American Sociological Association Code of Ethics

(Draft: July l996)

INTRODUCTION

The American Sociological Association'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 themselves 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 Rules and Procedures of the ASA Committee on Professional Ethics. ASA members subject to the Code of Ethics may be reviewed under these Ethical Standards only if the activity is part of their work-related functions or 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 most 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, or 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, supervisees, employees, and colleagues, as appropriate; 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.

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 uphold the highest standards of honesty, fairness, and respect for 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. Sociologists understand that they form a community and show respect for their colleagues even when they disagree on theoretical, methodological, or personal approaches to professional activities. They know their professional roles and obligations, and they accept responsibility for the consequences of their work. Sociologists are concerned with the ethical behavior of their colleagues, and they share responsibility for the good reputation of the discipline and its practitioners. While endeavoring always to be collegial, sociologists must never let the desire to be civil 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, Diversity, and Welfare

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. In their work-related activities, sociologists respect ideological differences and the rights of others to hold values, attitudes, and opinions that differ from their own. They are cognizant of the competencies required in serving, teaching, and studying groups of people with distinctive characteristics, and they strive to protect the welfare of those with whom they work. They respect the rights of individuals to privacy, self-determination, and autonomy.

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 recognize that their research and practice should not harm the communities and organizations that they study or the individuals within them. When undertaking research, they strive to advance human welfare and the science of sociology.


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. These standards include creating, maintaining, disseminating, or disposing of records and data in a manner that permits compliance with the requirements of the Code of Ethics and in accordance with law.

2. Resolving Conflicts Between Ethics and Law

If ethical responsibilities enunciated in the Code of Ethics conflict with law, sociologists make known their commitment to the Code and take steps to resolve the conflict in a responsible manner by consulting with colleagues, professional organizations, or the American Sociological Association's Committee on Professional Ethics.

3. Competence

Sociologists work within their boundaries of competence, maintain their expertise, and accurately represent their skills and expertise.

3.01 Boundaries of 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 first undertaking appropriate study, training, supervision, and/or consultation with persons who are competent in those areas or techniques.

(c) In emerging areas in which generally recognized standards for preparatory training do not yet exist, sociologists nevertheless take reasonable steps to ensure the competence of their work in research, teaching, practice, and service.

3.02 Maintaining Competence

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

(b) Sociologists recognize that personal problems may interfere with maintaining competence and effectiveness. Accordingly, they refrain from undertaking an activity when they know or should know that their personal problems are likely to interfere with their professional work or lead to harm for a student, supervisee, human subject, client, colleague, or other person to whom they would owe a scientific, teaching, consulting, or other professional obligation.

3.03 Representation of Competence

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.

4. Avoiding Misuse of Expertise

(a) 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.

(b) 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.

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

5. Delegation to and Supervision of Subordinates

(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 can reasonably be expected to perform competently, on the basis of their education, training, or experience, either independently or with the level of supervision provided.

6. Nondiscrimination

In their work-related activities, sociologists do not engage in discrimination 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.

7. Non-exploitation

(a) Sociologists do not seek or coerce personal, economic, or professional advantages from persons over whom they have supervisory, evaluative, or other authority such as students, supervisees, employees, or human subjects.

(b) Sociologists do not engage in sexual relationships with persons over whom they have supervisory, evaluative, or other authority such as students, supervisees, employees, or human subjects.

(c) Sociologists do not engage in sexual harassment of any person, including students, supervisees, employees, or human subjects. As used in this Code of Ethics, sexual harassment is sexual solicitation, physical advances, or verbal or nonverbal conduct that is sexual in nature, that occurs in connection with the sociologist's activities or roles as a sociologist, and that either: (1) is unwelcome, is offensive, or creates a hostile professional or workplace environment; or (2) is sufficiently severe or intense to be abusive to a reasonable person in a professional context. Sexual harassment can consist of a single intense or severe act or of multiple persistent or pervasive acts.

8. Responsibilities of Employment

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.

(b) When participating in employment-related decisions, sociologists specify the requirements for hiring, promotion, and tenure 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 possible constraints on research and publication in those settings and negotiate clear understandings about any conditions affecting their research and scholarly activity.

8.02 Responsibilities of Employees

(a) When seeking employment, sociologists provide prospective employers with accurate and complete information on their relevant 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 associated with this change in employment status.

9. Conflicts of Interest

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 avoid the situation 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, interpretation, and reporting of research; (2) the teaching, professional presentation, or public dissemination of sociological knowledge; and (3) 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), unless 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 Fairness in Decisionmaking

(a) In decisionmaking roles in an employment context, sociologists take appropriate steps to avoid conflicts of interest or the appearance of conflicts. 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; those with whom sociologists have had strong conflict or disagreement; or a former student. In situations that are ambiguous or potentially biasing, sociologists consult with a person or persons with relevant responsibility or authority.

(b) In professional activities external to an employment context, sociologists in all circumstances abstain from engaging in 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 Communication

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

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 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. Also, sociologists do not make false or deceptive statements concerning the scientific basis for, results of, or degree of success from their professional services.

10.02 Statements by Others

(a) Sociologists who engage or employ others to create or place public statements that promote the sociologist's 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 the sociologist's professional research, teaching, or practice activities.

(c) If sociologists learn of deceptive statements made about their work by others, they take reasonable steps to correct such statements.

(d) 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).

10.03 Media Presentations

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 sociological literature and practice and (2) the statements are otherwise consistent with this Code of Ethics.

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 participants and to protect sensitive information obtained in research, teaching, practice, and service. Sociologists inform relevant parties of the confidential nature of information to the extent it is germane to the work being performed. 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. Confidentiality is an overarching principle in the work of sociologists that applies to research, teaching, practice, and service and thus is treated as such in this Code of Ethics.

11.01 Maintaining Confidentiality

(a) Sociologists have an important obligation to take reasonable precautions to respect the confidentiality rights of research participants, students, employees, clients, or others. At the same time, they recognize that confidentiality may be subject to definitions or limitations established in law, institutional rules, or specific professional or scientific relationships.

(b) Confidential information provided by research participants, students, employees, clients, or others is treated as such by sociologists. They 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. Although confidentiality may be subject to limitations, in general sociologists are obliged to respect the confidentiality of information and the sources of that information even if there is no legal protection or privilege to do so.

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

(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 maximize confidentiality.

(g) When using private information about individuals or 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 may be precluded from providing absolute confidentiality because of rules established by statute, government agencies, or institutions. Sociologists carefully review and inform themselves about all laws and rules which may limit the guarantee of confidentiality. They determine their ability to guarantee confidentiality and, as appropriate, inform research participants, students, employees, clients, or others of limitations at the outset.

(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) When legal force is applied to reveal confidential information or sources, sociologists determine how to respond based on balancing the importance of guarantees of confidentiality with other principles in this Code of Ethics and take steps to resolve the conflict in a responsible manner.

(d) 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) Sociologists discuss with persons and organizations with whom they establish a scientific or professional relationship (including, to the extent feasible, minors and their legal representatives) (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 contraindicated, 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) If confidential information concerning research participants, clients, or other recipients of service is to be entered into databases or systems of records available to persons without the prior consent of the relevant parties, then sociologists protect anonymity by avoiding the inclusion of personal identifiers or employing other techniques that mask individual identities.

(b) If a research protocol that is in conformance with ethical guidelines requires the inclusion of personal identifiers (e.g., in the case of panel studies), then sociologists delete such identifiers before the information is made publicly accessible.

(c) If deletion of personal identifiers is not feasible, then 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 Confidentiality and Use of Technology

(a) Sociologists protect the confidentiality of research participants, students, employees, clients, or others when collecting information through electronic technology (e.g., electronic recording, videotaping). Sociologists secure permission for the use of such technologies.

(b) 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 over sensitive material and data when use of technological innovations, such as public computer networks, may open their professional and scientific communication to unauthorized audiences.

11.06 Anonymity of Sources

(a) Sociologists do not disclose in their writings, lectures, or other public media confidential, personally-identifiable information concerning their research participants, students, individual or organizational clients, or other recipients of their service which is obtained during the course of their work, unless consent has been secured or there is other ethical or legal authorization for doing so.

(b) In scientific and professional presentations, sociologists disguise confidential information concerning research participants, students, individual or organizational clients, or other recipients of their service so that they are not individually identifiable.

11.07 Minimizing Intrusions on Privacy

To minimize intrusions on privacy, sociologists include in written and oral reports, consultations, and public communications only information germane to the purpose for which the communication is made. Sociologists discuss confidential information or evaluative data concerning research participants, students, supervisees, employees, and individual or organizational clients only for appropriate scientific or professional purposes and only with persons clearly concerned with such matters.

11.08 Preservation of Confidential Information

(a) Sociologists take reasonable steps to ensure that records and data are preserved in a confidential manner consistent with the requirements of this Code of Ethics, recognizing that ownership of records and data may be governed by law or institutional principles.

(b) Sociologists plan in advance so that confidentiality of records and data is protected in the event of the sociologist's death, incapacity, or withdrawal from the position or practice.

12. Informed Consent

Informed consent is a basic ethical tenet of scientific research on human populations. Sociologists do not involve a human being as a subject in research without the informed consent of the subject or the subject's legally authorized representative, except as otherwise specified in this Code. Sociologists recognize the possibility of undue influence or subtle pressures on subjects that may derive from researchers' expertise or authority, and they take this into account in designing informed consent procedures. Sociologists are familiar with and conform to applicable state and federal regulations and, where applicable, institutional review board requirements for obtaining informed consent for research.

12.01 Scope of Informed Consent

(a) Sociologists conducting research obtain informed consent from human subjects or their legally authorized representatives (1) when data are collected from human subjects through any form of communication, interaction, or intervention; or (2) when behavior of human subjects occurs in a private context where an individual can reasonably expect that no observation or reporting is taking place.

(b) Despite the paramount importance of consent, in instances where consent or contact of any kind would make it impossible to carry out the research, sociologists determine whether such research is ethical based on consultation with institutional review boards or, in the absence of such review processes, with colleagues who have expertise on the ethics of research.

(c) Sociologists may conduct research in public places or use publicly available information about individuals without obtaining consent. Before determining that planned research (e.g., naturalistic observations in public places, analysis of public records, or archival research) does not require informed consent of individuals under study, sociologists consult with institutional review boards or colleagues who have expertise on the ethics of research, if there is any doubt about applicable ethical practices.

12.02 Informed Consent Process

(a) When informed consent is required, sociologists enter into an agreement with research participants that clarifies the nature of the research and the responsibilities of the investigator prior to conducting the research.

(b) When informed consent is required, sociologists use language that is understandable to and respectful of research participants or their legal representatives.

(c) In all research situations, sociologists provide research participants or their legal representatives with the opportunity to ask questions about any aspect of the research, at any time during or after their participation in the research.

(d) In providing information and obtaining informed consent, sociologists inform research participants or their legal representatives of the nature of the research; they indicate to participants that their participation or continued participation is voluntary and, if relevant, that refusal to participate or discontinuation involves no penalty; they explain the foreseeable consequences of declining or withdrawing; they inform participants of significant factors that may be expected to influence their willingness to participate (e.g., possible risks and benefits of their participation); and they explain other aspects of the research and respond to questions from prospective participants. Sociologists explicitly discuss confidentiality and, if applicable, the extent to which confidentiality of records identifying the prospective participant will be maintained.

(e) Sociologists document informed consent. They recognize that consent is a process that involves oral and/or written consent.

(f) Sociologists honor all commitments they have made to research participants except where unanticipated circumstances demand otherwise, as specified in Section 11.02 (b) of this Code of Ethics.

12.03 Informed Consent of Students and Subordinates

When undertaking research at their own institutions with human subjects who are students or subordinates, sociologists take special care to protect the prospective subjects from adverse consequences of declining or withdrawing from participation.

12.04 Informed Consent of Vulnerable Populations

In undertaking research with persons who are legally incapable of giving informed consent (e.g., the severe mentally ill or children), sociologists obtain permission from a legally authorized person; provide an appropriate explanation, including when possible to the research participant; and obtain the participant's assent.

12.05 Use of Deceptive Techniques in Research

(a) Sociologists do not use deceptive techniques (1) unless they have determined that their use is justified by the study's prospective scientific, educational, or applied value and that equally effective alternative procedures that do not use deception are not feasible, and (2) unless they have consulted with institutional review boards or colleagues who have expertise on the ethics of research.

(b) Sociologists never deceive research participants about significant aspects of the research that would affect their willingness to participate, such as physical risks, discomfort, or unpleasant emotional experiences.

(c) Any deception that is an integral feature of the design and conduct of research must be explained to participants as early as is feasible, preferably at the conclusion of their participation, but no later than at the conclusion of the research.

13. Research

Sociologists have an obligation to ensure that they comply with the ethical tenets of the Code of Ethics in the planning and implementation of research to minimize the possibility that results will be misleading or that the rights of human subjects will be violated.

13.01 Planning and Implementation of Research

(a) Sociologists design, conduct, and report research in accordance with ethical principles of science.

(b) Sociologists plan their research so as to minimize the possibility that results will be misleading.

(c) Sociologists take steps to implement protections for the rights and welfare of research participants and other persons affected by the research.

(d) As part of the process of planning, developing, and implementing research, sociologists consult those with expertise concerning any special population under investigation or likely to be affected.

(e) In planning and implementing research, sociologists consider its ethical acceptability as set forth in the Code of Ethics. If the best ethical practice is unclear, sociologists consult with institutional review boards or colleagues who have expertise on the ethics of research.

(f) Sociologists conduct research competently and with due concern for the dignity and welfare of the participants.

(g) Sociologists are responsible for the ethical conduct of research conducted by them or by others under their supervision or authority.

13.02 Compliance with Laws and Professional Standards

Sociologists plan and conduct research in a manner consistent with applicable federal and state laws and regulations as well as professional standards governing the conduct of research--particularly those governing research with human subjects in this Code of Ethics. If ethical responsibilities for the conduct of research conflict with law, sociologists take steps to resolve this conflict as specified in Section 2 of this Code.

13.03 Data Sharing

(a) Sociologists share data as a regular practice. Sociologists make their data available by the time of publication of initial major analyses of those data, except where proprietary agreements with employers, contractors, or clients preclude such accessibility or when it is impossible to share data and protect the confidentiality of the data and the anonymity of human subjects.

(b) Sociologists anticipate data sharing as an integral part of a research plan whenever data sharing is feasible.

(c) Sociologists share data in a form that is consonant with human subjects' interests and protect the confidentiality of the information they have been given. They maintain the confidentiality of data, whether legally required or not; remove identifiable information before data are shared; and if necessary use other disclosure avoidance techniques.

(d) Sociologists who do not otherwise place data in public archives keep data available and retain documentation relating to the research for a reasonable period of time after publication or dissemination of results.

(e) Sociologists may ask persons who request their data for further analysis to bear the associated incremental costs.

(f) Sociologists who use data from others for further analyses explicitly acknowledge the contribution of the initial researchers.

13.04 Collaboration with Colleagues

When sociologists are involved in a joint project with other researchers, including students, they establish mutually acceptable, explicit agreements at the outset with respect to division of work, compensation, access to data, rights of authorship, and other rights and responsibilities. Sociologists recognize that there may be a need to modify such agreements as the research evolves and that such modifications must be agreed upon jointly.

13.05 Offering Inducements for Research Participants

Sociologists do not offer excessive or inappropriate financial or other inducements to obtain the participation of human subjects, particularly when it might coerce participation. Sociologists may provide incentives to the extent that resources are available and appropriate.

14. Responsibilities to Report Research

(a) Sociologists have the obligation to report their research findings except where proprietary agreements with employers, contractors, or clients preclude such dissemination.

(b) Sociologists do not fabricate data or falsify results in their publications or presentations.

(c) In presenting their work, sociologists report their findings fully and do not omit relevant data. They report results whether they support or contradict the expected outcomes.

(d) Sociologists take particular care to state all relevant qualifications on the findings and interpretation of their research. Sociologists also disclose underlying assumptions, theories, methods, measures, and research designs that might bear upon interpretations of their work.

(e) If sociologists discover significant errors in their publication or presentation of data, they take reasonable steps to correct such errors in a correction, a retraction, published errata, or other public fora as appropriate.

(f) Sociologists report sources of financial support in their written papers and note any special relations to any sponsor. In special circumstances, sociologists may withhold the names of specific sponsors if they provide an adequate and full description of the nature and interest of the sponsor.

(g) Sociologists take special care to report accurately the results of others' scholarship by using correct information and source citations when presenting the work of others in publications, teaching, practice, and service settings.

15. Plagiarism

(a) In publications, presentations, teaching, practice, and service, sociologists explicitly identify, credit, and reference the author when they take data or material verbatim from another person's published or unpublished written work.

(b) In their publications, presentations, teaching, practice, and service, sociologists provide acknowledgment of and reference to the use of others' work, even if the work is not quoted verbatim or paraphrased, and they do not present others' work as their own.

16. Authorship Credit

(a) Sociologists take responsibility and credit, including authorship credit, only for work they have actually performed or to which they have contributed. When a sociologist contributes to a publication based on a student's dissertation or thesis, the student is listed as principal author.

(b) Sociologists ensure that principal authorship and other publication credits are based on the relative scientific or professional contributions of the individuals involved, regardless of their relative status. In claiming or determining the ordering of authorship, sociologists seek to accurately reflect the contributions of main participants in the research and writing process.

17. Publication and Review Process

Sociologists adhere to the highest ethical standards when participating in publication and review processes.

17.01 Submission of Manuscripts for Publication

(a) In cases of multiple authorship, sociologists confer with all other authors prior to submitting work for publication and establish mutually acceptable agreements regarding submission.

(b) In submitting a manuscript to a professional journal, sociologists grant that journal first claim to publication except where journal policies explicitly allow multiple submissions. Sociologists do not submit a manuscript to a second journal until after an official decision has been received from the first journal. Sociologists submitting a manuscript for journal publication can withdraw a manuscript from consideration up until an official acceptance.

17.02 Duplicate Publication of Data

When publishing data or findings that have been previously published elsewhere, sociologists accompany these publications by proper acknowledgment.

17.03 Responsibilities of Editors

(a) When serving as journal editors, sociologists continually review the fair application of standards without personal or ideological malice. As editors, sociologists are cognizant of any potential conflicts of interest, as set forth in Section 9.04 of the Code of Ethics.

(b) When serving as journal editors, sociologists respect the confidentiality of the process and the proprietary rights of authors in the submitted manuscripts. As editors, sociologists ensure the confidential nature of the review process and supervise editorial office staff, including students, in accordance with practices that maintain confidentiality.

(c) When serving as journal editors, sociologists are bound to publish all manuscripts accepted for publication by the journal.

(d) When serving as journal editors, sociologists ensure the anonymity of reviewers unless they otherwise receive permission from reviewers to reveal their identity. Editors ensure that their staffs conform to this practice.

17.04 Responsibilities of Reviewers

(a) In reviewing material submitted for publication, grant support, or other evaluation purposes, sociologists respect the confidentiality of the process and the proprietary rights in such information of those who submitted it.

(b) Sociologists decline requests for reviews of the work of others where conflicts of interest are involved as set forth in Section 9.04 of this Code of Ethics.

(c) If asked to review a manuscript, book, or proposal they have previously reviewed, sociologists make it known to the person making the request (e.g., editor, program officer) unless it is clear that they are being asked to provide a reappraisal.

18. Education, Teaching, and Training

As teachers, supervisors, and trainers, sociologists follow the highest ethical standards in order to ensure the quality of sociological education and the integrity of the teacher-student relationship.

18.01 Administration of Education Programs

(a) Sociologists who are responsible for education and training programs seek to ensure that the programs are competently designed, provide the proper experiences, and meet other goals for which claims are made by the program.

(b) Sociologists responsible for education and training programs seek to ensure that there is an accurate description of the program content, training goals and objectives, and requirements that must be met for satisfactory completion of the program.

(c) Sociologists responsible for education and training programs take steps to ensure that graduate assistants have the substantive knowledge required to teach courses and the teaching skills needed to facilitate student learning.

18.02 Teaching and Training

(a) Sociologists conscientiously perform their teaching responsibilities. They have appropriate skills and knowledge or are receiving appropriate training.

(b) Sociologists provide accurate information at the outset about their courses, particularly regarding the subject matter to be covered, bases for evaluation, and the nature of course experiences.

(c) Sociologists make decisions concerning textbooks, course content, course requirements, and grading solely on the basis of educational criteria without regard for financial or other incentives.

(d) Sociologists provide proper training and supervision to their teaching assistants and other teaching trainees and take reasonable steps to see that such persons perform these teaching responsibilities responsibly, competently, and ethically.

(e) Sociologists do not permit personal animosities or intellectual differences with colleagues to foreclose students' or supervisees' access to these colleagues or to interfere with student or supervisee learning, academic progress, or professional development.

19. Contractual and Consulting Services

Sociologists subscribe to the ethical standards described in the Code of Ethics in providing contractual or consulting services.

(a) Sociologists undertake grants, contracts, or consultation only when they are knowledgeable of the methods and techniques they plan to use.

(b) In undertaking grants, contracts, or consultation, sociologists base the results of their professional work on appropriate information and techniques.

(c) In undertaking grants, contracts, or consultation, sociologists use language that is understandable to the funder or to an individual or organizational client.

(d) When financial support for a project has been accepted under a grant, contract, or consultation, sociologists make reasonable efforts to complete the proposed work on schedule.

(e) In undertaking grants, contracts, or consultation, sociologists accurately document and appropriately retain their professional and scientific work.

(f) In establishing a contractual arrangement for research, consultation, or other services, sociologists clarify, to the extent feasible at the outset, the nature of the relationship with the individual, organizational, or institutional client. This clarification includes, as appropriate, the nature of the services to be performed, the probable uses of the services provided, possibilities for the sociologist's future use of the work for scholarly or publication purposes, the timetable for delivery of those services, and compensation and billing arrangements.

20. Resolving Ethical Issues

Sociologists have an obligation to confront, address, and attempt to resolve ethical issues according to the Ethical Standards in this Code of Ethics.

20.01 Familiarity with Ethics Code

Sociologists have an obligation to be familiar with this Code of Ethics, other applicable ethics codes, and their application to sociologists' work. Lack of awareness or misunderstanding of an ethical standard is not, in itself, a defense to a charge of unethical conduct.

20.02 Confronting Ethical Issues

When a sociologist is uncertain whether a particular situation or course of action would violate this Code of Ethics, the sociologist ordinarily consults with other sociologists knowledgeable about ethical issues, with ASA's Committee on Professional Ethics, or with other organizational entities such as institutional review boards in order to choose a proper response.

20.03 Fair Treatment of Parties in Ethical Disputes

(a) Sociologists do not participate in denying a person academic admittance; fair evaluation; or advancement, employment, tenure, or promotion based on his or her having made an ethical complaint.

(b) Sociologists do not participate in denying a person academic admittance or advancement, employment, tenure, or promotion based on his or her having been the subject of an ethical complaint. This does not preclude taking action based upon the outcome of an ethical complaint.

20.04 Addressing Ethical Violations of Others

When sociologists have substantial reason to believe that there may have been an ethical violation by another sociologist, they attempt to resolve the issue by bringing it to the attention of that individual if an informal resolution appears appropriate or possible, or they seek advice about whether or how to proceed based on this belief, assuming that such activity does not violate any confidentiality rights. Such action might include referral to ASA's Committee on Professional Ethics.

20.05 Cooperating with Ethics Committees

Sociologists cooperate in ethics investigations, proceedings, and resulting requirements of the American Sociological Association. In doing so, they make reasonable efforts to resolve any issues of confidentiality. Failure to cooperate is itself an ethics violation.

20.06 Improper Complaints

Sociologists do not file or encourage the filing of ethics complaints that are frivolous and are intended to harm the alleged violator rather than to protect the integrity of the discipline and the public.

NOTE: This revised edition of the ASA Code of Ethics builds upon the 1989 edition of the Code and the 1992 version of the American Psychological Association's Ethical Principles of Psychologists and Code of Conduct.