After watching the synopsis of the Tuskegee?experiment: What were some of the main deceptions of the Tuskegee study? ?(There were several). ? 3. What surprised you in the ASA Code of Eth

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American Sociological Association

Code of Ethics

and

Policies and Procedures of the

ASA Committee on Professional Ethics

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Copyright @ 1999 by the American Sociological Association All rights reserved. No part of this book may be reproduced or utilized in any form or any means, electronic or mechanical, including photocopying, recording, or by any information storage or retrieval system, without permission in writing from the publisher. Individual copies available at no charge. Multiple and bulk copies of this publication may be ordered by prepaid request ($.50 per copy). To order this publication or for information on this or other ASA publications, contact:

American Sociological Association 1307 New York Avenue NW, Suite 700

Washington, DC 20005-4701 (202) 383-9005 x389 (202) 638-0882 fax

[email protected] www.asanet.org

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Code of Ethics American Sociological Association

(Approved by the ASA Membership in June 1997)

INTRODUCTION

PREAMBLE

GENERAL PRINCIPLES Principle A: Professional Competence Principle B: Integrity Principle C: Professional and Scientific Responsibility Principle D: Respect for People's Rights, Dignity, and Diversity Principle E: Social Responsibility ETHICAL STANDARDS 1. Professional and Scientific Standards 2. Competence 3. Representation and Misuse of Expertise 4. Delegation and Supervision 5. Nondiscrimination 6. Non-exploitation 7. Harassment 8. Employment Decisions 8.01 Fair Employment Practices 8.02 Responsibilities of Employees 9. Conflicts of Interest 9.01 Adherence to Professional Standards 9.02 Disclosure 9.03 Avoidance of Personal Gain 9.04 Decisionmaking in the Workplace 9.05 Decisionmaking Outside of the Workplace 10. Public Communications 10.01 Public Communications 10.02 Statements by Others 11. Confidentiality 11.01 Maintaining Confidentiality 11.02 Limits of Confidentiality 11.03 Discussing Confidentiality and Its Limits 11.04 Anticipation of Possible Uses of Information

11.05 Electronic Transmission of Confidential Information 11.06 Anonymity of Sources

11.07 Minimizing Intrusions on Privacy 11.08 Preservation of Confidential Information

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12. Informed Consent 12.01 Scope of Informed Consent 12.02 Informed Consent Process 12.03 Informed Consent of Students and Subordinates 12.04 Informed Consent with Children 12.05 Use of Deception in Research 12.06 Use of Recording Technology 13. Research Planning, Implementation, and Dissemination 13.01 Planning and Implementation 13.02 Unanticipated Research Opportunities 13.03 Offering Inducements for Research Participants 13.04 Reporting on Research 13.05 Data Sharing 14. Plagiarism 15. Authorship Credit 16. Publication Process 16.01 Submission of Manuscripts for Publication 16.02 Duplicate Publication of Data 16.03 Responsibilities of Editors 17. Responsibilities of Reviewers 18. Education, Teaching, and Training 18.01 Administration of Education Programs 18.02 Teaching and Training 19. Contractual and Consulting Services 20. Adherence to the Code of Ethics 20.01 Familiarity with the Code of Ethics 20.02 Confronting Ethical Issues 20.03 Fair Treatment of Parties in Ethical Disputes 20.04 Reporting Ethical Violations of Others 20.05 Cooperating with Ethics Committees 20.06 Improper Complaints

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INTRODUCTION

The American Sociological Association’s (ASA’s) Code of Ethics sets forth the principles and ethical standards that underlie sociologists’ professional responsibilities and conduct. These principles and standards should be used as guidelines when examining everyday professional activities. They constitute normative statements for sociologists and provide guidance on issues that sociologists may encounter in their professional work.

ASA’s Code of Ethics consists of an Introduction, a Preamble, five General Principles, and specific Ethical Standards. This Code is also accompanied by the Rules and Procedures of the ASA Committee on Professional Ethics which describe the procedures for filing, investigating, and resolving complaints of unethical conduct.

The Preamble and General Principles of the Code are aspirational goals to guide sociologists toward the highest ideals of sociology. Although the Preamble and General Principles are not enforceable rules, they should be considered by sociologists in arriving at an ethical course of action and may be considered by ethics bodies in interpreting the Ethical Standards.

The Ethical Standards set forth enforceable rules for conduct by sociologists. Most of the Ethical Standards are written broadly in order to apply to sociologists in varied roles, and the application of an Ethical Standard may vary depending on the context. The Ethical Standards are not exhaustive. Any conduct that is not specifically addressed by this Code of Ethics is not necessarily ethical or unethical.

Membership in the ASA commits members to adhere to the ASA Code of Ethics and to the Policies and Procedures of the ASA Committee on Professional Ethics. Members are advised of this obligation upon joining the Association and that violations of the Code may lead to the imposition of sanctions, including termination of membership. ASA members subject to the Code of Ethics may be reviewed under these Ethical Standards only if the activity is part of or affects their work-related functions, or if the activity is sociological in nature. Personal activities having no connection to or effect on sociologists’ performance of their professional roles are not subject to the Code of Ethics. PREAMBLE

This Code of Ethics articulates a common set of values upon which sociologists build their professional and scientific work. The Code is intended to provide both the general principles and the rules to cover professional situations encountered by sociologists. It has as its primary goal the welfare and protection of the individuals and groups with whom sociologists work. It is the individual responsibility of each sociologist to aspire to the highest possible standards of conduct in research, teaching, practice, and service.

The development of a dynamic set of ethical standards for a sociologist’s work-related conduct requires a personal commitment to a lifelong effort to act ethically; to encourage ethical behavior by students, supervisors, supervisees, employers, employees, and colleagues; and to consult with others as needed concerning ethical problems. Each sociologist supplements, but does not violate, the values and rules specified in the Code of Ethics based on guidance drawn from personal values, culture, and experience.

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GENERAL PRINCIPLES

The following General Principles are aspirational and serve as a guide for sociologists in determining ethical courses of action in various contexts. They exemplify the highest ideals of professional conduct.

Principle A: Professional Competence

Sociologists strive to maintain the highest levels of competence in their work; they recognize the limitations of their expertise; and they undertake only those tasks for which they are qualified by education, training, or experience. They recognize the need for ongoing education in order to remain professionally competent; and they utilize the appropriate scientific, professional, technical, and administrative resources needed to ensure competence in their professional activities. They consult with other professionals when necessary for the benefit of their students, research participants, and clients.

Principle B: Integrity

Sociologists are honest, fair, and respectful of others in their professional activities— in research, teaching, practice, and service. Sociologists do not knowingly act in ways that jeopardize either their own or others’ professional welfare. Sociologists conduct their affairs in ways that inspire trust and confidence; they do not knowingly make statements that are false, misleading, or deceptive.

Principle C: Professional and Scientific Responsibility

Sociologists adhere to the highest scientific and professional standards and accept responsibility for their work. Sociologists understand that they form a community and show respect for other sociologists even when they disagree on theoretical, methodological, or personal approaches to professional activities. Sociologists value the public trust in sociology and are concerned about their ethical behavior and that of other sociologists that might compromise that trust. While endeavoring always to be collegial, sociologists must never let the desire to be collegial outweigh their shared responsibility for ethical behavior. When appropriate, they consult with colleagues in order to prevent or avoid unethical conduct.

Principle D: Respect for People’s Rights, Dignity, and Diversity

Sociologists respect the rights, dignity, and worth of all people. They strive to eliminate bias in their professional activities, and they do not tolerate any forms of discrimination based on age; gender; race; ethnicity; national origin; religion; sexual orientation; disability; health conditions; or marital, domestic, or parental status. They are sensitive to cultural, individual, and role differences in serving, teaching, and studying groups of people with distinctive characteristics. In all of their work-related activities, sociologists acknowledge the rights of others to hold values, attitudes, and opinions that differ from their own. Principle E: Social Responsibility

Sociologists are aware of their professional and scientific responsibility to the communities and societies in which they live and work. They apply and make

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public their knowledge in order to contribute to the public good. When undertaking research, they strive to advance the science of sociology and to serve the public good. ETHICAL STANDARDS

1. Professional and Scientific Standards Sociologists adhere to the highest possible technical standards that are reasonable and

responsible in their research, teaching, practice, and service activities. They rely on scientifically and professionally derived knowledge; act with honesty and integrity; and avoid untrue, deceptive, or undocumented statements in undertaking work-related functions or activities. 2. Competence

(a) Sociologists conduct research, teach, practice, and provide service only within the boundaries of their competence, based on their education, training, supervised experience, or appropriate professional experience.

(b) Sociologists conduct research, teach, practice, and provide service in new areas or involving new techniques only after they have taken reasonable steps to ensure the competence of their work in these areas.

(c) Sociologists who engage in research, teaching, practice, or service maintain awareness of current scientific and professional information in their fields of activity and undertake continuing efforts to maintain competence in the skills they use.

(d) Sociologists refrain from undertaking an activity when their personal circumstances may interfere with their professional work or lead to harm for a student, supervisee, human subject, client, colleague, or other person to whom they have a scientific, teaching, consulting, or other professional obligation.

3. Representation and Misuse of Expertise

(a) In research, teaching, practice, service, or other situations where sociologists render professional judgments or present their expertise, they accurately and fairly represent their areas and degrees of expertise.

(b) Sociologists do not accept grants, contracts, consultation, or work assignments from individual or organizational clients or sponsors that appear likely to require violation of the standards in this Code of Ethics. Sociologists dissociate themselves from such activities when they discover a violation and are unable to achieve its correction.

(c) Because sociologists’ scientific and professional judgments and actions may affect the lives of others, they are alert to and guard against personal, financial, social, organizational, or political factors that might lead to misuse of their knowledge, expertise, or influence.

(d) If sociologists learn of misuse or misrepresentation of their work, they take reasonable steps to correct or minimize the misuse or misrepresentation.

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4. Delegation and Supervision (a) Sociologists provide proper training and supervision to their students, supervisees,

or employees and take reasonable steps to see that such persons perform services responsibly, competently, and ethically.

(b) Sociologists delegate to their students, supervisees, or employees only those responsibilities that such persons, based on their education, training, or experience, can reasonably be expected to perform either independently or with the level of supervision provided.

5. Nondiscrimination

Sociologists do not engage in discrimination in their work based on age; gender; race; ethnicity; national origin; religion; sexual orientation; disability; health conditions; marital, domestic, or parental status; or any other applicable basis proscribed by law. 6. Non-exploitation

(a) Whether for personal, economic, or professional advantage, sociologists do not exploit persons over whom they have direct or indirect supervisory, evaluative, or other authority such as students, supervisees, employees, or research participants.

(b) Sociologists do not directly supervise or exercise evaluative authority over any person with whom they have a sexual relationship, including students, supervisees, employees, or research participants.

7. Harassment

Sociologists do not engage in harassment of any person, including students, supervisees, employees, or research participants. Harassment consists of a single intense and severe act or of multiple persistent or pervasive acts which are demeaning, abusive, offensive, or create a hostile professional or workplace environment. Sexual harassment may include sexual solicitation, physical advance, or verbal or non-verbal conduct that is sexual in nature. Racial harassment may include unnecessary, exaggerated, or unwarranted attention or attack, whether verbal or non-verbal, because of a person’s race or ethnicity. 8. Employment Decisions

Sociologists have an obligation to adhere to the highest ethical standards when participating in employment related decisions, when seeking employment, or when planning to resign from a position. 8.01 Fair Employment Practices

(a) When participating in employment-related decisions, sociologists make every effort to ensure equal opportunity and fair treatment to all full- and part-time employees. They do not discriminate in hiring, promotion, salary, treatment, or any other conditions of employment or career development on the basis of age; gender; race; ethnicity; national origin; religion; sexual orientation; disability; health conditions; marital, domestic, or parental status; or any other applicable basis proscribed by law.

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(b) When participating in employment-related decisions, sociologists specify the requirements for hiring, promotion, tenure, and termination and communicate these requirements thoroughly to full- and part-time employees and prospective employees.

(c) When participating in employment-related decisions, sociologists have the responsibility to be informed of fair employment codes, to communicate this information to employees, and to help create an atmosphere upholding fair employment practices for full- and part-time employees.

(d) When participating in employment-related decisions, sociologists inform prospective full- and part-time employees of any constraints on research and publication and negotiate clear understandings about any conditions that may limit research and scholarly activity.

8.02 Responsibilities of Employees

(a) When seeking employment, sociologists provide prospective employers with accurate and complete information on their professional qualifications and experiences.

(b) When leaving a position, permanently or temporarily, sociologists provide their employers with adequate notice and take reasonable steps to reduce negative effects of leaving.

9. Conflicts of Interest

Sociologists maintain the highest degree of integrity in their professional work and avoid conflicts of interest and the appearance of conflict. Conflicts of interest arise when sociologists’ personal or financial interests prevent them from performing their professional work in an unbiased manner. In research, teaching, practice, and service, sociologists are alert to situations that might cause a conflict of interest and take appropriate action to prevent conflict or disclose it to appropriate parties. 9.01 Adherence to Professional Standards

Irrespective of their personal or financial interests or those of their employers or clients, sociologists adhere to professional and scientific standards in (1) the collection, analysis, or interpretation of data; (2) the reporting of research; (3) the teaching, professional presentation, or public dissemination of sociological knowledge; and (4) the identification or implementation of appropriate contractual, consulting, or service activities. 9.02 Disclosure

Sociologists disclose relevant sources of financial support and relevant personal or professional relationships that may have the appearance of or potential for a conflict of interest to an employer or client, to the sponsors of their professional work, or in public speeches and writing. 9.03 Avoidance of Personal Gain

(a) Under all circumstances, sociologists do not use or otherwise seek to gain from information or material received in a confidential context (e.g., knowledge obtained from reviewing a manuscript or serving on a proposal review panel),

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unless they have authorization to do so or until that information is otherwise made publicly available.

(b) Under all circumstances, sociologists do not seek to gain from information or material in an employment or client relationship without permission of the employer or client.

9.04 Decisionmaking in the Workplace

In their workplace, sociologists take appropriate steps to avoid conflicts of interest or the appearance of conflicts and carefully scrutinize potentially biasing affiliations or relationships. In research, teaching, practice, or service, such potentially biasing affiliations or relationships include, but are not limited to, situations involving family, business, or close personal friendships or those with whom sociologists have had strong conflict or disagreement. 9.05 Decisionmaking Outside of the Workplace

In professional activities outside of their workplace, sociologists in all circumstances abstain from engaging in deliberations and decisions that allocate or withhold benefits or rewards from individuals or institutions if they have biasing affiliations or relationships. These biasing affiliations or relationships are: 1) current employment or being considered for employment at an organization or institution that could be construed as benefiting from the decision; 2) current officer or board member of an organization or institution that could be construed as benefiting from the decision; 3) current employment or being considered for employment at the same organization or institution where an individual could benefit from the decision; 4) a spouse, domestic partner, or known relative who as an individual could benefit from the decision; or 5) a current business or professional partner, research collaborator, employee, supervisee, or student who as an individual could benefit from the decision. 10. Public Communications

Sociologists adhere to the highest professional standards in public communications about their professional services, credentials and expertise, work products, or publications, whether these communications are from themselves or from others.

10.01 Public Communications

(a) Sociologists take steps to ensure the accuracy of all public communications. Such public communications include, but are not limited to, directory listings; personal resumes or curriculum vitae; advertising; brochures or printed matter; interviews or comments to the media; statements in legal proceedings; lectures and public oral presentations; or other published materials.

(b) Sociologists do not make public statements that are false, deceptive, misleading, or fraudulent, either because of what they state, convey, or suggest or because of what they omit, concerning their research, practice, or other work activities or those of persons or organizations with which they are affiliated. Such activities include, but are not limited to, false or deceptive statements concerning

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sociologists’ (1) training, experience, or competence; (2) academic degrees; (3) credentials; (4) institutional or association affiliations; (5) services; (6) fees; or (7) publications or research findings. Sociologists do not make false or deceptive statements concerning the scientific basis for, results of, or degree of success from their professional services.

(c) When sociologists provide professional advice or comment by means of public lectures, demonstrations, radio or television programs, prerecorded tapes, printed articles, mailed material, or other media, they take reasonable precautions to ensure that (1) the statements are based on appropriate research, literature, and practice; and (2) the statements are otherwise consistent with this Code of Ethics.

10.02 Statements by Others

(a) Sociologists who engage or employ others to create or place public statements that promote their work products, professional services, or other activities retain responsibility for such statements.

(b) Sociologists make reasonable efforts to prevent others whom they do not directly engage, employ, or supervise (such as employers, publishers, sponsors, organizational clients, members of the media) from making deceptive statements concerning their professional research, teaching, or practice activities.

(c) In working with the press, radio, television, or other communications media or in advertising in the media, sociologists are cognizant of potential conflicts of interest or appearances of such conflicts (e.g., they do not provide compensation to employees of the media), and they adhere to the highest standards of professional honesty (e.g., they acknowledge paid advertising).

11. Confidentiality

Sociologists have an obligation to ensure that confidential information is protected. They do so to ensure the integrity of research and the open communication with research participants and to protect sensitive information obtained in research, teaching, practice, and service. When gathering confidential information, sociologists should take into account the long-term uses of the information, including its potential placement in public archives or the examination of the information by other researchers or practitioners. 11.01 Maintaining Confidentiality

(a) Sociologists take reasonable precautions to protect the confidentiality rights of research participants, students, employees, clients, or others.

(b) Confidential information provided by research participants, students, employees, clients, or others is treated as such by sociologists even if there is no legal protection or privilege to do so. Sociologists have an obligation to protect confidential information and not allow information gained in confidence from being used in ways that would unfairly compromise research participants, students, employees, clients, or others.

(c) Information provided under an understanding of confidentiality is treated as such even after the death of those providing that information.

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(d) Sociologists maintain the integrity of confidential deliberations, activities, or roles, including, where applicable, that of professional committees, review panels, or advisory groups (e.g., the ASA Committee on Professional Ethics).

(e) Sociologists, to the extent possible, protect the confidentiality of student records, performance data, and personal information, whether verbal or written, given in the context of academic consultation, supervision, or advising.

(f) The obligation to maintain confidentiality extends to members of research or training teams and collaborating organizations who have access to the information. To ensure that access to confidential information is restricted, it is the responsibility of researchers, administrators, and principal investigators to instruct staff to take the steps necessary to protect confidentiality.

(g) When using private information about individuals collected by other persons or institutions, sociologists protect the confidentiality of individually identifiable information. Information is private when an individual can reasonably expect that the information will not be made public with personal identifiers (e.g., medical or employment records).

11.02 Limits of Confidentiality

(a) Sociologists inform themselves fully about all laws and rules which may limit or alter guarantees of confidentiality. They determine their ability to guarantee absolute confidentiality and, as appropriate, inform research participants, students, employees, clients, or others of any limitations to this guarantee at the outset, consistent with ethical standards set forth in 11.02(b).

(b) Sociologists may confront unanticipated circumstances where they become aware of information that is clearly health- or life-threatening to research participants, students, employees, clients, or others. In these cases, sociologists balance the importance of guarantees of confidentiality with other principles in this Code of Ethics, standards of conduct, and applicable law.

(c) Confidentiality is not required with respect to observations in public places, activities conducted in public, or other settings where no rules of privacy are provided by law or custom. Similarly, confidentiality is not required in the case of information available from public records.

11.03 Discussing Confidentiality and Its Limits

(a) When sociologists establish a scientific or professional relationship with persons, they discuss (1) the relevant limitations on confidentiality, and (2) the foreseeable uses of the information generated through their professional work.

(b) Unless it is not feasible or is counter-productive, the discussion of confidentiality occurs at the outset of the relationship and thereafter as new circumstances may warrant.

11.04 Anticipation of Possible Uses of Information

(a) When research requires maintaining personal identifiers in databases or systems of records, sociologists delete such identifiers before the information is made publicly available.

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(b) When confidential information concerning research participants, clients, or other recipients of service is entered into databases or systems of records available to persons without the prior consent of the relevant parties, sociologists protect anonymity by not including personal identifiers or by employing other techniques that mask or control disclosure of individual identities.

(c) When deletion of personal identifiers is not feasible, sociologists take reasonable steps to determine that appropriate consent of personally-identifiable individuals has been obtained before they transfer such data to others or review such data collected by others.

11.05 Electronic Transmission of Confidential Information

Sociologists use extreme care in delivering or transferring any confidential data, information, or communication over public computer networks. Sociologists are attentive to the problems of maintaining confidentiality and control

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