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The role of stakeholder engagement, organizational learning, and knowledge co-production in program evaluation Jim Lavery, Ph.D. Conrad N. Hilton Chair in Global Health Ethics Rollins School of Public Health and Center for Ethics Emory University

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Page 1: The role of stakeholder engagement, organizational ...careglobalmel.careinternationalwikis.org/_media/l... · “Despite the emphasis in international research ethics for the past

The role of stakeholder engagement, organizational

learning, and knowledge co-production

in program evaluation

Jim Lavery, Ph.D.

Conrad N. Hilton Chair in Global Health Ethics

Rollins School of Public Health and Center for Ethics

Emory University

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GOALS

Appreciate the operational relationships between stakeholder engagement, organizational

learning, and knowledge co-production in program evaluation

Explain how ethical goals can improve the design and value of program evaluation

Understand how to facilitate the evaluation of ethical goals in program evaluation

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THE PROBLEM

Research and program implementation in global development and humanitarian

programming is fraught with complex ethical challenges

But most program evaluation strategies do not explicitly account for how effectively these

ethical challenges are addressed

As a result even an organization like CARE, which has extremely high ethical standards and

clear guiding values, may not be sure how well these ethical commitments are being

realized in its programs

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CONSEQUENCES

• Missed opportunities to do good/add value

• Failure to identify and fulfill ethical obligations to SHs to avoid harming them

• Loss of trustworthiness, loss of confidence by partners (Reputational risks)

• Loss of opportunities to LEAD

–Demonstrate

–Shape culture

• Loss of a critical aspect of organizational learning and improvement

• Needed now more than ever

• De-colonizing agenda—new levels of attention and scrutiny to ethics

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WHY IS EVALUATING ETHICS SO HARD?

Research Ethics

5

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WHY IS EVALUATING ETHICS SO HARD? RESEARCH ETHICS

• Many problems arising in global development and

humanitarian research and implementation programs are

‘wicked problems’

• Complex socially, culturally, politically, operationally, and

administratively (compounds the ethical complexity)

• Yet we still rely on narrow, standardized reasoning (e.g.,

mandatory disclosures for informed consent, minimize

unnecessary or unjustified risk to participants, etc.)

• Implications for non-participants are “out of scope” in

dominant research ethics paradigm

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WHY IS EVALUATING ETHICS SO HARD? RESEARCH ETHICS

“Despite the emphasis in international research ethics for the

past 20 years on ensuring that research is relevant and

responsive to host country priorities and contributes to

improved healthcare and research capacity in low-income

and middle-income countries hosting research, there has

been almost no discernible literature about the extent to

which these ethical aspirations have actually been realised.”

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“Research ethics governance has been criticised for being

slow and bureaucratic; it needs to become more timely,

flexible, and available to respond to changing circumstances

in crises.”

“Research ethics governance for humanitarian research

should…consider non-ideal ethical and methodological

approaches, rather than insisting on ideal solutions. In some

contexts, insistence on the ideal causes more problems than

pursuing the least-worst option.”

8

WHY IS EVALUATING ETHICS SO HARD? RESEARCH ETHICS

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WHY IS EVALUATING ETHICS SO HARD?

Research Methods Orthodoxy

9

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WHY IS EVALUATING ETHICS SO HARD? METHODS ORTHODOXY

Martin Ravallion, 2018. “Should the Randomistas (Continue to) Rule?.” CGD Working Paper 492.

Washington, DC: Center for Global Development. https://www.cgdev.org/ publication/should-

randomistas-continue-rule

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WHY IS EVALUATING ETHICS SO HARD? METHODS ORTHODOXY

Martin Ravallion, 2018. “Should the Randomistas (Continue to) Rule?.” CGD Working Paper 492.

Washington, DC: Center for Global Development. https://www.cgdev.org/ publication/should-

randomistas-continue-rule

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e.g., RCTs as the “Gold Standard”

• Distorting effects of question selection

• Narrow or “excessively fastidious” methods vs. “messy” contexts (Feinstein cited by

Freedman)

• May tell us “what works” in the specific context(s) of the trial

• But doesn’t say HOW or WHY it worked in that context

• Contextual factors and mediating factors are “randomized out”

• Sometimes (actually quite rarely) the privileged endpoints of a trial tell us all we need to

know, e.g., resolve the relevant uncertainties for the relevant decision-makers

• But equally often (or more often) they fail to account for important contextual factors,

some of which may be obvious and some non-obvious

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Streptokinase vs. tPA

Streptokinase

tPA

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Streptokinase vs. tPA

Mortality

Streptokinase xx%

tPA xx – 1%

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Streptokinase vs. tPA

Mortality Cost

Streptokinase xx% $200

tPA xx – 1% $2200

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e.g., RCTs as the “Gold Standard”

• The “effectiveness” vs. “value” problem (the “perspective” problem)

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e.g., RCTs as the “Gold Standard”

• The “effectiveness” vs. “value” problem (the “perspective” problem)

• The “particularizability” problem

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WHY IS EVALUATING ETHICS SO HARD? METHODS ORTHODOXY

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WHY IS EVALUATING ETHICS SO HARD? METHODS ORTHODOXY

surgeons will tend to favour sigmoidoscopy or colono-

scopy as the modality for initial screening. Each of these

stakeholders will put forward their own forms of

evidence, as well as criteria for what should be

considered to be good evidence, thus influencing the

decision-making context.

Both the internal and external decision-making

contexts affect what constitutes evidence and how that

evidence is utilised. While few would support decisions

based solely on purpose, process or participants, not

many would argue against the significant role that these

internal contextual factors play in any decision. The

external decision-making context can play both a

contextual and an evidentiary role, in some situations

providing constraints or limits for a decision, and in

other situations providing an evidentiary basis for

supporting or justifying a decision.

Axes of evidence-based decision-making

While the two orientations for determining what

constitutes evidence highlight different relationships

between evidence and context, and the internal–external

categorisation of contextual factors sets out a frame-

work for the ways in which context can impact on

evidence-based decision-making, we still need to under-

stand how evidence-based decision-making differs as we

move from EBM to evidence-based health policy.

To provide further elucidation, the concept of ‘axes of

evidence-based decision-making’ has been invoked,

comprising of an ‘evidence axis’ and a ‘context axis’

(Fig. 1). Advancing along the evidence axis, the

importance of scientific evidentiary sources in decision-

making increases, reflected in increasing demand for

evidence from RCTs and meta-analyses. Advancing

along the context axis, the importance and role of

contextual factors in decision-making increases, related

to both how thedecision ismade, and where thedecision

is applied.

EBM is positioned high on the evidence axis but low

on the context axis. Consistent with a philosophical-

normative orientation towards evidence, EBM focuses

on the quality of evidence while attempting to neutralise

the role or impact of the decision-making context. EBM

has had a catalytic impact on the demands for high-

quality evidence, reflected in increasing interest in meta-

analyses and systematic reviews produced by the

Cochrane Collaboration and others, and the extensive

development of clinical practice guidelines, all of which

strive to improve the quality of evidence. However with

EBM , determination of the generalisability of evidence

is implicitly left to the individual-clinical level, whereby

clinicians assess the applicability of evidence and/or

evidence-based guidelines with respect to each specific

patient’s circumstances (Haynes et al., 2002). In the

development of recommendations for population-wide

colorectal cancer screening, the internal decision-making

context would involve relatively fewer participants, a

clearer purpose and a simpler process, while the external

decision-making context with respect to an individual

patient would be relatively less complex, variable or

uncertain. EBM engages clinicians to remain up-to-date

with the state of the science, through the maintenance of

critical appraisal skills and the ongoing familiarity with

the existence and use of clinical practice guidelines.

In contrast to EBM , traditional political decision-

making ispositioned high on thecontext axisand low on

the evidence axis. Evidence is only one of a number of

factors that affect decision-making, with internal and

external contextual factors providing the basis for

traditional political decision-making. Traditional poli-

tical decision-making is defined by its context, and lacks

a clear mechanism for defining or utilising evidence

appropriately or effectively. Comments that policy

decisions often lack an evidentiary base reflect this focus

on context. For colorectal cancer screening, traditional

political decision-making would typically address the

relative need for a screening program, influenced largely

by the interplay of key internal contextual factors (e.g.

purpose, participants and process) and the impact of

external contextual factors including political (e.g. what

are the economic implications of a population-wide

program, is it consistent with the ideological focus of the

policy-makers, is it a politically attractive issue to

pursue?), extra-jurisdictional (e.g. do similar popula-

tion-wide programs exist in other jurisdictions?) and

disease-specific characteristics (e.g. which population

groups would be most affected by a population-wide

program?). The quality of the scientific evidence avail-

able would be only one of several factors considered, if

at all.

From an evidence-based health policy perspective, is

there a middle ground? The axes of evidence-based

ARTICLE IN PRESS

Evidence Axis

Context Axis

Traditional Political Decision-Making

Evidence-Based Health Policy

Evidence-Based Medicine Importance

Low

Importance High

Importance Low

ImportanceHigh

Ideal Relationship

Fig. 1. Axes of evidence-based decision-making.

M .J. Dobrow et al. / Social Science & M edicine 58 ( 2004) 207–217 211

I

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KEY QUESTIONS FOR EVALUATING ETHICS

20

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KEY QUESTIONS FOR EVALUATING ETHICS

Precision

What is the appropriate unit of analysis for evaluating ethical goals?

Attribution

Through what specific mechanism(s) of action was the ethical goal achieved?

Actionable evidence

What kind of evidence is actionable ethically?

Accountability

What opportunities and obligations arise for the program and what is required to fulfill them?

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THE HELP P3A Criteria

Precision

What is the appropriate unit of analysis for evaluating ethical goals?

Attribution

Through what specific mechanism(s) of action was the ethical goal achieved?

Actionable evidence

What kind of evidence is actionable ethically?

Accountability

What opportunities and obligations arise for the program and what is required to fulfill them?

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VALUE, INTERESTS, & THE UNIQUE ETHICAL CONTRIBUTIONS OF

STAKEHOLDER ENGAGEMENT

23

Precision

Attribution

Actionable evidence

Accountability

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VALUE

Inherent in the concept of implementation science is

the requirement that we view research programs as

value-creation strategies, not just evidence-creation

strategies

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VALUE

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VALUE

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VALUE

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STAKEHOLDER ENGAGEMENT

• Stakeholder theory is about how to create value for stakeholders

• Value is determined according to the specific interests of each stakeholder

• Stakeholder engagement offers a feasible and realistic way to determine the value of

research for all relevant stakeholders, including research participants, partners, policy-

makers, and others whose interests may be affected, positively or negatively by the

research

• Stakeholder engagement creates a learning “ecosystem” (human infrastructure) that

allows research programs to learn about stakeholders’ interests to: (a) identify

opportunities to create specific value (benefits); and (b) avoiding setting back interestsof

stakeholders (i.e., harming them)

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EXAMPLE

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STAKEHOLDER ENGAGEMENT

“…the crucial role of stakeholders and users in

determining whether research is salient and

legitimate. It focuses attention on how well

scientists position their research for use, given

the mounting understanding that uptake and

influence begins during the research process, not

only afterwards”

BIOLOGY Wet labs squeezed by scarce funds and bureaucracy in Italy p.32

EVOLUTION Synthesizing many lines of evidence to trace the spine’s start p.31

HERITAGE How UNESCO has tried to broker peace through science and culture p.29

EQUALITY Too few people who are LGBTQ go into science, and too many leave p.27

In India, the world’s leading producer of mangoes, up to 40% of the harvested fruit is destroyed in transit before delivery.

This costs up to US$1 billion in lost income each year, affecting the lives and livelihoods of millions of farmers, traders and consum-ers. So researchers from India, Sri Lanka and Canada developed a suite of nanomaterials that can be sprayed onto fruit on the tree, in packaging or in transit, to extend its life. They

trapped hydrophobic hexanal molecules (derived from plant waste) in a hydrophilic membrane so that they could be suspended in liquid for application to the fragile fruit.

In Egypt, more than 95% of women have experienced sexual harassment at least once, and most cases go unreported. So, in 2010, researchers at the Youth and Development Consultancy Institute in Cairo developed Harrassmap (https://harassmap.org/en).

This online interactive resource enables people to report and map cases of sexual harassment. When it emerged that univer-sity campuses were hotspots, Cairo Univer-sity implemented a policy to combat sexual harassment, the first of its kind in the Middle East. Other universities in Egypt are follow-ing suit.

Both projects help to solve pressing soci-etal challenges. The researchers involved

A better measure of research from the global south

Funders Jean Lebel and Robert McLean describe a new tool for judging the value and validity of science that attempts to improve lives.

ILLU

ST

RAT

ION

BY

DA

VID

PA

RK

INS

5 J U L Y 2 0 1 8 | V O L 5 5 9 | N A T U R E | 2 3

COMMENT

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STAKEHOLDER ENGAGEMENT

Stakeholder

Individual (or organization) whose interests may be affected by the

conduct and/or outcomes of the research program

Engagement

The interactions and relationships through which researchers learn

about:

• stakeholder interests

• how stakeholder interests might be affected by the research

program (harm or create value or no effect)

• whether stakeholder interests create specific obligations for the

researchers/funders and how to execute the obligations

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STAKEHOLDER ENGAGEMENT

Lack of agreement on the precise ethical

goals of stakeholder engagement

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33

Generate insights about what interests are at stake and potential value for SHs

Extend respect

beyond the individual

Identify and respond to non-obvious SH interests and contextual factors

Build legitimacy for the research project

King et al. CE and the human infrastructue of GH Research. BMC Medical Ethics, 2014

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34

Generate insights about what interests are at stake and potential value for SHs

Acknowledge and be responsive to the community of stakeholders (Avoid Disregard)

Design/adopt approaches that account for, and safeguard stakeholder interests (Avoid harm + identify opportunities to create value for SHs)

Demonstrate trustworthiness and fairness in process and partnerships

Extend respect

beyond the individual

Identify and respond to non-obvious SH interests and contextual factors

Build legitimacy for the research project

King et al. CE and the human infrastructue of GH Research. BMC Medical Ethics, 2014

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35

Provide Reasons/Justification/ critically examine assumptions

Create Opportunities for Dialogue and Deliberation

Establish a human “infrastructure”

Generate insights about what interests are at stake and potential value for SHs

Acknowledge and be responsive to the community of stakeholders (Avoid Disregard)

Design/adopt approaches that account for, and safeguard stakeholder interests (Avoid harm + identify opportunities to create value for SHs)

Demonstrate trustworthiness and fairness in process and partnerships

Extend respect

beyond the individual

Identify and respond to non-obvious SH interests and contextual factors

Build legitimacy for the research project

King et al. CE and the human infrastructue of GH Research. BMC Medical Ethics, 2014

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VALUE, INTERESTS, & THE UNIQUE ETHICAL CONTRIBUTIONS OF

STAKEHOLDER ENGAGEMENT

36

Precision

Attribution

Actionable evidence

Accountability

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• Advocated a shift from “social science” orientation to a “strategic management” orientation for stakeholder engagement in research programs

• Stakeholder engagement is highly developed in strategic management approaches:

• human-centred design• Customer relationship management• Customer experience management

• These produce actionable insights—“design parameters”—that allow strategies to create value and safeguard stakeholder (and company) interests

• But must have flexibility in budgets, protocols and workflows, AND appropriate processes, to be responsive to stakeholder interests

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38

Program Phase Specific CSE Actions/Tasks

CSE

Learning

Phase

CSE Learning (Evaluation) Goals CSE Tools & Evidence

Concept Development & Funding

• Advocate for, and establish, CSE as an integral aspect of program design and

implementation

• For each program, provide guidance about the specific needs and goals for

CSE, the appropriate CSE model / approach, CSE human resource

implications, cost estimates, budget justifications (according to best available

evidence)

• Provide preliminary stakeholder analysis for program planning and budget development

Dialogue

(internal and

external stakeholders)

• What level of CSE strategy will be required?

• How will CSE planning be incorporated into

proposal/budget development?

• How are these decisions reflected in the program

design/protocol?

• What resources will be allocated to CSE?

• CSE program models

• CSE cost data

• Stakeholder and stakeholder interests mapping

Socializing the program with

stakeholders

• Formalize stakeholder analysis

• Work with program communications and stakeholders to shape the program’s

communications strategy

• Establish relationships with stakeholders and document their interests

• Document concerns or potential risks for stakeholders

• Identify any opportunities to improve the value of the program for stakeholders

• Who are the stakeholders? i.e., who’s interests may

be affected by the conduct and/or outcomes of the

program?

• What are their initial impressions about the program?

• What are the stakeholders’ learning needs—i.e.,

what do they need to know and understand to

assess the implications for their own interests?

• How might their interests be affected?

• How would stakeholders like to be engaged by the program?

• Stakeholder and stakeholder

interests mapping

• Co-development of

communications strategy with

stakeholders

• Stakeholder relationship record

Response and revision

• Analysis of interests

• Determine program’s obligations to stakeholders (explanation, justification,

reasoning)

• Establish and communicate program’s commitment to stakeholders

Deliberation

(internal and

external stakeholders)

• What obligations do stakeholder interests create for the program, if any?

• Interests-obligations-fulfillment

map/record

• Statement of commitments and workplan

• Plan and execute any necessary changes to protocols, accommodations, discussions/deliberations with stakeholders

• What does the program have to do to meet those obligations?

• Review protocol and

implementation to determine need for revisions

Implementation

• Establish stakeholder relationship management strategy to secure channels of

communication with stakeholders

• Integrate feedback from stakeholders into day-to-day management of the program

Relationship

management

• Are obligations to stakeholders being met?

• Are stakeholders satisfied?

• What is the status of individual relationships with stakeholders? • Stakeholder relationship

management (SRM) database

• CSE Management briefing model

Close Out and Evaluation• Debrief with stakeholders

• Design final (or ongoing) communications strategy for stakeholders

• Did we fulfill our obligations to stakeholders?

• What did we learn about the impact / effectiveness of the CSE strategy?

Post-study• Identify indicators of impact, e.g., stakeholder attitudes / satisfaction,

cooperation, adherence, recruitment, retention, research uptake, program-specific measures of success, etc

• . What are our obligations at the conclusion of the program?

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39

Program Phase Specific CSE Actions/Tasks

CSE

Learning

Phase

CSE Learning (Evaluation) Goals CSE Tools & Evidence

Concept Development & Funding

• Advocate for, and establish, CSE as an integral aspect of program design and

implementation

• For each program, provide guidance about the specific needs and goals for

CSE, the appropriate CSE model / approach, CSE human resource

implications, cost estimates, budget justifications (according to best available

evidence)

• Provide preliminary stakeholder analysis for program planning and budget development

Dialogue

(internal and

external stakeholders)

• What level of CSE strategy will be required?

• How will CSE planning be incorporated into

proposal/budget development?

• How are these decisions reflected in the program

design/protocol?

• What resources will be allocated to CSE?

• CSE program models

• CSE cost data

• Stakeholder and stakeholder interests mapping

Socializing the program with

stakeholders

• Formalize stakeholder analysis

• Work with program communications and stakeholders to shape the program’s

communications strategy

• Establish relationships with stakeholders and document their interests

• Document concerns or potential risks for stakeholders

• Identify any opportunities to improve the value of the program for stakeholders

• Who are the stakeholders? i.e., who’s interests may

be affected by the conduct and/or outcomes of the

program?

• What are their initial impressions about the program?

• What are the stakeholders’ learning needs—i.e.,

what do they need to know and understand to

assess the implications for their own interests?

• How might their interests be affected?

• How would stakeholders like to be engaged by the program?

• Stakeholder and stakeholder

interests mapping

• Co-development of

communications strategy with

stakeholders

• Stakeholder relationship record

Response and revision

• Analysis of interests

• Determine program’s obligations to stakeholders (explanation, justification,

reasoning)

• Establish and communicate program’s commitment to stakeholders

Deliberation

(internal and

external stakeholders)

• What obligations do stakeholder interests create for the program, if any?

• Interests-obligations-fulfillment

map/record

• Statement of commitments and workplan

• Plan and execute any necessary changes to protocols, accommodations, discussions/deliberations with stakeholders

• What does the program have to do to meet those obligations?

• Review protocol and

implementation to determine need for revisions

Implementation

• Establish stakeholder relationship management strategy to secure channels of

communication with stakeholders

• Integrate feedback from stakeholders into day-to-day management of the program

Relationship

management

• Are obligations to stakeholders being met?

• Are stakeholders satisfied?

• What is the status of individual relationships with stakeholders? • Stakeholder relationship

management (SRM) database

• CSE Management briefing model

Close Out and Evaluation• Debrief with stakeholders

• Design final (or ongoing) communications strategy for stakeholders

• Did we fulfill our obligations to stakeholders?

• What did we learn about the impact / effectiveness of the CSE strategy?

Post-study• Identify indicators of impact, e.g., stakeholder attitudes / satisfaction,

cooperation, adherence, recruitment, retention, research uptake, program-specific measures of success, etc

• . What are our obligations at the conclusion of the program?

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40

Program Phase Specific CSE Actions/Tasks

CSE

Learning

Phase

CSE Learning (Evaluation) Goals CSE Tools & Evidence

Concept Development & Funding

• Advocate for, and establish, CSE as an integral aspect of program design and

implementation

• For each program, provide guidance about the specific needs and goals for

CSE, the appropriate CSE model / approach, CSE human resource

implications, cost estimates, budget justifications (according to best available

evidence)

• Provide preliminary stakeholder analysis for program planning and budget development

Dialogue

(internal and

external stakeholders)

• What level of CSE strategy will be required?

• How will CSE planning be incorporated into

proposal/budget development?

• How are these decisions reflected in the program

design/protocol?

• What resources will be allocated to CSE?

• CSE program models

• CSE cost data

• Stakeholder and stakeholder interests mapping

Socializing the program with

stakeholders

• Formalize stakeholder analysis

• Work with program communications and stakeholders to shape the program’s

communications strategy

• Establish relationships with stakeholders and document their interests

• Document concerns or potential risks for stakeholders

• Identify any opportunities to improve the value of the program for stakeholders

• Who are the stakeholders? i.e., who’s interests may

be affected by the conduct and/or outcomes of the

program?

• What are their initial impressions about the program?

• What are the stakeholders’ learning needs—i.e.,

what do they need to know and understand to

assess the implications for their own interests?

• How might their interests be affected?

• How would stakeholders like to be engaged by the program?

• Stakeholder and stakeholder

interests mapping

• Co-development of

communications strategy with

stakeholders

• Stakeholder relationship record

Response and revision

• Analysis of interests

• Determine program’s obligations to stakeholders (explanation, justification,

reasoning)

• Establish and communicate program’s commitment to stakeholders

Deliberation

(internal and

external stakeholders)

• What obligations do stakeholder interests create for the program, if any?

• Interests-obligations-fulfillment

map/record

• Statement of commitments and workplan

• Plan and execute any necessary changes to protocols, accommodations, discussions/deliberations with stakeholders

• What does the program have to do to meet those obligations?

• Review protocol and

implementation to determine need for revisions

Implementation

• Establish stakeholder relationship management strategy to secure channels of

communication with stakeholders

• Integrate feedback from stakeholders into day-to-day management of the program

Relationship

management

• Are obligations to stakeholders being met?

• Are stakeholders satisfied?

• What is the status of individual relationships with stakeholders? • Stakeholder relationship

management (SRM) database

• CSE Management briefing model

Close Out and Evaluation• Debrief with stakeholders

• Design final (or ongoing) communications strategy for stakeholders

• Did we fulfill our obligations to stakeholders?

• What did we learn about the impact / effectiveness of the CSE strategy?

Post-study• Identify indicators of impact, e.g., stakeholder attitudes / satisfaction,

cooperation, adherence, recruitment, retention, research uptake, program-specific measures of success, etc

• . What are our obligations at the conclusion of the program?

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“HUMAN EVIDENCE”

Leveraging ‘small data’

41

Precision

Attribution

Actionable evidence

Accountability

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Human Evidence:

Leveraging ‘small data’

to re-frame the ethics of

research with human

beings

Lavery JV, Meslin EM, Upshur REG

[Manuscript in preparation]

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HUMAN EVIDENCE

Insights about stakeholder interests (especially non-obvious ones) constitute a unique

species of evidence (i.e., the insight renders the stakeholder’s interests evident)

We have characterized this as “human evidence” [manuscript in preparation]

Insights about the interests of stakeholders (human evidence) are actionable, i.e., they can

function as useful design parameters for various aspects of research and program

development, including strategies for responding to ethical challenges

i.e., we can use human evidence to guide design to safeguard interests (avoid harm) and

improve the performance of research (opportunities to create value)

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HUMAN EVIDENCE

• Dialogue & Deliberation about

interests

• Opportunities to create or realize

value/benefit

• Hazards (i.e., identify potential for

interests to be set-back)

• NOT Randomized

• Doesn’t require 2 years of “formative

research”

• DOES require some form of

relationship

• Only way to discover “non-obvious”

interests

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Human evidence—some examples

• Bed-nets in Tanzania (and A-Z Bednets, Arusha)

• Fish-drying racks in Kenya

• “Big leg” pressure wraps in Haiti

• Latrines and saris in India

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The logic of ‘human evidence’

Stakeholder engagement

Network of relationships

(human infrastructure) and

“learning ecosystem”

Relationships provide access to

non-obvious interests

Interests provide grounding for

specific obligations (avoid harm)

and/or opportunities (create value)

Insights about interests

(especially non-obvious ones) can

serve as action guides & design

parameters

Can facilitate a responsive

research ethics

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ORGANIZATIONAL LEARNING

The “Operating System” for Stakeholder Engagement

47

Precision

Attribution

Actionable evidence

Accountability

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ORGANIZATIONAL LEARNING INTERESTS & COMPLEXITY

Growing recognition that complex interventions operate through the reasoning and

behaviour of participants/users, not simply by the mechanism(s) of the

research/intervention itself

Circumstances influence the way individuals interpret the meaning of the intervention, for

themselves, and how they behave accordingly [CONTEXT]

CONTEXT x INTERVENTION = OUTCOMES

Interests [and other non-obvious “factors”] are critical elements of context

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EXAMPLES

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51Photo Credit: World Health Organization

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Elimination through Mass Drug Administration

Photo Credit: World Health Organization52

• 65% coverage

• 4-6 years

• annually

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Declining annual LF MDA coverage by commune in metropolitan Port-au-Prince

Data Credit: The Carter Center53

0

20

40

60

80

100

120

140

160

2012 2013 2014 2015 2016 2017

Perc

en

t (%

)

65% Target

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Declining annual LF MDA coverage by commune in metropolitan Port-au-Prince

Data Credit: The Carter Center54

0

20

40

60

80

100

120

140

160

2012 2013 2014 2015 2016 2017

Perc

en

t (%

)

Tabarre

Delmas

Cite Soleil

Port au Prince

Petion Ville

Carrefour

65% Target

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Key factors behind decline in MDA coverage in Port-au-Prince

1. Limited emphasis on potential participants’ experiences

2. No clear learning mechanisms

55

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Operating Logic

56

Program Inputs and

Mechanisms

Program elements,

design features and

mechanisms

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Operating Logic

57

Program Inputs and

Mechanisms

Program elements,

design features and

mechanisms

• Soundtruck, radio spots, TV ads

• HR decisions, e.g., selection

and training of CDDs

• Availability of water /

presentation of distribution

posts

• Inconsistent branding

• Placement/timing of distribution

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Operating Logic

58

Program Inputs and

Mechanisms

Program elements,

design features and

mechanisms

• Soundtruck, radio spots, TV ads

• HR decisions, e.g., selection

and training of CDDs

• Availability of water /

presentation of distribution

posts

• Inconsistent branding

• Placement/timing of distribution

Potential modifiers of

program inputs and

mechanisms

Mediating

Factors

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Operating Logic

59

Program Inputs and

Mechanisms

Program elements,

design features and

mechanisms

• Soundtruck, radio spots, TV ads

• HR decisions, e.g., selection

and training of CDDs

• Availability of water /

presentation of distribution

posts

• Inconsistent branding

• Placement/timing of distribution

Potential modifiers of

program inputs and

mechanisms

• Competing narratives, e.g.,

MDA as sterilization

campaign

• Social network influences

• Dirty surroundings

• Personal experience of LF

by prospective participants

• Convenience and

competing demands

• Fear of side effects

Mediating

Factors

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Operating Logic

60

Program Inputs and

Mechanisms

Program elements,

design features and

mechanisms

• Soundtruck, radio spots, TV ads

• HR decisions, e.g., selection

and training of CDDs

• Availability of water /

presentation of distribution

posts

• Inconsistent branding

• Placement/timing of distribution

Potential modifiers of

program inputs and

mechanisms

• Competing narratives, e.g.,

MDA as sterilization

campaign

• Social network influences

• Dirty surroundings

• Personal experience of LF

by prospective participants

• Convenience and

competing demands

• Fear of side effects

The way stakeholders

experience the program

and mediating influences

Mediating

Factors

Stakeholders’

Experience of Program

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Operating Logic

61

Program Inputs and

Mechanisms

Program elements,

design features and

mechanisms

• Soundtruck, radio spots, TV ads

• HR decisions, e.g., selection

and training of CDDs

• Availability of water /

presentation of distribution

posts

• Inconsistent branding

• Placement/timing of distribution

Potential modifiers of

program inputs and

mechanisms

• Competing narratives, e.g.,

MDA as sterilization

campaign

• Social network influences

• Dirty surroundings

• Personal experience of LF

by prospective participants

• Convenience and

competing demands

• Fear of side effects

The way stakeholders

experience the program

and mediating influences

• Uncertainty about the aims

and nature of the program

• Unprofessional

• General aversion to dirty

surroundings

• Frustration with the lack of

flexibility, e.g., inability to

take drugs home

• Frustration with the

relationship with the

program, e.g., CDDs

Mediating

Factors

Stakeholders’

Experience of Program

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Operating Logic

62

Program Inputs and

Mechanisms

Program elements,

design features and

mechanisms

• Soundtruck, radio spots, TV ads

• HR decisions, e.g., selection

and training of CDDs

• Availability of water /

presentation of distribution

posts

• Inconsistent branding

• Placement/timing of distribution

Potential modifiers of

program inputs and

mechanisms

• Competing narratives, e.g.,

MDA as sterilization

campaign

• Social network influences

• Dirty surroundings

• Personal experience of LF

by prospective participants

• Convenience and

competing demands

• Fear of side effects

The way stakeholders

experience the program

and mediating influences

• Uncertainty about the aims

and nature of the program

• Unprofessional

• General aversion to dirty

surroundings

• Frustration with the lack of

flexibility, e.g., inability to

take drugs home

• Frustration with the

relationship with the

program, e.g., CDDs

How stakeholders

make sense of

the program

Mediating

Factors

Stakeholders’

Experience of Program

Stakeholders’

Reasoning

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Operating Logic

63

Program Inputs and

Mechanisms

Program elements,

design features and

mechanisms

• Soundtruck, radio spots, TV ads

• HR decisions, e.g., selection

and training of CDDs

• Availability of water /

presentation of distribution

posts

• Inconsistent branding

• Placement/timing of distribution

Potential modifiers of

program inputs and

mechanisms

• Competing narratives, e.g.,

MDA as sterilization

campaign

• Social network influences

• Dirty surroundings

• Personal experience of LF

by prospective participants

• Convenience and

competing demands

• Fear of side effects

The way stakeholders

experience the program

and mediating influences

• Uncertainty about the aims

and nature of the program

• Unprofessional

• General aversion to dirty

surroundings

• Frustration with the lack of

flexibility, e.g., inability to

take drugs home

• Frustration with the

relationship with the

program, e.g., CDDs

How stakeholders

make sense of

the program

• Competing narratives are

true/correct

• Program does not appear to

be a serious medical

intervention

• Dirty surroundings are

incompatible with taking

medicines

• Participating in the program

(e.g., as a CDD) is a matter

of social responsibility,

despite lack of compensation

Mediating

Factors

Stakeholders’

Experience of Program

Stakeholders’

Reasoning

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Operating Logic

64

Program Inputs and

Mechanisms

Program elements,

design features and

mechanisms

• Soundtruck, radio spots, TV ads

• HR decisions, e.g., selection

and training of CDDs

• Availability of water /

presentation of distribution

posts

• Inconsistent branding

• Placement/timing of distribution

Potential modifiers of

program inputs and

mechanisms

• Competing narratives, e.g.,

MDA as sterilization

campaign

• Social network influences

• Dirty surroundings

• Personal experience of LF

by prospective participants

• Convenience and

competing demands

• Fear of side effects

The way stakeholders

experience the program

and mediating influences

• Uncertainty about the aims

and nature of the program

• Unprofessional

• General aversion to dirty

surroundings

• Frustration with the lack of

flexibility, e.g., inability to

take drugs home

• Frustration with the

relationship with the

program, e.g., CDDs

How stakeholders

make sense of

the program

• Competing narratives are

true/correct

• Program does not appear to

be a serious medical

intervention

• Dirty surroundings are

incompatible with taking

medicines

• Participating in the program

(e.g., as a CDD) is a matter

of social responsibility,

despite lack of compensation

Mediating

Factors

Stakeholders’

Experience of Program

Stakeholders’

Reasoning

Impact on Program

Outcomes

Inputs + Mediating Factors +

SH Experience + SH

Reasoning and Behaviour

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Operating Logic

65

Program Inputs and

Mechanisms

Program elements,

design features and

mechanisms

• Soundtruck, radio spots, TV ads

• HR decisions, e.g., selection

and training of CDDs

• Availability of water /

presentation of distribution

posts

• Inconsistent branding

• Placement/timing of distribution

Potential modifiers of

program inputs and

mechanisms

• Competing narratives, e.g.,

MDA as sterilization

campaign

• Social network influences

• Dirty surroundings

• Personal experience of LF

by prospective participants

• Convenience and

competing demands

• Fear of side effects

The way stakeholders

experience the program

and mediating influences

• Uncertainty about the aims

and nature of the program

• Unprofessional

• General aversion to dirty

surroundings

• Frustration with the lack of

flexibility, e.g., inability to

take drugs home

• Frustration with the

relationship with the

program, e.g., CDDs

How stakeholders

make sense of

the program

• Competing narratives are

true/correct

• Program does not appear to

be a serious medical

intervention

• Dirty surroundings are

incompatible with taking

medicines

• Participating in the program

(e.g., as a CDD) is a matter

of social responsibility,

despite lack of compensation

Mediating

Factors

Stakeholders’

Experience of Program

Stakeholders’

Reasoning

Impact on Program

Outcomes

Inputs + Mediating Factors +

SH Experience + SH

Reasoning and Behaviour

• Individual refusals

• Rationales for refusals

disseminate through social

networks

• Lack of appreciation and

acknowledgement of CDDs

erodes their enthusiasm

• Population fatigue with

program

• Loss of confidence in

program among partners

and funders

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Operating Logic

66

Program Inputs and

Mechanisms

Program elements,

design features and

mechanisms

• Soundtruck, radio spots, TV ads

• HR decisions, e.g., selection

and training of CDDs

• Availability of water /

presentation of distribution

posts

• Inconsistent branding

• Placement/timing of distribution

Potential modifiers of

program inputs and

mechanisms

• Competing narratives, e.g.,

MDA as sterilization

campaign

• Social network influences

• Dirty surroundings

• Personal experience of LF

by prospective participants

• Convenience and

competing demands

• Fear of side effects

The way stakeholders

experience the program

and mediating influences

• Uncertainty about the aims

and nature of the program

• Unprofessional

• General aversion to dirty

surroundings

• Frustration with the lack of

flexibility, e.g., inability to

take drugs home

• Frustration with the

relationship with the

program, e.g., CDDs

How stakeholders

make sense of

the program

• Competing narratives are

true/correct

• Program does not appear to

be a serious medical

intervention

• Dirty surroundings are

incompatible with taking

medicines

• Participating in the program

(e.g., as a CDD) is a matter

of social responsibility,

despite lack of compensation

Mediating

Factors

Stakeholders’

Experience of Program

Stakeholders’

Reasoning

Impact on Program

Outcomes

Inputs + Mediating Factors +

SH Experience + SH

Reasoning and Behaviour

• Individual refusals

• Rationales for refusals

disseminate through social

networks

• Lack of appreciation and

acknowledgement of CDDs

erodes their enthusiasm

• Population fatigue with

program

• Loss of confidence in

program among partners

and funders

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Operating Logic

67

Program Inputs and

Mechanisms

Program elements,

design features and

mechanisms

• Soundtruck, radio spots, TV ads

• HR decisions, e.g., selection

and training of CDDs

• Availability of water /

presentation of distribution

posts

• Inconsistent branding

• Placement/timing of distribution

Potential modifiers of

program inputs and

mechanisms

• Competing narratives, e.g.,

MDA as sterilization

campaign

• Social network influences

• Dirty surroundings

• Personal experience of LF

by prospective participants

• Convenience and

competing demands

• Fear of side effects

The way stakeholders

experience the program

and mediating influences

• Uncertainty about the aims

and nature of the program

• Unprofessional

• General aversion to dirty

surroundings

• Frustration with the lack of

flexibility, e.g., inability to

take drugs home

• Frustration with the

relationship with the

program, e.g., CDDs

How stakeholders

make sense of

the program

• Competing narratives are

true/correct

• Program does not appear to

be a serious medical

intervention

• Dirty surroundings are

incompatible with taking

medicines

• Participating in the program

(e.g., as a CDD) is a matter

of social responsibility,

despite lack of compensation

Mediating

Factors

Stakeholders’

Experience of Program

Stakeholders’

Reasoning

Impact on Program

Outcomes

Inputs + Mediating Factors +

SH Experience + SH

Reasoning and Behaviour

• Individual refusals

• Rationales for refusals

disseminate through social

networks

• Lack of appreciation and

acknowledgement of CDDs

erodes their enthusiasm

• Population fatigue with

program

• Loss of confidence in

program among partners

and funders

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SUMMARY

68

Precision

Attribution

Actionable evidence

Accountability

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EVALUATION OF ETHICS REQUIRES…

69

P3A Criteria Realized through…

Precision Acknowledgement of and responsiveness to SH interests to (a) create

value/benefit; and/or (b) avoiding set-backs to SH interests (i.e., harm)

Attribution Establish relationships with stakeholders > learn about their interests

through dialogue > agree on opportunities to create value or obligations to

avoid harm through deliberation > assess progress in the context of

relationship management

Actionable evidence Insights about the way the program might affect stakeholder interests >

guides and “design parameters” for producing specific value > and grounds

for specific obligations to avoid harm

Accountability Accountability to stakeholder interests > success determined by

stakeholders in the context of their relationship(s) with the program