The American Evaluation Association (AEA) provides Guiding Principles that embody its core values, serving as a compass for ethical professional conduct for evaluators. These principles encompass systematic inquiry, competence, integrity, respect for people, and common good and equity. They are interconnected, interdependent, and sometimes conflicting, necessitating careful justification of professional actions by evaluators. Let’s delve into What Is A Guiding Principle For All Judges in the realm of evaluation.
The Principles oversee evaluator behavior throughout the entire evaluation process, from initial planning to design, implementation, reporting, and the ultimate utilization of the evaluation.
These Principles are periodically reviewed and revised to remain relevant in a changing world, with AEA policy requiring a review involving its members at least every five years. They supplement, but do not replace, principles from other disciplines or associations.
Communication and Professional Development: Evaluators are expected to initiate discussions and clarify ethical matters with relevant parties, utilizing the Principles to communicate expected ethical behavior to clients and stakeholders. Continuous professional development is crucial for evaluators to learn and engage in sound ethical reasoning, including consulting with colleagues on ethical issues.
Structure of the Principles: Each principle is elaborated with sub-statements that offer guidance on application but do not cover all possibilities or form a basis for sanctions. It’s important to note that the Principles are distinct from Evaluation Standards and evaluator competencies.
Glossary of Key Terms
Understanding key terms is fundamental to grasping the essence of these Guiding Principles:
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Common Good: Shared benefit for most of society, including equitable opportunities achieved through collective action.
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Contextual Factors: Geographic, political, environmental, social, cultural, economic, historical conditions, and other influences.
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Culturally Competent Evaluator: An evaluator who uses diverse evaluation theories and methods to design and execute an evaluation matched to the context, reflecting stakeholder values and perspectives.
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Environment: The surroundings or conditions in which an evaluation takes place.
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Equity: Fair and just opportunities for all to participate and thrive, addressing historic disadvantages and structural inequalities.
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Guiding Principles vs. Evaluation Standards: Guiding Principles relate to the ethical conduct of the evaluator, while Evaluation Standards pertain to the quality of the evaluation itself.
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People or Groups: Those affected by an evaluation, including those defined by race, ethnicity, religion, gender, income, health, ability, and more.
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Professional Judgment: Decisions based on ethical principles and professional standards for evidence and argumentation.
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Stakeholders: Individuals, groups, or organizations served by or with a legitimate interest in an evaluation.
The Core Principles Explained
Let’s explore each of the five core principles in detail:
A. Systematic Inquiry: Thorough, Methodical, and Contextually Relevant Data-Based Inquiries
Evaluators must conduct thorough, methodical, and contextually relevant data-based inquiries.
- 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 evaluations 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 interpretations of the findings.
- A6. Carefully consider the ethical implications of the use of emerging technologies in evaluation practice.
B. Competence: Skilled Professional Services to Stakeholders
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 expertise.
C. Integrity: Honesty and Transparency for Evaluation 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, that 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: Honoring Dignity, Well-being, and Culture
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: Contributing to a Just Society
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. Self-assess one’s own privilege and positioning within that context.
Conclusion: Ethical Evaluation for a Better Future
In conclusion, the guiding principles for judges, or evaluators, revolve around a commitment to ethical conduct, encompassing systematic inquiry, competence, integrity, respect for people, and dedication to the common good and equity. These principles are crucial for ensuring evaluations are not only rigorous and accurate but also fair, just, and beneficial to society. By adhering to these guidelines, evaluators contribute to a more equitable and just world through informed decision-making and responsible practices.
