ETHICAL STANDARDS
1. Scientific, Scholarly, and Professional Standards
Education researchers adhere to the highest possible standards that
are reasonable and responsible in their research, teaching, practice,
and service activities. They rely on scientifically, scholarly, and professionally
derived knowledge and act with honesty and integrity.
2. Competence
(a) Education researchers 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) Education researchers 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 **** in these areas.
(c) Education researchers who engage in research, teaching,
practice, or service maintain awareness of current scientific,
scholarly, and professional information in their fields of
activity and undertake continuing efforts to maintain
competence in the skills they use.
3. Use and Misuse of Expertise
(a) In research, teaching, practice, service, or other activities
where education researchers render professional judgments
or present their expertise, they accurately and fairly
represent their areas and degrees of expertise.
(b) Education researchers do not accept grants, contracts,
consultation, or **** assignments from individual or
organizational clients or sponsors that appear likely to
compromise their ability to adhere to the standards in this
Code of Ethics. Education researchers dissociate themselves
from such activities when they discover a violation and are
unable to achieve its correction.
(c) Education researchers’ scientific, scholarly, and professional
judgments and actions may affect the lives of others;
therefore, education researchers 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 education researchers learn of misuse or misrepresentation
of their ****, they take reasonable steps to correct the
misuse or misrepresentation.
4. Fabrication, Falsification, and Plagiarism
Education researchers do not engage in fabrication, falsification,
or plagiarism in proposing, performing, or reviewing research, or
in reporting research results.
(a) Education researchers do not falsify or fabricate data, data
sources, findings, claims, or credentials.
(b) In their publications, presentations, teaching, practice, and
service, education researchers explicitly identify, credit, and
reference the author(s) when they take data or material
verbatim from another person’s ****, whether it is
published, unpublished, or electronically available.
(c) In their publications, presentations, teaching, practice, and
service, education researchers provide acknowledgment of
and reference to the use of others’ ****, even if the **** is
not quoted verbatim or paraphrased, and they do not
present others’ **** as their own whether it is published,
unpublished, or electronically available.
5. Avoiding Harm
Education researchers take reasonable steps to avoid harm to others
in the conduct of their professional ****. When unanticipated
negative consequences occur, education researchers take
immediate steps to minimize harm, including, if necessary, terminating
the ****.
6. Nondiscrimination
Education researchers do not engage in discrimination in their
**** based on race; ethnicity; culture; national origin; gender;
***ual orientation; gender identity; age; religion; language; disability;
health conditions; socioeconomic status; marital, domestic, or
parental status; or any other applicable basis proscribed by law.
7. Nonexploitation
(a) Whether for personal, economic, or professional advantage,
education researchers 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) Education researchers do not directly supervise or exercise
evaluative authority over any person with whom they have
a romantic, ***ual, or familial relationship, including
students, supervisees, employees, or research participants.
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8. Harassment
Education researchers do not engage in harassment of any person,
including students, supervisees, employees, or research participants
based on factors such as race; ethnicity; culture; national
origin; gender; ***ual orientation; gender identity; age; religion;
language; disability; health conditions; socioeconomic status; or
marital, domestic, or parental status. 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, ****place, or educational environment. Harassment
may include unnecessary, exaggerated, or unwarranted attention
or attack, whether verbal or nonverbal. ***ual harassment is ***ual
solicitation, physical advances, or verbal or nonverbal conduct
that is ***ual in nature.
9. Employment Decisions
Education researchers have an obligation to adhere to the highest
ethical standards when seeking employment, when participating
in employment-related decisions, or when planning to resign
from a position.
9.01 Fair Employment Practices
(a) When participating in employment-related decisions, education
researchers make every effort to ensure equal opportunity
and fair treatment to all employees and prospective
employees. They do not discriminate in hiring, promotion,
salary, treatment, or any other conditions of employment
or career development on the basis of race; ethnicity; culture;
national origin; gender; ***ual orientation; gender
identity; age; religion; language; disability; health conditions;
socioeconomic status; marital, domestic, or parental
status; or any other applicable basis proscribed by law.
(b) When participating in employment-related decisions,
education researchers specify the requirements for hiring,
promotion, tenure, and termination and communicate
these requirements thoroughly and as early as possible in
the process to full- and part-time employees and prospective
employees.
(c) When participating in employment-related decisions,
education researchers have the responsibility to inform
themselves of fair employment codes, to communicate this
information to employees, and to help create an atmosphere
upholding fair employment practices for employees.
(d) When participating in employment-related decisions,
education researchers inform employees of any constraints
on research and publication and negotiate clear understandings
about any conditions that may limit research and
scholarly activity.
9.02 Responsibilities of Employees
(a) When seeking employment, education researchers present
their professional qualifications and experiences honestly
and accuately.
(b) When leaving a position, permanently or temporarily,
education researchers provide their employers with
appropriate notice and take reasonable steps to reduce
negative effects of leaving.
10. Conflicts of Interest
Education researchers avoid where possible or otherwise disclose
and manage conflicts of interest and the appearance of conflicts
of interest. Conflicts of interest arise when education researchers’
personal, professional, or financial interests prevent them from
performing their professional **** in an unbiased manner. In
research, teaching, practice, and service, education researchers are
alert to situations that might cause a conflict of interest and take
appropriate action to prevent conflict or otherwise disclose and
manage it.
10.01 Adherence to Professional Standards
Irrespective of their personal or financial interests or those of
their employers or clients, education researchers adhere to scientific,
scholarly, and professional standards in (1) the collection,
analysis, or interpretation of data; (2) the reporting of research;
(3) the teaching, professional presentation, or public dissemination
of education research knowledge; and (4) the identification
or implementation of appropriate contractual, consulting, or service
activities.
10.02 Disclosure
Education researchers 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
****, and to the public in written and verbal reports.
10.03 Avoidance of Personal Gain
(a) Education researchers 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) Education researchers do not seek to gain from confidential
or proprietary information or material in an employment or
client relationship without permission of the employer
or client.
10.04 Decision Making in the ****place
In their ****place, education researchers 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 people with whom education researchers have had strong
conflict or disagreement.
10.05 Decision Making Outside of the ****place
In professional activities outside of their ****place, education
researchers who have biasing affiliations or relationships abstain
from engaging in deliberations and decisions that allocate or
withhold benefits or rewards from individuals or institutions.
These biasing affiliations or relationships are: (1) current or prospective
employment at an organization or institution that could
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be construed as benefiting from the decision; (2) current service
as an officer or board member of an organization or institution
that could be construed as benefiting from the decision; (3) current
or prospective employment at the same organization or institution
where an individual could benefit from the decision;
(4) having a spouse, domestic partner, or known relative who as
an individual could benefit from the decision; or (5) having a
current business or professional partner, research collaborator,
employee, supervisee, or student who as an individual could benefit
from the decision.
11. Public Communications
Education researchers adhere to the highest professional standards
in public communications about their professional services,
credentials, expertise, **** products, or publications, whether
these communications are from themselves or from others on
their behalf.
11.01 Researcher Communications
(a) Education researchers 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) Education researchers 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. Such activities include, but are not limited
to, false or deceptive statements concerning their own
or others’ (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. Education researchers
do not make false or deceptive statements concerning the
scientific or scholarly basis for any professional services they
may provide.
(c) When education researchers provide professional advice,
comment, or testimony to the public, the media,
government, or other institutions, 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 the Code of Ethics.
(d) In ****ing with the press, radio, television, online media
or other communications media or in advertising in the
media, education researchers are cognizant of potential
conflicts of interest or appearances of such conflicts (e.g.,
providing compensation to employees of the media), and
they adhere to the highest standards of professional honesty.
11.02 Statements by Others
(a) Education researchers who engage or employ others to
create or place public statements that promote their ****
products, professional services, or other activities retain
responsibility for such statements.
(b) Education researchers make reasonable efforts to prevent
others whom they do not directly engage or employ (such
as employers, publishers, sponsors, organizational clients,
and members of the media) from making deceptive
statements concerning their professional research, teaching,
or practice activities.
12. Confidentiality
Education researchers 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, education
researchers 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.
12.01 Maintaining Confidentiality
(a) Confidentiality agreements are made known to or
established between education researchers and others at
the outset of a scientific, scholarly, or professional
relationship and are reviewed periodically as conditions
require. See also 12.03(b).
(b) Education researchers take reasonable precautions to
protect the confidentiality of information related to
research participants, students, employees, clients, and
others when confidentiality has been provided or there is a
reasonable expectation of confidentiality.
(c) Confidential information provided by research participants,
students, employees, clients, or others is treated as such by
education researchers even if there is no legal protection or
privilege requiring them to do so. Education researchers
protect confidential information and do not allow
information gained in confidence to be used in ways that
would unfairly compromise research participants, students,
employees, clients, or others.
(d) Information provided under an understanding of
confidentiality is treated as such even after the death of
those providing that information.
(e) Education researchers maintain the integrity of confidential
deliberations, activities, or roles, including, where applicable,
that of professional committees, review panels, or advisory
groups.
(f ) Education researchers 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.
(g) Members of research or training teams and collaborating
organizations with access to confidential information
maintain confidentiality. To ensure that access to
confidential information is restricted, principal
investigators, other researchers, and administrators take
steps necessary to protect confidentiality through
appropriate data protection methods and plans.
(h) When using private information about individuals collected
by other persons, organizations, or institutions, education
researchers protect the confidentiality of individually
identifiable information. Information is private when an
individual can reasonably expect that the information will
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not be made public with personal identifiers (e.g., student,
medical, or employment records).
(i) Education researchers inform themselves fully about and
use methods, procedures, and steps that can enhance
confidentiality protections, including awareness of legal
provisions.
12.02 Limits of Confidentiality
(a) Education researchers inform themselves fully about all
laws, rules, or circumstances that may limit 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 12.02(b).
(b) Education researchers may confront unanticipated
circumstances in which they become aware of information
that is clearly health- or life-threatening to research
participants, students, employees, clients, or others. In
these cases, education researchers 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 from publicly available records.
12.03 Discussing Confidentiality and Its Limits
(a) When education researchers establish a scientific, scholarly,
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 ****.
(b) Unless it is not feasible or is counterproductive, the
discussion of confidentiality occurs both at the outset of the
relationship and thereafter as new circumstances may
warrant.
12.04 Anticipation of Possible Uses of Information
(a) When research requires maintaining personal identifiers in
databases or systems of records, education researchers
remove such identifiers before the information is made
publicly available.
(b) When removal or masking of personal identifiers is not
feasible, education researchers 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. When it is not feasible to obtain consent for
subsequent use, education researchers take steps to ensure
that access to such data occurs only under restricted
conditions where users agree to honor confidentiality
agreements or protections in place.
(c) 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, education
researchers protect the privacy of others by not including
personal identifiers or by employing other techniques that
mask or control disclosure of individual identities.
12.05 Electronic Transmission and Storage of Confidential
Information
Education researchers protect confidential data, information,
or communication in their storage, delivery, or transfer over computer
net****s or other electronic means. Education researchers
are attentive to the problems of maintaining confidentiality and
control over sensitive material and data when use of technology,
such as computer net****s, may open their professional, scientific,
and scholarly communication to unauthorized persons or inadvertent
disclosure.
12.06 Anonymity of Sources
(a) Education researchers do not disclose in their writings,
lectures, websites, 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 ****, unless consent
from individuals or their legally authorized representatives
has been obtained.
(b) When confidential information is used in scientific,
scholarly, and professional presentations, education
researchers disguise the identity of research participants,
students, individual or organizational clients, or other
recipients of their service.
12.07 Minimizing Intrusions on Privacy
(a) To minimize intrusions on privacy, education researchers
include in written and oral reports, consultations, and
public communications only information germane to the
purpose for which the communication is made.
(b) Education researchers discuss confidential information or
evaluative data concerning research participants, students,
supervisees, employees, and individual or organizational
clients only for appropriate scientific, scholarly, or
professional purposes and only with persons authorized to
discuss such matters.
12.08 Preservation of Confidential Information
(a) Education researchers 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) Education researchers plan so that confidentiality of
records, data, or information is protected in the event of
the education researcher’s death, incapacity, or withdrawal
from the position or practice.
(c) When education researchers transfer confidential records,
data, or information to other persons or organizations,
they obtain assurances that the recipients of the records,
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data, or information will employ measures to protect
confidentiality at least equal to those originally pledged.
(d) Education researchers take reasonable steps to ensure that
they protect the identity of research participants in
disseminating their research findings to the extent
provided under assurances of confidentiality.
13. Informed Consent
Informed consent is a basic ethical tenet of scientific research on
human populations. Education researchers do not involve a
human being as a participant in research without the informed
consent of the participant or the participant’s legally authorized
representative, except as otherwise specified in this Code (see,
e.g., 13.01 and ). Education researchers recognize the possibility
of undue influence or subtle pressures on research participants
that may derive from researchers’ expertise or authority,
and they take this into account in designing informed consent
procedures.
13.01 Scope of Informed Consent
(a) Education researchers conducting research obtain and
document written or oral 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. Education
researchers obtain consent in a manner that is understandable
and appropriate to research participants.
(b) Education researchers may seek waivers of consent 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. Education researchers recognize that waivers of
consent require approval from institutional review boards
or, in the absence of such boards, guidance 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 12.02(b).
(c) Education researchers 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,
education researchers 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.,
children, youth, special needs students, recent immigrant
populations), education researchers take special care to
ensure that the voluntary nature of the research is
understood and that consent or assent is not coerced. In
all other respects, education researchers adhere to the
standards set forth in 13.01(a)–(c).
(e) Education researchers are conversant with and conform to
applicable state and federal regulations and, where
applicable, institutional review board requirements for
obtaining informed consent for research.
13.02 Informed Consent Process
(a) When informed consent is required, education researchers
enter into an agreement with research participants or their
legally authorized 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, education researchers
use written or oral language that is understandable to and
respectful of research participants or their legally
authorized representatives.
(c) When informed consent is required, education researchers
provide research participants or their legally authorized
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, education researchers
inform research participants or their legally authorized
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, education researchers
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. Education researchers explicitly discuss
confidentiality and, if applicable, the extent to which
confidentiality may be limited as set forth in 12.02(b).
(e) When informed consent is required, education researchers
keep records regarding said consent. They recognize that
consent is a process that involves oral and/or written
consent.
(f ) Education researchers 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 12.02(b).
13.03 Informed Consent of Students and Subordinates
When undertaking research at their own institutions or organizations
with research participants who are students or subordinates,
education researchers take special care to protect the
prospective participants from adverse consequences of declining or
withdrawing from participation. See also 7(a) and 14.02.
13.04 Informed Consent With Children
(a) In undertaking research with children, education
researchers obtain the consent of a parent or a legally
authorized guardian. Education researchers may seek
waivers of parental or guardian consent when (1) the
research involves no more than minimal risk for the research
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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., in the case of neglected or abused
children).
(b) In undertaking research with children, education
researchers obtain the assent (that is, the agreement) of
children to participate, to the extent that the children are
capable of providing such assent, except under circumstances
where assent may not be required consistent with the waiver
condition as set forth in 13.01(b).
(c) Education researchers 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 12.02(b).
13.05 Use of Deception in Research
(a) Education researchers do not use deceptive techniques
(1) unless they have determined that their use poses no
more than minimal risk to research participants; that their
use is justified by the study’s prospective scientific, scholarly,
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,
of another authoritative body with expertise on the ethics
of research.
(b) Education researchers 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, education researchers attempt to
correct any misconception that research participants may
have no later than at the conclusion of the research.
(d) On rare occasions, education researchers 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, education
researchers undertake the research only 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 12.02(b).
13.06 Use of Recording Technology
Education researchers obtain informed consent from research
participants, students, employees, clients, or others prior to photographing,
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.
14. Research Planning, Implementation, and
Dissemination
Education researchers have an obligation to promote the integrity
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