1. Ethical Data Looking at What It Is and How We Use It HarrietAnn Litwin, M.Ed., CRC6 th Summit Conference Darlene Groomes, Ph.D., CRC, LPCRhode Island Kathe Matrone, Ph.D., CRCSeptember 16, 2013

2. What do we mean by ETHICS? A set of principles of proper conduct. The rules or standards governing the conduct of a person or the members of a profession. The Forum Guide to Data Ethics, National Forum on Education Statistics, February, 2010

3. What is a Code of Ethics? Comprehensive collection of “laws” Documents standards that governs expected/acceptable/moral behavior in a group Written agreement among participants that includes sanctions for unethical behavior Systematically arranged Values-driven: begins by setting out the values of the group

4. Framework for today’s discussion Using the Office of Management and Budget’s framework including: Data Utility  Including data quality Data Objectivity Data Integrity  Including data security

5. Codes that will be used today Among many possible sets of principles, we have selected two: Commission on Rehabilitation Counselors Certification http://www.crccertification.com/filebin/pdf/CRCCodeOfEthics.pdf American Evaluation Association http://www.eval.org/p/cm/ld/fid=51

6. Relationship with Organizational Performance Much like ethics in counseling and guidance espouses the relationship with client as paramount, data ethics champions its relationship with performance excellence All stakeholders have an interest in the results – Take steps to assure that evaluation results are accurately understood and accurately communicated – Employ evaluation results in decision-making Honesty in the research process and in the presentation of results leads to accurate identification of strengths and need in the development of strategic planning – Data security and confidentiality leads to accurate information – Full and accurate reporting lead to better decisions

7. Ethical Framework: Utility (Forum Code of Ethics, 2010; National Center for Education Statistics, 2002) Usefulness of information Provide all relevant data and context, definitions, documentation Promote understanding and accuracy of analysis Staying informed of stakeholder requirements/needs Goal to maximize usefulness, minimize cost – Crosstalk between professional organizational codes: CRC Section 1: Research and Publication, 1.3: Reporting Results AEA Guiding Principles A – E, A: Systematic Inquiry

8. Ethical Framework: Utility Usefulness of available dissemination channels Provide stakeholders ability to locate information in timely and equitable fashion Provide contact information on the report to facilitate feedback and questions – Crosstalk between professional organizational codes:  CRC Section 1: Research and Publication, 1.4: Publications and Presentations  AEA Guiding Principles A – E, E: Responsibilities for General and Public Welfare

9. Ethical Framework: Utility Mindful of Data Quality through best practices and standards for operation: Practical so most useful to stakeholders Free of error and bias Consistent, reproducible, dependable Readily available for decision-making – Crosstalk between professional organizational codes:  CRC Section 1: Research and Publication, 1.3: Reporting Results  AEA Guiding Principles A – E, C: Integrity/Honesty

10. Utility: Recommended Practice Develop a culture of data quality – Use best practice resources – Update data practices to reflect changes in policy – Train data handlers Improvement mindedness Privacy Federal race and ethnicity categories Utilization of decision support system

11. Utility: Recommended Practice Data presentation (subject to multiple reviews with comments passed on to authors) – Explain statistical procedures – Summarize methodology – Include definitions and related information to support interpretation of data – Add explanation to avoid misinterpretation – Provide contact information

12. Ethical Framework: Objectivity Refers to accuracy and clarity of information – Content of Information – Presentation of Information Achieved by using reliable information sources and appropriate techniques to prepare products. – Crosstalk between professional organizational codes:  CRC Section I: Research and Publications, 1.3: Reporting Results  AEA Guiding Principles A-E, A: Systematic Inquiry

13. Ethical Framework: Objectivity Content – Ensure accurate, reliable, and unbiased information – Appropriate research and statistical methods used – Limitations, assumptions, collection methods, and uncertainties concerning data disclosed – Crosstalk between professional organizational codes:  CRC Section I: Research and Publications, 1.3: Reporting Results  AEA Standards: Accuracy

14. Ethical Framework: Objectivity Presentation – The information is presented within a proper context – The research design and methods are transparent including the disclosure of data sources – Any issues affecting the data quality are identified and disclosed – Crosstalk between professional organizational codes:  CRC Section I: Research and Publications, 1.3: Reporting Results  AEA Standards: Accuracy

15. Ethical Framework: Objectivity Questionable Practices: – Data trimming and cooking – Not stating the methods used – Findings are suppressed or ignored – Crosstalk between professional organizational codes:  CRC Section I: Research and Publications, 1.2: Informed Consent & Disclosure  AEA Principles: Systematic Inquiry, Integrity, Responsibilities for public welfare

16. Objectivity: Recommended Practice Data handlers are expected to report information accurately and without bias, even when the news is bad! Train data reporters and users to follow a standard data preparation and presentation methods. – Crosstalk between professional organizational codes:  CRC Section I: Research and Publications, 1.3: Reporting Results  AEA Principles: Responsibilities for public welfare

17. Objectivity: Recommended Practice How you start and finish the evaluation process need particular attention Disseminating the evaluation is a vital aspect of the evaluation Crosstalk between professional organizational codes:  CRC Section I: Research and Publications, 1.3: Reporting Results  AEA Principles: Responsibilities for public welfare

18. Ethical Framework: Integrity Integrity security or protection of information from unauthorized access or revision ensures that the information is not compromised through corruption or falsification The Forum Guide to Data Ethics, National Forum on Education Statistics, February, 2010

19. NCES Canons on Integrity and Security Demonstrate honesty, integrity, and professionalism at all times Appreciate that, while data may represent attribute of real people, they do not describe the whole person Be aware of applicable statutes, regulations, practices, and ethical standards governing data collection and reporting

20. NCES Canons on Integrity and Security (continued) Report information accurately and without bias. Be accountable and hold others accountable for ethical use of data Treat data systems as valuable organizational assets. Safeguard sensitive data to guarantee privacy and confidentiality.

21. Integrity/Security: Crosstalk – CRCC Section I: Research and Publications  I.1 Research Responsibilities  I.2 Informed Consent and Disclosure  I.3 Reporting Results  I.4 Publication and Presentation  I.5 Confidentiality – Section G.1 includes a reminder to report results in their cultural context. – AEA  Section C: Integrity/Honesty  Section D: Respect for People

22. Integrity/Security: Recommended Practice Respect for the individuals who are the subject of the research Identify conflicts of interest Recognize all of the individuals who contribute to the success of the project Understand that the responsibility for accuracy and confidentiality lies with the practitioner

23. Utility: Ethical Dilemma Scenario Customer satisfaction scores were up! The agency was ready to disseminate the improvement in results, except: Management and staff knew that the survey had been updated in design and approach More detailed questions included on new version Offered to administer in more ways than just mail

24. Objectivity: Ethical Dilemma Scenario After reading the first draft of an evaluation report on the effectiveness of a new initiative (highly supported by the Director), the program manager suggested to the evaluator the deletion of some negative findings that the initiative was not making the impact.

25. Integrity: Ethical Dilemma Scenario You conducted a study that drew a random sample that was representative of your entire population. In reviewing your responses, you find that those who responded were not representative of the entire population, but rather favored one group disproportionately. While you have now learned that there were actions that might have prevented this type of response, you are asked to set goals and develop plans using this data.

26. Thank you for participating! HarrietAnn Litwin, M.Ed., CRC Delaware Division of Vocational Rehabilitation (302) 761-8275 HarrietAnn.Litwin@state.de.us Darlene Groomes, Ph.D., CRC, LPC Oakland University (517) 896-9807 Groomes@oakland.edu Kathe Matrone, PhD, CRC University of Washington (425) 771-7436 matrok@uw.edu