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 identity 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 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 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 ASA 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.

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