We are Michael Quinn Patton and Weronika Felcis, both Board Members of the International Evaluation Academy, on which Weronika serves as Vice President. This post presents a work-in-progress on Principles for Evaluating Transformation. These principles illustrate the kind of global thinking and engagement that constitutes a core part of the vision of the International Evaluation Academy. We have synthesized the knowledge, experience, and expertise of members of the International Evaluation Academy to offer minimum specifications for transformational initiatives, often called in shorthand, “min specs.” Thus, we do not aim to provide a comprehensive list of transformational principles, but rather a set of six core principles that we deem essential to transformational initiatives and their evaluation. These principles are best viewed as interrelated with other Academy initiatives on decolonization, climate change, and systems thinking.
Transformation means deep, meaningful, and substantial systems change. A transformative trajectory conceptualizes the pathway to large-scale impact. But there can be no universal definition or specification of what constitutes transformation. Transformation is ultimately contextual and emergent. Therefore, what is meant by transformation must be defined by those engaged in such an effort, expressing a vision of the changed system (or systems) they aspire to and making the case that their initiative constitutes a potential trajectory towards that aspiration – of achieving changes not only in policies and practices, but in structures and relations and eventually mental models. These principles aim to support that contextual development and adaptation and the GUIDE model of building them is explained in the literature below. We believe in order to make them meaningful to others, we need to engage in creating systemic networks and strengthen the synergies among the evaluation organizations, avoiding duplication of our efforts and working hand in hand in managing wisely scarce resources.
Below we present you with the Principles that we share with evaluators across the globe in the meetings, workshops and the open document where we are happy to get your comments and reflections that can help us calibrate this work in progress to the needs of intended users.
Principle 1. Meaningfulness
Conceptualize a meaningful transformative trajectory and vision. Evaluate whether and how what is specified as a transformative trajectory can reasonably be considered as contributing towards a vision of transformation.
Principle 2. Human-Nature Interconnection
Integrate social and ecological systems changes to achieve environmental justice.
Evaluate the extent to which and ways in which more equitable human systems and more sustainable natural systems are engaged together as interconnected and interdependent.
Treat sustainability and equity as interconnected and interdependent dimensions of transformation. Increased sustainability without enhanced equity (decolonization) is not fully transformational. Enhanced equity without increased sustainability fails to meet the threats to humanity’s future viability.
Principle 3. Complex Systems Focus
Ensure that transforming systems is the transformational focus. Assess systems transformation using systems thinking principles, complexity concepts, and systems sciences.
Systems transformation involves changing human-to-human and human-to-nature interrelationships and perspectives.
Principle 4. Inclusion
Ensure that diverse voices and historically underrepresented perspectives are meaningfully engaged in the conceptualization and evaluation of transformation. Evaluation processes must both examine the diversity and inclusiveness of the transformative initiative and manifest inclusiveness and diversity throughout the evaluation.
Principle 5. Adaptation
Engage in transformative initiatives opportunistically and adaptively. Adapt, contextualize, and transform evaluation criteria, models, designs, approaches, and methods to be congruent with the characteristics of the specific systems transformation underway.
Principle 6: Integration
Integrate the design, engagement with, and evaluation of systems transformation initiatives through adherence to these transformation principles. Integrate evaluative thinking, learning, and expertise into all aspects of transformational initiatives from the beginning, including situation analysis and design, and throughout the transformational engagement process.
Lesson Learned
Global evaluation engagement on global initiatives requires mobilizing global evaluation networks. The International Evaluation Academy creates and supports a network of globally-oriented evaluators who can take on independent evaluations of global transformational initiatives based on these principles.
Ongoing Development: We welcome your comments on the principles here on AEA365 as we continue to develop them. We will post a revised full document on the International Evaluation Academy website by the end of the year.
Rad Resources
(*on how to think evaluatively, build and assess principles of behaviour in complex systems during turbulent times)
- Principles-Focused Evaluation (Patton, 2018). Principles-Focused Evaluation: The GUIDE (guilford.com)
- Principles-focused evaluation video: https://youtu.be/TLDlb8Cgohs
- 5th edition of Utilization-Focused Evaluation (Patton & Campbell-Patton, 2022) with special attention to issues of equity and sustainability. https://us.sagepub.com/en-us/nam/utilization-focused-evaluation/book268943
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Dear colleagues,
Thank you very much for providing this important summary of principles of evaluating transformation. It is very concrete and could be used as a reminder list for people working not only in the field of evaluation, but also for policy makers. Although the list is well explained and informative, while the importance of local perspective could be found within principles of adaptation and integration, I believe that the importance of local context should be additionally underlined and elaborated. For example, some recent literature (eg. OECD, UNDP reports) reveal that although having a relatively marginal role in designing and implementing climate change regulation, local governments will play a considerable role in managing transition to a low-carbon economy and enabling green growth. Therefore, harmonisation of global, national and local approach in just transition and similar transformation policies is essential.
Thank you once again for your initiative and for providing valuable material.
With kind regards,
Mihajlo Djukic (Informal Network of Evaluators from Serbia)