UK Evaluation
Society Good Practice Guidelines
These guidelines have been developed by the UKES
to support the work of evaluators, commissioners of evaluation, evaluation
participants and those involved in self-evaluation. They are divided
into four sections, each of which applies to one of four key interest
groups. Whilst there is some crossover of good practice issues, they
are addressed individually to ensure clarity and appropriateness to
each one. You will find in these guidelines the embodiment of much
discussion, debate and practice in the field of evaluation. The guidelines
attempt to capture, in an easily assimilated way, a diverse range
of principles and frameworks for action that have been useful for
evaluations in a variety of contexts. Organised in different sections,
the guidelines provide a reference point from different perspectives
for a range of stakeholders involved in the evaluation process. In
this way practice is encapsulated from the point of view of evaluators
themselves, commissioners, participants (particularly those from whom
views, ideas or experience are sought) and those engaged in self-evaluation
in organisations. They are intended for use in evaluations taking
place in any domain or discipline.
Writing guidelines to inform practice has real challenges
in that it is easy to slide into a set of disembodied, somewhat rationalistic
standards, which bear little resemblance to the ebb and flow of interactions
as the social process of evaluation unfolds. Yet it is difficult to
adopt a conversational tone that at the same time allows for quick
reference and easy access. These guidelines are written in a matter-of-fact
style that eschews jargon, the obscure and the insular. They are intended
for use by the novice and the experienced alike. While inevitably
they may be a little truncated, each statement is designed to offer
a starting point for consideration by the stakeholders in an evaluation
and to act as a reference for statements of evaluation ethics, intentions
and generic practice. The guidelines are not definitive and will continuously
evolve; they therefore should be received as work-in-progress.
The guidelines aim at neutrality in the sense that
they provide frameworks for action that does not exemplify any particular
evaluation approach. This aim is complex, ambitious and important.
There is no evaluation stance for which these guidelines are inappropriate
or inapplicable. Many of the statements have at their heart the need
to be open and transparent about the expectations and requirements
of all the stakeholders whoever they may
be. As such the language used has striven to avoid hidden or tacit
assumptions about the efficacy, dominance or normality of any single
approach to evaluation.
The guidelines are prescriptive only in the sense
that they rehearse what those engaged in the practical business of
evaluation, from whatever perspective, have found to be both an honourable
and effective way of interacting. We believe the guidance will come
alive through use in the discussions and negotiations between people
involved in evaluations. As such we hope the statements will promote
conversation about evaluation in general but also support ways of
negotiating some of the critical aspects of the evaluation process
from commissioning to dissemination of evaluation findings
Guidelines for evaluators
Evaluators need to:
- be explicit about the purpose, methods, intended outputs
and outcomes of the evaluation; be mindful of unanticipated effects
and be responsive to shifts in purpose.
- alert commissioners to possible adjustments to the evaluation
approach and practice; be open to dialogue throughout the process
informing them of progress and developments.
- consider whether it is helpful to build into the contract
forms of external support or arbitration (should the need arise).
- have preliminary discussion/s with commissioners prior
to agreeing a contract.
- adhere to the terms agreed in the contract and consult
with commissioners if there are significant changes required to
the design or delivery of the evaluation.
- demonstrate the quality of the evaluation to other parties
through progress reports e.g. on development and financial accountability
and adhere to quality assurance procedures as agreed in the contract.
- be aware of and make every attempt to minimise any potential
harmful effects of the evaluation prejudicing the status, position
or careers of participants
Evaluators also need to:
- demonstrate that the evaluation design and conduct are
transparent and fit for purpose.
- demonstrate comprehensive and appropriate use of all the evidence
and that evaluation conclusions can be traced to this evidence.
- work within the Data Protection Act and have procedures
which ensure the secure storage of data.
- acknowledge intellectual property and the work of others.
- have contractual agreement over copyright of evaluation
methodology, findings, documents and publication.
- write and communicate evaluation findings in accessible
language.
- agree with commissioners from the outset about the nature
of dissemination in order to maximise the utility of the evaluation.
In practice evaluators need to:
- demonstrate a commitment to the integrity of the process
of evaluation and its purpose to increase learning in the public
domain.
- be realistic about what is feasible to achieve and their
capacity to deliver within the time-scale and budget agreed.
- know when to refuse or terminate an evaluation contract
because it is undoable, self-serving, or threatens to undermine
the integrity of the process.
- be prepared to argue the case for the public right to
know in evaluation in specified contexts.
- treat all parties equally in the process of the evaluation
and the dissemination of findings.
Guidelines for commissioners
To ensure good practice in evaluation, it
would be helpful if Commissioners:
Guidelines for evaluation participants
All participants in an evaluation shall:
- receive a proper explanation of the purpose and methods
of the evaluation and should have opportunity to comment on how
they are represented in the evaluation.
- receive an explanation of the evaluation agreement forming
part of the negotiation of the evaluation teams access to a programme.
- have access to the evaluation team as agreed in the for
purposes of feedback, reporting and ongoing support for the duration
of the evaluation.
- have proper opportunity to be assured that the data they offer
is consonant with the Data Protection Act and that any data
made public is on the grounds of fairness, accuracy and relevance.
- be assured that in the event of a dispute or difficulties
between evaluation participants and evaluators, they would
have access to independent arbitration.
- be assured that evaluators have taken all reasonable measures
to ensure that the reports are negotiated. Final reports should
normally be lodged in the public domain and made available to all
participants. Reasons for exemptions need to be recorded.
- have the right to be informed about the explicit use of
interview transcripts or video of teaching events and are asked
to offer their informed consent.
Guidelines
for self-evaluation
Participants in an institutional self-evaluation
need to:
- make the aims, objectives and purposes of the evaluation
clear to all members of the institution.
- ensure that the process is built into the structure and
function of the institution.
- have a clear set of procedures for the sharing of data
within and beyond the institution.
- take steps to ensure that all members of the institution
believe the evaluation is worth doing.
- acknowledge that the sharing of knowledge and experience
within the institution may be more threatening than to those outside
and take steps to lessen this threat.
- treat all colleagues equally in the process of the evaluation
and dissemination of findings.
- ensure that all involved in the evaluation (whether as a data
givers, collectors or users) are engaged at some level from
the start so they know what is happening and why.
- adopt methodologies that are economical and feasible
to use in the time-scales and operations of the institution.
- have the backing and support of the head of the institution,
including financial support, where appropriate for meetings, networking,
dissemination and publication.
- assure members of the institution that the findings from
the evaluation are fed back into development as well as providing
a measure of accountability.
- indicate that the process is methodologically sound from
which valid implications can be drawn for the precise purpose agreed.
- ensure the agreement and understanding of all
members of the institution before starting the evaluation.
- demonstrate consistency and predictability of behaviour
in the conduct and negotiation of the evaluation.
- recognise and agree when it is important to make data
public and when, for the development of the institution, it is prudent
to retain some data in confidence.
- communicate openly and honestly with colleagues, consistent
with maintaining fair and equitable ethical procedures.
- seek advice and /or consider adopting a critical friend
to conduct a process audit of the methodological rigor and fairness
with which the evaluation is conducted.
- communicate to colleagues in accessible language and
engage them in discussion on the utility of the evidence and findings.
|