American
Sociological
Association
Code of Ethics
and
Policies and Procedures
of the
ASA Committee on
Professional Ethics
Copyright @ 1999 by the American Sociological Association
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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
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
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.
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 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.
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.
(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), 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 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.
(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.
(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 over sensitive
material and data when use of technological innovations, such as public computer
networks, may open their professional and scientific communication to
unauthorized persons.
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 from individuals or their legal representatives has been
obtained.
(b) When confidential information is used in scientific and professional
presentations, sociologists disguise the identity of research participants,
students, individual or organizational clients, or other recipients of their
service.
11.07 Minimizing Intrusions on Privacy
(a) 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.
(b) 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, data, or
information are preserved in a confidential manner consistent with the
requirements of this Code of Ethics, recognizing that ownership of records,
data, or information may also be governed by law or institutional principles.
(b) Sociologists plan so that confidentiality of records, data, or information is
protected in the event of the sociologist’s death, incapacity, or withdrawal
from the position or practice.
(c) When sociologists transfer confidential records, data, or information to other
persons or organizations, they obtain assurances that the recipients of the
records, data, or information will employ measures to protect confidentiality
at least equal to those originally pledged.
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.
12.01 Scope of Informed Consent
(a) Sociologists conducting research obtain consent from research participants or
their legally authorized representatives (1) when data are collected from
research participants through any form of communication, interaction, or
intervention; or (2) when behavior of research participants 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, sociologists may seek waivers
of this standard when (1) the research involves no more than minimal risk for
research participants, and (2) the research could not practicably be carried out
were informed consent to be required. Sociologists recognize that waivers of
consent require approval from institutional review boards or, in the absence of
such boards, from another authoritative body with expertise on the ethics of
research. Under such circumstances, the confidentiality of any personally
identifiable information must be maintained unless otherwise set forth in
11.02(b).
(c) Sociologists may conduct research in public places or use publicly-available
information about individuals (e.g., naturalistic observations in public places,
analysis of public records, or archival research) without obtaining consent. If,
under such circumstances, sociologists have any doubt whatsoever about the
need for informed consent, they consult with institutional review boards or, in
the absence of such boards, with another authoritative body with expertise on
the ethics of research before proceeding with such research.
(d) In undertaking research with vulnerable populations (e.g., youth, recent
immigrant populations, the mentally ill), sociologists take special care to ensure
that the voluntary nature of the research is understood and that consent is not
coerced. In all other respects, sociologists adhere to the principles set forth in
12.01(a)-(c).
(e) 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.
12.02 Informed Consent Process
(a) When informed consent is required, sociologists enter into an agreement
with research participants or their legal representatives 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) When informed consent is required, 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) When informed consent is required, 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; 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. Also, if
relevant, sociologists explain that refusal to participate or withdrawal from
participation in the research involves no penalty, and they explain any
foreseeable consequences of declining or withdrawing. Sociologists
explicitly discuss confidentiality and, if applicable, the extent to which
confidentiality may be limited as set forth in 11.02(b).
(e) When informed consent is required, sociologists keep records regarding said
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
as part of the informed consent process except where unanticipated
circumstances demand otherwise as set forth in 11.02(b).
12.03 Informed Consent of Students and Subordinates
When undertaking research at their own institutions or organizations with
research participants 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 with Children
(a) In undertaking research with children, sociologists obtain the consent of
children to participate, to the extent that they are capable of providing such
consent, except under circumstances where consent may not be required as set
forth in 12.01(b).
(b) In undertaking research with children, sociologists obtain the consent of a
parent or a legally authorized guardian. Sociologists may seek waivers of
parental or guardian consent when (1) the research involves no more than
minimal risk for the research participants, and (2) the research could not
practicably be carried out were consent to be required, or (3) the consent of
a parent or guardian is not a reasonable requirement to protect the child
(e.g., neglected or abused children).
(c) Sociologists recognize that waivers of consent from a child and a parent or
guardian require approval from institutional review boards or, in the absence
of such boards, from another authoritative body with expertise on the ethics
of research. Under such circumstances, the confidentiality of any personally
identifiable information must be maintained unless otherwise set forth in
11.02(b).
12.05 Use of Deception in Research
(a) Sociologists do not use deceptive techniques (1) unless they have determined
that their use will not be harmful to research participants; 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 obtained the approval of institutional review boards or, in
the absence of such boards, with another authoritative body with 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) When deception is an integral feature of the design and conduct of
research, sociologists attempt to correct any misconception that research
participants may have no later than at the conclusion of the research.
(d) On rare occasions, sociologists may need to conceal their identities in order to
undertake research that could not practicably be carried out were they to be
known as researchers. Under such circumstances, sociologists undertake the
research if it involves no more than minimal risk for the research participants
and if they have obtained approval to proceed in this manner from an
institutional review board or, in the absence of such boards, from another
authoritative body with expertise on the ethics of research. Under such
circumstances, confidentiality must be maintained unless otherwise set forth
in 11.02(b).
12.06 Use of Recording Technology
Sociologists obtain informed consent from research participants, students,
employees, clients, or others prior to videotaping, filming, or recording them in any
form, unless these activities involve simply naturalistic observations in public
places and it is not anticipated that the recording will be used in a manner that
could cause personal identification or harm.
13. Research Planning, Implementation, and Dissemination
Sociologists have an obligation to promote the integrity of research and to ensure
that they comply with the ethical tenets of science in the planning, implementation,
and dissemination of research. They do so in order to advance knowledge, to
minimize the possibility that results will be misleading, and to protect the rights of
research participants.
13.01 Planning and Implementation
(a) In planning and implementing research, sociologists minimize the
possibility that results will be misleading.
(b) Sociologists take steps to implement protections for the rights and welfare
of research participants and other persons affected by the research.
(c) In their research, sociologists do not encourage activities or themselves
behave in ways that are health- or life-threatening to research participants or
others.
(d) In planning 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, in the absence
of such review processes, with another authoritative body with expertise on
the ethics of research.
(f) Sociologists are responsible for the ethical conduct of research conducted by
them or by others under their supervision or authority.
13.02 Unanticipated Research Opportunities
If during the course of teaching, practice, service, or non-professional activities,
sociologists determine that they wish to undertake research that was not previously
anticipated, they make known their intentions and take steps to ensure that the
research can be undertaken consonant with ethical principles, especially those relating
to confidentiality and informed consent. Under such circumstances, sociologists seek
the approval of institutional review boards or, in the absence of such review
processes, another authoritative body with expertise on the ethics of research.
13.03 Offering Inducements for Research Participants
Sociologists do not offer excessive or inappropriate financial or other inducements
to obtain the participation of research participants, particularly when it might coerce
participation. Sociologists may provide incentives to the extent that resources are
available and appropriate.
13.04 Reporting on Research
(a) Sociologists disseminate their research findings except where unanticipated
circumstances (e.g., the health of the researcher) or 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 findings and interpretations of their work.
(e) Consistent with the spirit of full disclosure of methods and analyses, once
findings are publicly disseminated, sociologists permit their open assessment
and verification by other responsible researchers with appropriate safeguards,
where applicable, to protect the anonymity of research participants.
(f) 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.
(g) 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.
(h) Sociologists take special care to report accurately the results of others’
scholarship by using correct information and citations when presenting the
work of others in publications, teaching, practice, and service settings.
13.05 Data Sharing
(a) Sociologists share data and pertinent documentation as a regular practice.
Sociologists make their data available after completion of the project or its
major publications, 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 or the anonymity of
research participants (e.g., raw field notes or detailed information from
ethnographic interviews).
(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 research participants’
interests and protect the confidentiality of the information they have been
given. They maintain the confidentiality of data, whether legally required or
not; remove personal identifiers 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, if necessary.
(f) Sociologists who use data from others for further analyses explicitly
acknowledge the contribution of the initial researchers.
14. 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 written work, whether it is published,
unpublished, or electronically available.
(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 whether it is published, unpublished, or
electronically available.
15. Authorship Credit
(a) Sociologists take responsibility and credit, including authorship credit, only
for work they have actually performed or to which they have contributed.
(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 status. In claiming or determining
the ordering of authorship, sociologists seek to reflect accurately the
contributions of main participants in the research and writing process.
(c) A student is usually listed as principal author on any multiple-authored
publication that substantially derives from the student’s dissertation or thesis.
16. Publication Process
Sociologists adhere to the highest ethical standards when participating in
publication and review processes when they are authors or editors.
16.01 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, book series, or edited
book, sociologists grant that publication first claim to publication except
where explicit policies allow multiple submissions. Sociologists do not
submit a manuscript to a second publication until after an official decision
has been received from the first publication or until the manuscript is
withdrawn. Sociologists submitting a manuscript for publication in a
journal, book series, or edited book can withdraw a manuscript from
consideration up until an official acceptance is made.
(c) Sociologists may submit a book manuscript to multiple publishers.
However, once sociologists have signed a contract, they cannot withdraw a
manuscript from publication unless there is reasonable cause to do so.
16.02 Duplicate Publication of Data
When sociologists publish data or findings that they have previously published
elsewhere, they accompany these publications by proper acknowledgment.
16.03 Responsibilities of Editors
(a) When serving as editors of journals or book series, sociologists are fair in
the application of standards and operate without personal or ideological
favoritism or malice. As editors, sociologists are cognizant of any potential
conflicts of interest.
(b) When serving as editors of journals or book series, 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 editors of journals or book series, sociologists are bound to
publish all manuscripts accepted for publication unless major errors or ethical
violations are discovered after acceptance (e.g., plagiarism or scientific
misconduct).
(d) When serving as editors of journals or book series, sociologists ensure the
anonymity of reviewers unless they otherwise receive permission from
reviewers to reveal their identity. Editors ensure that their staff conform to this
practice.
(e) When serving as journal editors, sociologists ensure the anonymity of authors
unless and until a manuscript is accepted for publication or unless the
established practices of the journal are known to be otherwise.
(f) When serving as journal editors, sociologists take steps to provide for the
timely review of all manuscripts and respond promptly to inquiries about the
status of the review.
17. 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 disclose conflicts of interest or decline requests for reviews of the
work of others where conflicts of interest are involved.
(c) Sociologists decline requests for reviews of the work of others when they
believe that the review process may be biased or when they have questions
about the integrity of the process.
(d) 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 all 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 and temporary instructors have the substantive
knowledge required to teach courses and the teaching skills needed to
facilitate student learning.
(d) Sociologists responsible for education and training programs have an
obligation to ensure that ethics are taught to their graduate students as part of
their professional preparation.
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 ensure
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
(a) Sociologists undertake grants, contracts, or consultation only when they are
knowledgeable about the substance, methods, and techniques they plan to
use or have a plan for incorporating appropriate expertise.
(b) In undertaking grants, contracts, or consultation, sociologists base the
results of their professional work on appropriate information and
techniques.
(c) 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.
(d) In undertaking grants, contracts, or consultation, sociologists accurately
document and appropriately retain their professional and scientific work.
(e) 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. Adherence to the Code of Ethics
Sociologists have an obligation to confront, address, and attempt to resolve
ethical issues according to this Code of Ethics.
20.01 Familiarity with the Code of Ethics
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
(a) When sociologists are uncertain whether a particular situation or course of
action would violate the Code of Ethics, they consult with other sociologists
knowledgeable about ethical issues, with the ASA’s Committee on
Professional Ethics, or with other organizational entities such as institutional
review boards.
(b) When sociologists take actions or are confronted with choices where there is a
conflict between ethical standards enunciated in the Code of Ethics and laws
or legal requirements, they 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 ASA’s Committee on
Professional Ethics.
20.03 Fair Treatment of Parties in Ethical Disputes
(a) Sociologists do not discriminate against a person on the basis of his or her
having made an ethical complaint.
(b) Sociologists do not discriminate against a person 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 Reporting 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 the 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 may be
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 American Sociological Association’s Code of
Ethics builds on the 1989 edition of the Code and the 1992 version of the
American Psychological Association’s Ethical Principles of Psychologists and Code
of Conduct.
Policies and Procedures
Committee on Professional Ethics
American Sociological Association
(Approved by the ASA Membership in June 1997)
INTRODUCTION
PART I. RESPONSIBILITIES AND AUTHORITY OF COPE
1. Responsibilities
2. Authority of COPE
3. Responsibilities of the Executive Office
PART II. OPERATING RULES OF COPE
1. Membership
2. Officers
3. Meetings
4. Quorum and Voting
5. Voting by Mail
6. Conflicts of Interest
PART III. ENFORCEMENT OF THE CODE OF ETHICS
1. Jurisdiction
2. Filing of Complaint
3. Preliminary Screening of Complaint
4. Notice of Complaint and Informal Resolution
5. Response to Complaint
6. Initial Determination of the Chair
7. Investigation and Recommendation
8. Determination of Violation
9. Sanctions
10. Notice of Determination
11. Appeal of Termination
12. Confidentiality
INTRODUCTION
These Policies and Procedures describe the responsibilities of the Committee
on Professional Ethics (COPE) of the American Sociological Association (ASA),
the general operating rules of COPE, and the policies and procedures related to
the submission and resolution of complaints of violations of the ASA Code of
Ethics.
PART I. RESPONSIBILITIES AND AUTHORITY OF COPE
1. Responsibilities
COPE has been established by the Council of the ASA in order to promote
ethical conduct by sociologists at the highest professional level through
development and sponsorship of educational activities for ASA members and
other sociologists, investigation of complaints concerning the ethical conduct of
members of the ASA, and imposition of sanctions when a violation of the Code
has occurred.
2. Authority of COPE
COPE is authorized to:
(a) Publicize the Code of Ethics to the members of the ASA and other interested
persons.
(b) Educate the members of the ASA and other interested persons concerning
the ethical obligations of sociologists under the Code of Ethics through
articles, seminars, lectures, casebooks, or other materials.
(c) Recommend to the ASA Council changes in the Code of Ethics and these
Policies and Procedures.
(d) Provide to individual members of the ASA on an informal and confidential
basis advice regarding their ethical obligations under the Code of Ethics.
(e) Seek to resolve allegations of unethical conduct of members of the ASA
informally through mediation or other means.
(f) Investigate allegations of unethical conduct of members of the ASA,
determine violations of the Code of Ethics, and, where appropriate, impose
sanctions.
(g) Adopt such rules and procedures governing the conduct of all matters
within its jurisdiction as are consistent with the Constitution and By-Laws
of the Association, the Code of Ethics, and these Policies and Procedures.
3. Responsibilities of the Executive Office
(a) Works with COPE in the administration of 2(a)-(g).
(b) Reports to COPE on an annual basis the number and types of complaints
received, the number recommended for informal resolution, and any other
pertinent information regarding the involvement of the Executive Office in
ethics inquiries.
PART II. OPERATING RULES OF COPE
1. Membership
The members of COPE shall be appointed in accordance with the By-Laws of
the Association. After the end of his/her term of office, a member of COPE may
continue to participate in the investigation of a matter to which he/she was
previously assigned, and such member may participate in reaching the findings and
recommendation of the Investigation Panel with respect to that matter.
2. Officers
The Chair and Co-Chair of COPE shall be appointed at the Council meeting
held during the Annual Meeting of the Association and shall serve a term of one
(1) year beginning on January 1 of the next calendar year. Prior to the Annual
Meeting, COPE shall deliver to the Council its recommendations for the Chair and
Co-Chair for the succeeding year. The Chair shall have primary responsibility for
carrying out the mandate of COPE. The Co-Chair shall have the authority to
perform all of the duties of the Chair when the latter is unavailable or unable to
perform them and shall perform other tasks as delegated by the Chair.
3. Meetings
A regular meeting of COPE shall be held annually in connection with the
Annual Meeting of the Association. Additional meetings may be held, upon the call
of the Chair, from time to time in person or by telephone conference call.
4. Quorum and Voting
A quorum for the transaction of business at any meeting of COPE shall consist
of a majority of the members then in office. All decisions shall be by majority vote
of the members present at a meeting.
5. Voting by Mail
Any action of COPE which could be taken at a meeting may be taken upon the
affirmative vote, in writing or by electronic communication, of a majority of
members then in office.
6. Conflicts of Interest
No member of COPE shall participate in the deliberations or decision of any
matter with respect to which the member has a conflict of interest as outlined in
the Code of Ethics.
PART III. ENFORCEMENT OF THE CODE OF ETHICS
1. Jurisdiction
(a) COPE shall have jurisdiction to receive and determine any timely complaint
of the violation of the ASA Code of Ethics by a current member of the
ASA in any category of membership whatsoever. In the event that a
complainee resigns from the ASA subsequent to the filing of a complaint
against him or her, COPE shall have discretion to resolve the complaint as
if the complainee were still a member.
(b) In the event that a complaint alleges conduct which is, or may be, the
subject of other legal or institutional proceedings, COPE may, in its
discretion, defer further proceedings with respect to the complaint until the
conclusion of the other legal or institutional proceedings.
2. Filing of Complaint
(a) Any member or non-member of the ASA who perceives that an ASA
member has violated an ethical standard may file a complaint with COPE.
(b) A complaint may be initiated by COPE on its own behalf.
(c) Initial telephone contact with the Executive Officer or his/her designee is
encouraged to clarify whether concerns about a possible ethical violation
are covered by the Code. If it appears that a potential complaint may be
covered by the Code, a copy of the Code and a complaint form shall be
sent to the potential complainant. Informal dispute resolution and use of
other venues of investigation will be encouraged.
(d) A complaint may not be accepted or initiated if it is received more than 18
months after the alleged conduct either occurred or was discovered. A
complaint received after the 18-month time limit set forth in this paragraph
shall not be accepted unless the Chair of COPE determines that there is
good cause for the complaint not to have been filed within the 18-month
time limit. No complaint will be considered if it is received more than five
years after the alleged conduct occurred or was discovered.
(e) A complaint shall include the name and address of the complainant; the
name and address of the complainee; the provisions of the Code of Ethics
alleged to have been violated; a statement that other legal or institutional
proceedings involving the alleged conduct have not been initiated or, if
initiated, the status of such proceedings; a full statement of conduct alleged
to have violated the Code of Ethics, including the sources of all
information on which the allegations are based; copies of any documents
supporting the allegations; and, if necessary, a request that the 18-month
time limit be waived. Anonymous complaints shall not be accepted. If
material in the public domain is provided anonymously, COPE may choose
to use such material in support of its own complaint.
3. Preliminary Screening of Complaint
(a) The Executive Officer or his/her designee shall screen each complaint to
determine whether the complainee is a member of the ASA and whether
the alleged conduct is covered by the Code. If the complaint does not
include the information required by 2(e), the Executive Officer or his/her
designee shall so inform the complainant, who will be given the opportunity
to provide additional information. If no response is received from the
complainant within thirty (30) days, the matter will be closed and the
complainant so notified.
(b) If the complaint is complete as set forth in 2(e), the Executive Officer or
his/her designee shall notify the Chair of COPE and provide relevant
materials regarding the complaint. The Chair of COPE and the Executive
Officer or his/her designee shall evaluate whether there is cause for action
by COPE. Cause for action shall exist when the complainee’s alleged
actions and/or omissions, if proved, would in the judgment of the Chair of
COPE and the Executive Officer or his/her designee constitute a breach of
ethics. For purposes of determining whether cause for action exists,
incredible, speculative, and/or internally inconsistent allegations may be
disregarded. If cause for action exists, a formal case is initiated, as set forth
in 4(a). If cause for action does not exist, the complaint will be dismissed at
this stage and the complainant so notified.
4. Notice of Complaint and Informal Resolution
(a) If cause for action is found, the Executive Officer or his/her designee shall
provide a copy of the complaint and all supporting materials, and a copy of
the Code of Ethics and these Policies and Procedures, to the complainee
and encourage a settlement through informal means. If a method of
informal dispute settlement is not otherwise available to the complainant
and complainee, a mediator who is not a member of COPE may be
recommended by the Executive Officer or his/her designee. Mediation
services will in most cases be by written correspondence or telephone. If
informal dispute resolution is declined, the members of COPE shall not be
informed which party declined.
(b) Any person appointed to serve as a mediator shall agree to maintain the
confidentiality of the proceedings as set forth in the Code of Ethics and
these Policies and Procedures. The mediator shall report to the Executive
Officer or his/her designee only whether or not a matter has been resolved
to the satisfaction of the parties.
5. Response to Complaint
If either or both the complainant and complainee decline informal dispute
settlement or if informal dispute settlement fails to resolve the complaint, the
Executive Officer or his/her designee shall notify the complainee that the case will
go forward in accordance with these Policies and Procedures. Complainee shall
have thirty (30) days after receipt of this notice to respond in writing to the
complaint. An extension may be granted by the Executive Officer if good cause is
shown, but the extension shall not exceed ninety (90) days.
6. Initial Determination of the Chair
The complaint and response shall be submitted to the Chair of COPE for an
initial determination whether there is sufficient evidence to proceed with the case.
The Chair may, in his/her discretion, request additional information from the
complainant and/or any other appropriate source before making the initial
determination, provided, however, that the Chair shall not rely on such additional
information unless it has been shared with the complainee and the complainee has
been afforded an opportunity to respond. If the Chair shall decide that there is
insufficient evidence to proceed, the matter shall be closed and the complainant
and complainee notified in writing.
7. Investigation and Recommendation
If the Chair determines that there is sufficient evidence to proceed with the
complaint, he/she shall appoint an Investigation Panel composed of the Chair or
Co-Chair and two members of COPE to investigate the complaint. The Panel may
communicate with the complainant, complainee, witnesses, or other sources of
information necessary to carry out its functions. The Panel shall conduct as much
of its business as is practical through written correspondence or verbal
communication. Although complainants and complainees have the right to consult
with attorneys concerning all phases of the ethics process, the complainant must
file and the complainee must respond to charges of unethical conduct personally
and not through legal counsel or another third party, unless the complainant or
complainee provides good cause as to why he or she cannot respond personally.
The Panel shall submit a written report of its findings and any recommendation for
sanction to the full Committee within ninety (90) days, unless a longer period is
necessary in the opinion of the Chair or Co-Chair. A copy of the Panel's findings
and recommendation shall be provided to the complainant and complainee, who
may submit a response in writing within a time frame of not more than thirty (30)
days.
8. Determination of Violation
COPE shall determine whether a violation of the Code of Ethics has occurred on
the basis of the complaint, the response, any other information provided to the
Investigation Panel, the recommendation and findings of the Panel, and the responses
of the parties thereto, provided, however, that COPE may hear the testimony of
witnesses where in its view it is essential to the fairness of the proceeding. COPE may
return any matter to the Investigation Panel for further investigation. Upon
completion of its review, COPE shall issue a determination of whether one or more
violations of the Code of Ethics have occurred, including a summary of the factual
basis for this determination, and of the appropriate sanction.
9. Sanctions
In any case in which it has determined that a violation of the Code of Ethics
has occurred, COPE may impose no sanction or one or more of the following, as
appropriate:
(a)
Private Reprimand.
In cases where there has been an ethics violation but
the violation did not cause serious personal and/or professional harm, an
educative letter concerning the violation, including any stipulated
conditions of redress, may be sent to the complainee. Failure to comply
with stipulated conditions of redress in a reprimand may result in the
imposition of a more severe sanction.
(b)
Public Reprimand.
Where COPE determines that the seriousness of the
violation warrants more than a private reprimand, it may direct that a copy
of the letter of reprimand be made public in an appropriate manner.
(c)
Denial of Privileges.
In appropriate cases, COPE may determine that a
complainee shall be denied one or more of the privileges of ASA
membership and/or the opportunity to participate in ASA-sponsored
activities including but not limited to appointment to the editorial boards of
any ASA publications, election or appointment to any ASA offices and
committees, receipt of any ASA awards, publishing in or serving as an
editor of one or more ASA-sponsored journals, presenting a paper or
otherwise participating at one or more meetings sponsored by the ASA, or
receiving research or scholarship assistance from any program sponsored
by the ASA.
(d)
Termination of Membership.
In cases where there has been an ethics
violation and the violation caused serious personal and/or professional
harm, the ASA membership of the complainee may be terminated for a
period to be determined by COPE. Eligibility to renew membership at the
expiration of this period may be automatic or may be conditioned on a
future determination by COPE that eligibility is appropriate.
10. Notice of Determination
The Chair of COPE shall notify the complainant and complainee of the
decision of COPE. If a sanction is imposed under 9(c) or 9(d), COPE shall instruct
the Executive Officer to take the appropriate actions called for under COPE's
determination, except that such notice shall be postponed if an appeal is filed as set
forth in paragraph 11.
11. Appeal of Termination
A complainee who is found by COPE to have violated the Code of Ethics and
who receives a sanction under 9(b) through 9(d) may appeal this determination by
filing a Notice of Appeal and Statement of Reasons no later than thirty (30) days after
receipt of the Notice of Determination. If an appeal is filed, the President of the ASA
shall appoint a three-member Appeal Panel of past members of COPE to review all
information considered by COPE and, within ninety (90) days, make a decision to
uphold or reverse the determination. The Appeal Panel may set aside COPE's
determination that a violation has occurred or it may determine that the sanction
imposed by COPE is not appropriate and impose a less severe sanction. The decision
of the Appeal Panel shall constitute the final decision of the ASA with respect to all
matters subject to this paragraph.
12. Confidentiality
(a The filing of a complaint against an ASA member and all proceedings held
under this Part III shall be kept confidential by COPE, the Investigation
Panel, the Appeal Panel, and the President of the ASA prior to a final
determination of the matter, except that information regarding complaints
may be shared with the Executive Officer, any staff designated by the
Executive Officer to assist COPE, and ASA legal counsel. Determinations of
violations of the Code of Ethics by COPE or by an Appeal Panel shall be
kept confidential, except in the case of termination of membership, or unless
disclosure of the determination to the public is imposed as part of another
sanction. The name of each individual whose membership is terminated and a
brief statement of the reason for termination shall be reported annually to the
ASA Council and in the official newsletter of the ASA.
(b) The Committee may disclose such information when compelled by a valid
subpoena or by a final court order.
(c) Notwithstanding the foregoing, COPE may publish reports of its
determinations in order to educate the membership about the requirements
of the Code of Ethics but will not make the identity of the parties public
unless otherwise provided for in Part III, section 12(b).
(d) Initiation of legal action against the ASA or its officers or employees shall
constitute a waiver of confidentiality by the person initiating such action.
(e) Records relating to the investigation of complaints of violations of the
Code, whether or not COPE determined that a violation occurred, shall be
maintained in a secure place indefinitely. These records should always
remain confidential, unless otherwise provided for in 12(b) and 12(d).
Permission to use these materials for research and educational purposes
may be granted by the Executive Officer within the first fifty (50) years of
the closing of the complaint, as long as the materials do not identify the
individuals involved. After fifty (50) years, these materials are available for
research or educational purposes without special approval as long as the
commitment to confidentiality is honored and the materials do not identify
the individuals involved.
Note: These Policies and Procedures replace Section V of the 1989 edition of the
American Sociological Association’s Code of Ethics.
