Ethical DataLooking at What It Isand How We Use It

HarrietAnn Litwin, M.Ed., CRC 6th Summit ConferenceDarlene Groomes, Ph.D., CRC, LPC Rhode IslandKathe Matrone, Ph.D., CRC September 16, 2013

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

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

Framework for today’s discussion

Using the Office of Management and Budget’s framework including:•Data Utility

Including data quality

•Data Objectivity

•Data IntegrityIncluding data security

Codes that will be used today

Among many possible sets of principles, we have selected two:

•Commission on Rehabilitation Counselors Certificationhttp://www.crccertification.com/filebin/pdf/CRCCodeOfEthics.pdf

•American Evaluation Associationhttp://www.eval.org/p/cm/ld/fid=51

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

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

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

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

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

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

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 ResultsAEA Guiding Principles A-E, A: Systematic Inquiry

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 ResultsAEA Standards: Accuracy

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

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 &

DisclosureAEA Principles: Systematic Inquiry, Integrity, Responsibilities for

public welfare

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 ResultsAEA Principles: Responsibilities for public welfare

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 ResultsAEA Principles: Responsibilities for public welfare

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

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

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.

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

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

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

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.

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.

Thank you for participating!HarrietAnn Litwin, M.Ed., CRCDelaware Division of Vocational Rehabilitation(302) 761-8275HarrietAnn.Litwin@state.de.us

Darlene Groomes, Ph.D., CRC, LPCOakland University(517) 896-9807 Groomes@oakland.edu

Kathe Matrone, PhD, CRCUniversity of Washington(425) 771-7436 matrok@uw.edu