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AEA 289398-18 GuidingPrinciples Brochure 2

The document outlines guiding principles for evaluators to follow regarding ethics. It discusses principles of systematic inquiry, competence, integrity, respect for people, and common good. It provides definitions for key terms and descriptions of how the principles should be applied and communicated.

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Jamil Hasan
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38 views7 pages

AEA 289398-18 GuidingPrinciples Brochure 2

The document outlines guiding principles for evaluators to follow regarding ethics. It discusses principles of systematic inquiry, competence, integrity, respect for people, and common good. It provides definitions for key terms and descriptions of how the principles should be applied and communicated.

Uploaded by

Jamil Hasan
Copyright
© © All Rights Reserved
We take content rights seriously. If you suspect this is your content, claim it here.
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Download as DOCX, PDF, TXT or read online on Scribd
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GuidingPrinciples

The American Evaluation Association’s mission is to improve evaluation practices and methods,
increase evaluation use, promote evaluation as a profession, and support the contribution of
evaluation to the generation of theory and knowledge about effective human action. Evaluation
involves assessing the strengths and weaknesses of programs, policies, personnel,
products, and organizations.
Preface to Evaluators’ Ethical Guiding Principles

1
American Evaluation Association (2011). Public Statement on Cultural Competence in
Evaluation. Washington DC: Author. p. 3.
Glossary of Terms
Common Good – the shared benefit for all or
most members of society including equitable
opportunities and outcomes that are achieved through
citizenship and collective action. The common good
includes cultural,
social, economic, and political resources as well as
natural resources involving shared materials such as air,
water and a habitable earth.
Contextual Factors – geographic location and conditions;
political, technological, environmental, and social climate;
cultures; economic and historical conditions; language,
customs, local norms, and practices; timing; and other
factors that may influence an evaluation process or its
findings.
Culturally Competent Evaluator – “[an evaluator who]
draws upon a wide range of evaluation theories and
methods to design and carry out an evaluation that
is optimally matched to the context. In constructing a
model or theory of how the evaluand operates, the
evaluator reflects the diverse values and perspectives
of key stakeholder groups.”1
Environment – the surroundings or conditions in
which a being lives or operates; the setting or
conditions in which a particular activity occurs.
Equity – the condition of fair and just opportunities for
all people to participate and thrive in society
regardless of individual or group identity or difference.
Striving to achieve equity includes mitigating historic
disadvantage and existing structural inequalities.
Guiding Principles vs. Evaluation Standards – the
Guiding Principles pertain to the ethical conduct of the
evaluator whereas the Evaluation Standards pertain to
the quality of the evaluation.
People or Groups – those who may be affected
by an evaluation including, but not limited to, those
defined by race, ethnicity, religion, gender,
income, status, health, ability, power,
underrepresentation, and/or disenfranchisement.
Professional Judgment – decisions or conclusions based
on ethical principles and professional standards for
evidence and argumentation in the conduct of an
evaluation.
Stakeholders – individuals, groups, or organizations
served by, or with a legitimate interest in, an evaluation
including those who might be affected by an
evaluation.
Purpose of the Guiding Principles: The Guiding or associations in which evaluators participate.
Principles reflect the core values of the American
Evaluation Association (AEA) and are intended as a
guide to the professional ethical conduct of
evaluators.

Focus and Interconnection of the


Principles: The five Principles address
systematic inquiry, competence, integrity,
respect for people, and common good
and equity. The Principles are interdependent
and interconnected. At times, they may even
conflict with one another. Therefore, evaluators
should carefully examine how they justify
professional actions.
Use of Principles: The Principles govern the
behavior of evaluators in all stages of the
evaluation from the initial discussion of focus
and purpose, through design, implementation,
reporting, and ultimately the use of the
evaluation.
Communication of Principles: It is primarily
the evaluator’s responsibility to initiate
discussion and clarification of ethical matters
with relevant parties to the evaluation. The
Principles can be used to communicate to
clients and other stakeholders what they can
expect in terms of the professional ethical
behavior of an evaluator.
Professional Development about Principles:
Evaluators are responsible for undertaking
professional development to learn to engage
in sound ethical reasoning. Evaluators are also
encouraged to consult with colleagues on how
best to identify and address ethical issues.
Structure of the Principles: Each Principle is
accompanied by several sub-statements to
amplify the meaning of the overarching
principle and to provide guidance for its
application. These sub-statements do not include
all possible applications of that principle, nor
are they rules that provide the basis for
sanctioning violators. The Principles are distinct
from Evaluation Standards and evaluator
competencies.
Evolution of Principles: The Principles are
part of an evolving process of self-examination
by the profession in the context of a rapidly
changing world. They have been periodically
revised since their first adoption in 1994.
Once adopted by the membership, they
become the official position of AEA on these
matters and supersede previous versions. It
is the policy of AEA to review the Principles at
least every five years, engaging members in the
process. These Principles are not intended to
replace principles supported by other disciplines
AEA Guiding Principles
A: Systematic Inquiry: Evaluators conduct data-based inquiries that are thorough,
methodical, and contextually relevant.
A1. Adhere to the highest technical standards appropriate to the methods being used while attending to
the evaluation’s scale and available resources.
A2. Explore with primary stakeholders the limitations and strengths of the core evaluation questions and
the approaches that might be used for answering those questions.
A3. Communicate methods and approaches accurately, and in sufficient detail, to allow others to
understand, interpret, and critique the work.
A4. Make clear the limitations of the evaluation and its results.
A5. Discuss in contextually appropriate ways the values, assumptions, theories, methods, results, and
analyses that significantly affect the evaluator’s interpretation of the findings.
A6. Carefully consider the ethical implications of the use of emerging technologies in evaluation
practice.

B: Competence: Evaluators provide skilled professional services to stakeholders.


B1. Ensure that the evaluation team possesses the education, abilities, skills, and experiences
required to complete the evaluation competently.
B2. When the most ethical option is to proceed with a commission or request outside the
boundaries of the evaluation team’s professional preparation and competence, clearly
communicate any significant limitations to the evaluation that might result. Make every effort
to supplement missing or weak competencies directly or through the assistance of
others.
B3. Ensure that the evaluation team collectively possesses or seeks out the competencies necessary to
work in the cultural context of the evaluation.
B4. Continually undertake relevant education, training or supervised practice to learn new
concepts, techniques, skills, and services necessary for competent evaluation practice.
Ongoing professional development might include: formal coursework and workshops, self-
study, self- or externally- commissioned evaluations of one’s own practice, and working with other
evaluators to learn and refine evaluative skills and expertise.

C: Integrity: Evaluators behave with honesty and transparency in order to ensure the
integrity of the evaluation.
C1. Communicate truthfully and openly with clients and relevant stakeholders concerning all
aspects of the evaluation, including its limitations.
C2. Disclose any conflicts of interest (or appearance of a conflict) prior to accepting an
evaluation assignment and manage or mitigate any conflicts during the
evaluation.
C3. Record and promptly communicate any changes to the originally negotiated evaluation plans,
the rationale for those changes, and the potential impacts on the evaluation’s scope and
results.
C4. Assess and make explicit the stakeholders’, clients’, and evaluators’ values, perspectives, and
interests concerning the conduct and outcome of the evaluation.
C5. Accurately and transparently represent evaluation procedures, data, and findings.
C6. Clearly communicate, justify, and address concerns related to procedures or activities that are
likely to produce misleading evaluative information or conclusions. Consult colleagues for suggestions
on proper ways to proceed if concerns cannot be resolved, and decline the evaluation when
necessary.
C7. Disclose all sources of financial support for an evaluation, and the source of the request
for the evaluation.
D: Respect for People: Evaluators honor the dignity, well-being, and self-worth of individuals
and acknowledge the influence of culture within and across groups.
D1. Strive to gain an understanding of, and treat fairly, the range of perspectives and interests that
individuals and groups bring to the evaluation, including those that are not usually included or are
oppositional.
D2. Abide by current professional ethics, standards, and regulations (including informed consent, confidentiality,
and prevention of harm) pertaining to evaluation participants.
D3. Strive to maximize the benefits and reduce unnecessary risks or harms for groups and individuals
associated with the evaluation.
D4. Ensure that those who contribute data and incur risks do so willingly, and that they have
knowledge of and opportunity to obtain benefits of the evaluation.

E: Common Good and Equity: Evaluators strive to contribute to the common good
and advancement of an equitable and just society.
E1. Recognize and balance the interests of the client, other stakeholders, and the common good
while also protecting the integrity of the evaluation.
E2. Identify and make efforts to address the evaluation’s potential threats to the common good especially
when specific stakeholder interests conflict with the goals of a democratic, equitable, and just
society.
E3. Identify and make efforts to address the evaluation’s potential risks of exacerbating historic
disadvantage or inequity.
E4. Promote transparency and active sharing of data and findings with the goal of equitable
access to information in forms that respect people and honor promises of
confidentiality.
E5. Mitigate the bias and potential power imbalances that can occur as a result of the evaluation’s
context.
Selfassess one’s own privilege and positioning within that context.
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