Adhere to highest technical standards Explore strengths and shortcomings of evaluation questions and approaches Communicate approaches, methods and limitations accurately 6
Principle B: Competence Evaluators provide competent performance to stakeholders: Possess appropriate skills and experience Demonstrate cultural competence Practice within limits of competence Continually improve competencies 7
Principle C: Integrity/Honesty Evaluators display honesty and integrity and attempt to ensure them throughout the entire evaluation process: Negotiate honestly with clients and stakeholders Disclose values, interests and conflicts of interest Represent accurately methods, data and findings Disclose source of request and financial support for evaluation 8
Principle D: Respect for People Evaluators respect security, dignity and self- worth of all stakeholders: Understand evaluation context Get informed consent and protect confidentiality Maximize benefits and minimize harm Foster social equity Respect differences among stakeholders 9
Principle E: Common Good and Equity Evaluators strive to contribute to the common good and advancement of an equitable and just society: Balance stakeholders' interests and the common good Address the evaluation s potential threats to the common good Address the evaluation s potential risks of exacerbating historic inequity Promote transparency and active sharing Mitigate bias and potential power imbalances 10
Case Studies for Small Group Work Summary of actual evaluation cases, adapted for discussion Cases include all phases of evaluation All details could not be included in summary 11
Instructions for Small Group Work Individually: 1)Read the complete case study 2)Identify issues or questions that relate to each Guiding Principle 3)Record issues/questions on work sheet 12
Instructions for Small Group Work As a Group: 1)Identify main issues to report 2)Record on flipchart and choose a reporter 3)Discuss how the Guiding Principles relate to the evaluation summarized in the case study 13
Reporting Out from Small Groups Summarize small group reports what are similarities and differences across groups? 14
Large Group Discussion How can you use the Guiding Principles as you design and conduct your own evaluations? How can the Guiding Principles inform the ethical practice of evaluation? 15
Professional Support Resources Colleagues: Evaluation colleagues and faculty who teach evaluation AEA Local Affiliates and Topical Interest Groups (TIGs) 16
Professional Support Resources Selected Journal Articles: Levin-Rozalis, M. (2015). A Purpose Driven Action: The Ethical Aspect and Social Responsibility of Evaluation. New Directions for Evaluation, Volume 146. Morris, M. (2015) Research on evaluation ethics: reflections and an agenda. New Directions for Evaluation, Volume 148. Morris, M. (2018). A War + A Decision = A Future in Evaluation Ethics? New Directions for Evaluation, Volume 157. 17
Professional Support Resources Selected Books: Donaldson, S. & Picciotto, R. (eds) (2016). Evaluation for an Equitable Society. Kara, H. (2018). Research Ethics in the Real World: Euro- Western and Indigenous Perspectives. Mertens, D. & Ginsberg, P. (2008). Handbook of Social Research Ethics. Morris, M. (2007). Evaluation Ethics for Best Practice. Tyler, R. (1941). General Statement on Evaluation. Tyler, R. (1991). Evaluation and Education at a Quarter Century. 18
Professional Support Resources Selected Resources on Culturally Responsive Evaluation: AEA Statement of Cultural Competence in Evaluation (2011) http://www.eval.org/ccstatement.asp Center for Culturally Responsive Evaluation and Assessment https://crea.education.illinois.edu/ 19
Other Resources for Guiding Evaluation Practice Meta-evaluation Checklist for AEA Guiding Principles for Evaluators http://www.wmich.edu/evalctr/archive_checklists/guidingpri nciples2005.pdf Program Evaluation Standards, 3ndEdition (2011) http://www.jcsee.org/program-evaluation-standards Personnel Evaluation Standards , 2ndEdition (2008) http://www.jcsee.org/personnel-evaluation-standards International Organisation for Cooperation in Evaluation (IOCE) http://www.ioce.net 20
About the Training Package Originally developed by AEA Ethics Committee Professional Development Task Force: 2006/2007 Ethics Committee: Jules Marquart, Leslie Goodyear, Dennis Affholter, Scott Rosas, Valerie Caracelli Other AEA members: Marcie Bober, Denice Cassaro, Edie Cook, Randall Davies, Amy Germuth, Tom Grayson, Kelly Hannum, Judith Inazu, Bill Rickards, Rita O Sullivan, Stephanie Schneider, Linda Schrader, Veronica Thomas, Jennifer Williams, Brian Yates Updated most recently by Leanne Kallemeyn, Leslie Goodyear, Sarah Heath, Monica Ruiz-Casares, Melanie Hwalek, Herb Baum, Xiaoxia Newton, Jeffrey Hillman 21
Workshop Evaluation Wrap-up Now it s up to you to use the Guiding Principles in your practice! Your turn to give us feedback Please complete and return the evaluation survey https://www.surveymonkey.ca/r/AEAGPTP 22
