Educational Researcher, Vol. 40, No. 3, pp. 145–156DOI: 10.3102/0013189X11410403

© 2011 AERA. http://er.aera.netapril 2011 145

Code of EthicsAmerican Educational Research Association

Approved by the AERA CouncilFebruary 2011

PREAMBLE

BACKGROUND

PRINCIPLES

PrincipleA:ProfessionalCompetencePrincipleB:IntegrityPrincipleC:Professional,Scientific,andScholarly

ResponsibilityPrincipleD:RespectforPeople’sRights,Dignity,andDiversityPrincipleE:SocialResponsibility

ETHICAL STANDARDS

1.Scientific,Scholarly,andProfessionalStandards 2.Competence 3.UseandMisuseofExpertise 4.Fabrication,Falsification,andPlagiarism 5.AvoidingHarm 6.Nondiscrimination 7.Nonexploitation 8.Harassment 9.EmploymentDecisions 9.01FairEmploymentPractices 9.02ResponsibilitiesofEmployees10.ConflictsofInterest 10.01AdherencetoProfessionalStandards 10.02Disclosure 10.03AvoidanceofPersonalGain 10.04DecisionmakingintheWorkplace 10.05DecisionmakingOutsideoftheWorkplace11.PublicCommunications 11.01ResearcherCommunications 11.02StatementsbyOthers12.Confidentiality 12.01MaintainingConfidentiality 12.02LimitsofConfidentiality 12.03DiscussingConfidentialityandItsLimits 12.04AnticipationofPossibleUsesofInformation

12.05ElectronicTransmissionandStorageofConfidentialInformation

12.06AnonymityofSources 12.07MinimizingIntrusionsonPrivacy 12.08PreservationofConfidentialInformation13.InformedConsent 13.01ScopeofInformedConsent 13.02InformedConsentProcess 13.03InformedConsentofStudentsandSubordinates 13.04InformedConsentWithChildren 13.05UseofDeceptioninResearch 13.06UseofRecordingTechnology14.ResearchPlanning,Implementation,andDissemination 14.01PlanningandImplementation 14.02DualRelationships 14.03UnanticipatedResearchOpportunities 14.04OfferingInducementsforResearchParticipants 14.05ReportingonResearch 14.06DataSharing15.AuthorshipCredit16.PublicationProcess 16.01SubmissionofManuscriptsforPublication 16.02DuplicatePublicationofData 16.03ResponsibilitiesofEditors17.ResponsibilitiesofReviewers18.Teaching,Training,andAdministeringEducationPrograms 18.01TeachingandTraining 18.02AdministeringEducationPrograms19.Mentoring20.Supervision21.ContractualandConsultingServices22.AdherencetotheEthicalStandardsoftheAmerican

EducationalResearchAssociation 22.01FamiliarityWiththeCodeofEthics 22.02ConfrontingEthicalIssues 22.03FairTreatmentofPartiesinEthicalDisputes 22.04ReportingEthicalViolationsofOthers 22.05ImproperComplaints 22.06CooperatingWithEthicsCommittees

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PREAMBLE

The Code of Ethics of the American Educational ResearchAssociation (AERA)articulates a common setof valuesuponwhicheducationresearchersbuildtheirprofessionalandscien-tificwork.TheCodeisintendedtoprovideboththeprinciplesandtherulestocoverprofessionalsituationsencounteredbyedu-cationresearchers.Ithasasitsprimarygoalthewelfareandpro-tection of the individuals and groups with whom educationresearcherswork.Italsoservestoeducateeducationresearchers,theirstudents,andotherswhowouldbenefitfromunderstand-ing the ethical principles and standards that guide educationresearchersintheirprofessionalwork.Itistheindividualrespon-sibilityofeacheducationresearchertoaspiretothehighestpos-sible standardsofconduct inresearch, teaching,practice,andservice.

Adheringtoasetofethicalstandardsforaneducationresearch-er’swork-relatedconductrequiresapersonalcommitmenttoalifelongefforttoactethically;toencourageethicalbehaviorbystudents,supervisors,supervisees,employers,employees,andcol-leagues;andtoconsultwithothersasneededconcerningethicalproblems.Eacheducationresearchersupplements,butdoesnotviolate,thevaluesandrulesspecifiedintheethicalstandardsbasedonguidancedrawnfrompersonalvalues,culture,andexperience.

BACKGROUND

TheAERACodeofEthicssetsforththeprinciplesandethicalstandards that underlie education researchers’ professionalresponsibilities and conduct. These principles and standardsshouldbeusedasguidelineswhenexaminingeverydayprofes-sionalactivities.Theyconstitutenormativestatementsofethicalbehavior for education researchers and provide guidance onissuesthateducationresearchersmayencounterintheirprofes-sionalwork.Accordingly, from time to time, theAssociationreviewsitsCodeofEthicstoensurethattheCodecontinuestoeducateandguidethefieldasnewissuesordilemmaspresentthemselves.

AERA’sCodeofEthicsconsistsoffivePrinciplesandspecificEthicalStandards.ThisCodeisaccompaniedbythePoliciesandProceduresoftheAERAEthicsCommittee,whichdescribetheproceduresforhandlingcomplaintsofunethicalconductonmat-terspertainingtotheactivitiesandprogramsofAERA.

ThePrinciplesoftheCodesetforthforeducationresearchersthehighestidealsofprofessionalconduct.Educationresearcherssometimesneedtoweighcompetingorconflictingprinciplesinspecificsituations,andtheyhavearesponsibilitytoengageincare-fulconsiderationofallrelevantprinciples.

TheEthicalStandardssetforthrulesforethicalconductbyedu-cation researchers. Most of the Ethical Standards are writtenbroadlyinordertoapplytoeducationresearchersinvariedroles,andtheapplicationofanEthicalStandardmayvarydependingonthecontext.AlthoughtheEthicalStandardsaimtocovermostsituations encountered by education researchers, they are notexhaustive.AnyconductthatisnotspecificallyaddressedbythisCodeofEthicsisnotnecessarilyethicalorunethical.

AERA’sCodeofEthicsembodiesprinciplesandstandardsofconductexpectedofeducationresearchersintheirprofessionalroles.Standardsofconductmayalsobespecifiedbylawsand

regulations,butitistheresponsibilityofAERAtospecifythestandardsofethicalconductexpectedofeducationresearchers.

Membership in AERA commits members to adhere to theAERACodeofEthicsandtofollowthePoliciesandProceduresoftheAERAEthicsCommittee.Membersareadvisedofthisobliga-tionuponjoiningtheAssociationandareadvisedthatviolationsoftheCodemayleadtotheimpositionofsanctions,includingterminationofmembership.

AERAmayreviewcomplaintsofethicalmisconductrelatedtotheactivitiesorprogramsofAERA.OtherbodiesmaychoosetoinvoketheseEthicalStandardsinconsideringtheprofessionalcon-ductofeducationresearchers.Privateorpersonalactivitieshavingnoconnectiontooreffectoneducationresearchers’performanceoftheirprofessionalrolesarenotcoveredbytheguidanceprovidedintheCodeofEthics.

PRINCIPLES

ThefollowingPrinciplesserveasaguideforeducationresearchersindeterminingethicalcoursesofactioninvariouscontexts.Eachisessential,andtogethertheyexemplifythehighestidealsofpro-fessionalconduct.

PrincipleA:ProfessionalCompetence

Education researchers strive to maintain the highest levels ofcompetenceintheirwork;theyrecognizethelimitationsoftheirexpertise;andtheyundertakeonlythosetasksforwhichtheyarequalifiedbyeducation,training,orexperience.Theyrecognizetheneedforongoingeducationinordertoremainprofessionallycompetent;andtheyutilizetheappropriatescientific,scholarly,professional,technical,andadministrativeresourcesneededtoensurecompetenceintheirprofessionalactivities.Theyconsultwithotherprofessionalswhennecessaryforthebenefitoftheirstudents,researchparticipants,andclients.

PrincipleB:Integrity

Educationresearchersarehonest,fair,andrespectfulofothersintheirprofessionalactivities—inresearch,teaching,practice,andservice.Educationresearchersdonotknowinglyactinwaysthatjeopardizethewelfareofothers.Educationresearchersconducttheirprofessionalactivitiesinwaysthatareworthyoftrustandconfidence.

PrincipleC:Professional,Scientific,andScholarlyResponsibility

Educationresearchersadheretothehighestscientificandprofes-sional standards and accept responsibility for their work.Educationresearchersvaluethepublictrustinresearchandareconcernedabouttheirethicalbehaviorandthebehaviorofothereducation researchers that might compromise that trust.Educationresearchersunderstandthattheyformacommunityandshowrespectforothereducationresearchersevenwhentheydisagreeontheoretical,methodological,orpersonalapproachestoprofessionalactivities.Whileendeavoringalwaystobecolle-gial,educationresearchersmustneverletthedesiretobecollegialoutweightheirsharedresponsibilityforethicalbehavior.Whenappropriate,theyconsultwithcolleaguesinordertopreventoravoidunethicalconduct.

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PrincipleD:RespectforPeople’sRights,Dignity,andDiversity

Educationresearchersrespecttherights,dignity,andworthofallpeopleandtakecaretodonoharmintheconductoftheirwork.Intheirresearch,theyhaveaspecialobligationtoprotecttherights,welfare,anddignityofresearchparticipants.Theyaresen-sitive to cultural, individual, and roledifferences in teaching,studying,andprovidingservicetogroupsofpeoplewithdistinc-tivecharacteristics.Theystrivetoeliminatebiasintheirprofes-sional activities, and they do not tolerate any forms ofdiscriminationbasedonrace;ethnicity;culture;nationalorigin;gender; sexualorientation; gender identity; age; religion; lan-guage; disability; health conditions; socioeconomic status; ormarital,domestic,orparentalstatus.

In all of their work-related activities, education researchersacknowledge the rightsofothers toholdvalues, attitudes, andopinionsthatdifferfromtheirown,andtheytreatotherswithdignityandrespect.

PrincipleE:SocialResponsibility

Educationresearchersareawareoftheirprofessionalandscien-tific responsibility to the communities and societies inwhichtheyliveandwork.Theyapplyandmakepublictheirknowledgeinordertocontributetothepublicgood.Whenundertakingresearch,theystrivetoadvancescientificandscholarlyknowl-edgeandtoservethepublicgood.

ETHICAL STANDARDS

1.Scientific,Scholarly,andProfessionalStandards

Educationresearchersadheretothehighestpossiblestandardsthatarereasonableandresponsibleintheirresearch,teaching,practice,andserviceactivities.Theyrelyonscientifically,scholarly,andpro-fessionallyderivedknowledgeandactwithhonestyandintegrity.

2.Competence

(a)Education researchers conduct research, teach, practice,andprovide serviceonlywithin theboundariesof theircompetence,basedontheireducation,training,supervisedexperience,orappropriateprofessionalexperience.

(b)Education researchers conduct research, teach, practice,andprovideserviceinnewareasorinvolvingnewtechniquesonlyaftertheyhavetakenreasonablestepstoensurethecompetenceoftheirworkintheseareas.

(c)Educationresearcherswhoengage inresearch, teaching,practice,orservicemaintainawarenessofcurrentscientific,scholarly,andprofessional information in their fieldsofactivity and undertake continuing efforts to maintaincompetenceintheskillstheyuse.

3.UseandMisuseofExpertise

(a)Inresearch,teaching,practice,service,orotheractivitieswhereeducationresearchersrenderprofessionaljudgmentsor present their expertise, they accurately and fairlyrepresenttheirareasanddegreesofexpertise.

(b)Education researchers do not accept grants, contracts,consultation, or work assignments from individual or

organizational clients or sponsors that appear likely tocompromisetheirabilitytoadheretothestandardsinthisCodeofEthics.Educationresearchersdissociatethemselvesfromsuchactivitieswhentheydiscoveraviolationandareunabletoachieveitscorrection.

(c)Educationresearchers’scientific,scholarly,andprofessionaljudgments and actions may affect the lives of others;therefore, education researchers are alert to and guardagainst personal, financial, social, organizational, orpolitical factors that might lead to misuse of theirknowledge,expertise,orinfluence.

(d)Ifeducationresearcherslearnofmisuseormisrepresentationof their work, they take reasonable steps to correct themisuseormisrepresentation.

4.Fabrication,Falsification,andPlagiarism

Educationresearchersdonotengageinfabrication,falsification,orplagiarisminproposing,performing,orreviewingresearch,orinreportingresearchresults.

(a)Educationresearchersdonotfalsifyorfabricatedata,datasources,findings,claims,orcredentials.

(b) Intheirpublications,presentations,teaching,practice,andservice,educationresearchersexplicitlyidentify,credit,andreference the author(s)when they takedataormaterialverbatim from another person’s work, whether it ispublished,unpublished,orelectronicallyavailable.

(c)Intheirpublications,presentations,teaching,practice,andservice,educationresearchersprovideacknowledgmentofandreferencetotheuseofothers’work,eveniftheworkisnot quoted verbatim or paraphrased, and they do notpresentothers’workastheirownwhetheritispublished,unpublished,orelectronicallyavailable.

5.AvoidingHarm

Educationresearcherstakereasonablestepstoavoidharmtooth-ersintheconductoftheirprofessionalwork.Whenunantici-patednegativeconsequencesoccur,educationresearcherstakeimmediatestepstominimizeharm,including,ifnecessary,ter-minatingthework.

6.Nondiscrimination

Educationresearchersdonotengage indiscrimination in theirworkbasedonrace;ethnicity;culture;nationalorigin;gender;sexualorientation;genderidentity;age;religion;language;disabil-ity;healthconditions;socioeconomicstatus;marital,domestic,orparentalstatus;oranyotherapplicablebasisproscribedbylaw.

7.Nonexploitation

(a)Whetherforpersonal,economic,orprofessionaladvantage,educationresearchersdonotexploitpersonsoverwhomtheyhavedirectorindirectsupervisory,evaluative,orotherauthority, such as students, supervisees, employees, orresearchparticipants.

(b)Educationresearchersdonotdirectlysuperviseorexerciseevaluativeauthorityoveranypersonwithwhomtheyhavea romantic, sexual, or familial relationship, includingstudents,supervisees,employees,orresearchparticipants.

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8.Harassment

Educationresearchersdonotengageinharassmentofanyperson,including students, supervisees, employees, or researchpartici-pantsbasedonfactorssuchasrace;ethnicity;culture;nationalorigin;gender;sexualorientation;genderidentity;age;religion;language;disability;healthconditions;socioeconomicstatus;ormarital, domestic, orparental status.Harassment consists of asingleintenseandsevereactorofmultiplepersistentorpervasiveactswhicharedemeaning,abusive,offensive,orcreateahostileprofessional,workplace,oreducationalenvironment.Harassmentmayincludeunnecessary,exaggerated,orunwarrantedattentionorattack,whetherverbalornonverbal.Sexualharassmentissex-ualsolicitation,physicaladvances,orverbalornonverbalcon-ductthatissexualinnature.

9.EmploymentDecisions

Educationresearchershaveanobligationtoadheretothehighestethicalstandardswhenseekingemployment,whenparticipatingin employment-relateddecisions, orwhenplanning to resignfromaposition.

9.01FairEmploymentPractices

(a)Whenparticipatinginemployment-relateddecisions,edu-cationresearchersmakeeveryefforttoensureequaloppor-tunityandfairtreatmenttoallemployeesandprospectiveemployees.Theydonotdiscriminateinhiring,promotion,salary,treatment,oranyotherconditionsofemploymentorcareerdevelopmentonthebasisofrace;ethnicity;cul-ture;national origin; gender; sexual orientation; genderidentity;age;religion;language;disability;healthcondi-tions;socioeconomicstatus;marital,domestic,orparentalstatus;oranyotherapplicablebasisproscribedbylaw.

(b)When participating in employment-related decisions,educationresearchersspecifytherequirementsforhiring,promotion, tenure, and termination and communicatetheserequirementsthoroughlyandasearlyaspossibleintheprocesstofull-andpart-timeemployeesandprospectiveemployees.

(c)When participating in employment-related decisions,education researchers have the responsibility to informthemselvesoffairemploymentcodes,tocommunicatethisinformationtoemployees,andtohelpcreateanatmosphereupholdingfairemploymentpracticesforemployees.

(d)When participating in employment-related decisions,educationresearchersinformemployeesofanyconstraintson research and publication and negotiate clear under-standingsaboutanyconditionsthatmaylimitresearchandscholarlyactivity.

9.02ResponsibilitiesofEmployees

(a)Whenseekingemployment,educationresearcherspresenttheirprofessionalqualificationsandexperienceshonestlyandaccuately.

(b)When leaving a position, permanently or temporarily,education researchers provide their employers withappropriate notice and take reasonable steps to reducenegativeeffectsofleaving.

10.ConflictsofInterest

Educationresearchersavoidwherepossibleorotherwisediscloseandmanageconflictsofinterestandtheappearanceofconflictsofinterest.Conflictsofinterestarisewheneducationresearchers’personal,professional,orfinancialinterestspreventthemfromperformingtheirprofessionalworkinanunbiasedmanner.Inresearch,teaching,practice,andservice,educationresearchersarealerttosituationsthatmightcauseaconflictofinterestandtakeappropriateactiontopreventconflictorotherwisediscloseandmanageit.

10.01AdherencetoProfessionalStandards

Irrespectiveoftheirpersonalorfinancialinterestsorthoseoftheiremployersorclients,educationresearchersadheretoscien-tific,scholarly,andprofessionalstandardsin(1)thecollection,analysis,orinterpretationofdata;(2)thereportingofresearch;(3)theteaching,professionalpresentation,orpublicdissemina-tionofeducationresearchknowledge;and(4)theidentificationorimplementationofappropriatecontractual,consulting,orser-viceactivities.

10.02Disclosure

Education researchersdisclose relevant sourcesof financialsupportandrelevantpersonalorprofessionalrelationshipsthatmayhavetheappearanceoforpotentialforaconflictofinteresttoanemployerorclient, tothesponsorsoftheirprofessionalwork,andtothepublicinwrittenandverbalreports.

10.03AvoidanceofPersonalGain

(a)Educationresearchersdonotuseorotherwiseseektogainfrom informationormaterial received in a confidentialcontext (e.g., knowledge obtained from reviewing amanuscriptorservingonaproposalreviewpanel),unlesstheyhaveauthorizationtodosooruntilthatinformationisotherwisemadepubliclyavailable.

(b)Educationresearchersdonotseektogainfromconfidentialorproprietaryinformationormaterialinanemploymentorclient relationship without permission of the employerorclient.

10.04DecisionMakingintheWorkplace

In their workplace, education researchers take appropriatestepstoavoidconflictsofinterestortheappearanceofconflictsandcarefullyscrutinizepotentiallybiasingaffiliationsorrelation-ships.Inresearch,teaching,practice,orservice,suchpotentiallybiasingaffiliationsorrelationshipsinclude,butarenotlimitedto,situationsinvolvingfamily,business,orclosepersonalfriend-shipsorpeoplewithwhomeducationresearchershavehadstrongconflictordisagreement.

10.05DecisionMakingOutsideoftheWorkplace

Inprofessionalactivitiesoutsideoftheirworkplace,educationresearcherswhohavebiasingaffiliationsorrelationshipsabstainfrom engaging in deliberations and decisions that allocate orwithholdbenefitsor rewards from individualsor institutions.Thesebiasingaffiliationsorrelationshipsare:(1)currentorpro-spectiveemploymentatanorganizationorinstitutionthatcould

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beconstruedasbenefitingfromthedecision;(2)currentserviceasanofficerorboardmemberofanorganizationorinstitutionthatcouldbeconstruedasbenefitingfromthedecision;(3)cur-rentorprospectiveemploymentatthesameorganizationorinsti-tution where an individual could benefit from the decision;(4)havingaspouse,domesticpartner,orknownrelativewhoasanindividualcouldbenefitfromthedecision;or(5)havingacurrentbusinessorprofessionalpartner, researchcollaborator,employee,supervisee,orstudentwhoasanindividualcouldben-efitfromthedecision.

11.PublicCommunications

Educationresearchersadheretothehighestprofessionalstan-dardsinpubliccommunicationsabouttheirprofessionalservices,credentials,expertise,workproducts,orpublications,whetherthesecommunicationsare fromthemselvesor fromothersontheirbehalf.

11.01ResearcherCommunications

(a)Educationresearcherstakestepstoensuretheaccuracyofallpubliccommunications.Suchpubliccommunicationsinclude,butarenotlimitedto,directorylistings;personalresumes or curriculum vitae; advertising; brochures orprinted matter; interviews or comments to the media;statements in legalproceedings; lecturesandpublicoralpresentations;orotherpublishedmaterials.

(b)Educationresearchersdonotmakepublicstatementsthatare false, deceptive, misleading, or fraudulent, eitherbecauseofwhattheystate,convey,orsuggestorbecauseofwhattheyomit.Suchactivitiesinclude,butarenotlimitedto, false or deceptive statements concerning their ownor others’ (1) training, experience, or competence;(2) academic degrees; (3) credentials; (4) institutionalor association affiliations; (5) services; (6) fees; or(7)publicationsorresearchfindings.Educationresearchersdonotmakefalseordeceptivestatementsconcerningthescientificorscholarlybasisforanyprofessionalservicestheymayprovide.

(c)Wheneducationresearchersprovideprofessionaladvice,comment, or testimony to the public, the media,government, or other institutions, they take reasonableprecautionstoensurethat(1)thestatementsarebasedonappropriateresearch,literature,andpractice;and(2)thestatementsareotherwiseconsistentwiththeCodeofEthics.

(d)Inworkingwiththepress,radio,television,onlinemediaorothercommunicationsmediaorinadvertisinginthemedia, education researchers are cognizant of potentialconflictsofinterestorappearancesofsuchconflicts(e.g.,providingcompensationtoemployeesofthemedia),andtheyadheretothehigheststandardsofprofessionalhonesty.

11.02StatementsbyOthers

(a)Education researchers who engage or employ others tocreateorplacepublicstatementsthatpromotetheirworkproducts, professional services, or other activities retainresponsibilityforsuchstatements.

(b)Educationresearchersmakereasonableeffortstopreventotherswhomtheydonotdirectlyengageoremploy(such

asemployers,publishers,sponsors,organizationalclients,and members of the media) from making deceptivestatementsconcerningtheirprofessionalresearch,teaching,orpracticeactivities.

12.Confidentiality

Educationresearchersensurethatconfidentialinformationisprotected.Theydosotoensuretheintegrityofresearchandtheopencommunicationwithresearchparticipantsandtoprotectsensitive informationobtained in research, teaching,practice,andservice.Whengatheringconfidentialinformation,educationresearcherstakeintoaccountthelong-termusesoftheinforma-tion, including its potential placement in public archives orthe examination of the information by other researchers orpractitioners.

12.01MaintainingConfidentiality

(a) Confidentiality agreements are made known to orestablishedbetweeneducationresearchersandothersatthe outset of a scientific, scholarly, or professionalrelationshipandarereviewedperiodicallyasconditionsrequire.Seealso12.03(b).

(b)Education researchers take reasonable precautions toprotect the confidentiality of information related toresearch participants, students, employees, clients, andotherswhenconfidentialityhasbeenprovidedorthereisareasonableexpectationofconfidentiality.

(c)Confidentialinformationprovidedbyresearchparticipants,students,employees,clients,orothersistreatedassuchbyeducationresearchersevenifthereisnolegalprotectionorprivilegerequiringthemtodoso.Educationresearchersprotect confidential information and do not allowinformationgainedinconfidencetobeusedinwaysthatwouldunfairlycompromiseresearchparticipants,students,employees,clients,orothers.

(d) Information provided under an understanding ofconfidentiality is treatedas suchevenafter thedeathofthoseprovidingthatinformation.

(e) Educationresearchersmaintaintheintegrityofconfidentialdeliberations,activities,orroles,including,whereapplicable,thatofprofessionalcommittees,reviewpanels,oradvisorygroups.

(f ) Educationresearchersprotecttheconfidentialityofstudentrecords, performance data, and personal information,whetherverbalorwritten,giveninthecontextofacademicconsultation,supervision,oradvising.

(g) Membersofresearchortrainingteamsandcollaboratingorganizations with access to confidential informationmaintain confidentiality. To ensure that access toconfidential information is restricted, principalinvestigators, other researchers, and administrators takesteps necessary to protect confidentiality throughappropriatedataprotectionmethodsandplans.

(h)Whenusingprivateinformationaboutindividualscollectedbyotherpersons,organizations,orinstitutions,educationresearchers protect the confidentiality of individuallyidentifiableinformation.Informationisprivatewhenanindividualcanreasonablyexpectthattheinformationwill

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notbemadepublicwithpersonalidentifiers(e.g.,student,medical,oremploymentrecords).

(i) Educationresearchersinformthemselvesfullyaboutanduse methods, procedures, and steps that can enhanceconfidentiality protections, including awareness of legalprovisions.

12.02LimitsofConfidentiality

(a) Education researchers inform themselves fully about alllaws,rules,orcircumstancesthatmaylimitguaranteesofconfidentiality.Theydeterminetheirabilitytoguaranteeabsolute confidentiality and, as appropriate, informresearchparticipants,students,employees,clients,orothersofanylimitationstothisguaranteeattheoutset,consistentwithethicalstandardssetforthin12.02(b).

(b) Education researchers may confront unanticipatedcircumstancesinwhichtheybecomeawareofinformationthat is clearly health- or life-threatening to researchparticipants, students, employees, clients, or others. Inthesecases,educationresearchersbalancetheimportanceofguaranteesofconfidentialitywithotherprinciplesinthisCodeofEthics,standardsofconduct,andapplicablelaw.

(c) Confidentialityisnotrequiredwithrespecttoobservationsinpublicplaces,activitiesconductedinpublic,orothersettingswherenorulesofprivacyareprovidedbylaworcustom.Similarly,confidentialityisnotrequiredinthecaseofinformationfrompubliclyavailablerecords.

12.03DiscussingConfidentialityandItsLimits

(a) Wheneducationresearchersestablishascientific,scholarly,or professional relationship with persons, they discuss(1)therelevantlimitationsonconfidentiality,and(2)theforeseeableusesoftheinformationgeneratedthroughtheirprofessionalwork.

(b) Unless it is not feasible or is counterproductive, thediscussionofconfidentialityoccursbothattheoutsetoftherelationship and thereafter as new circumstances maywarrant.

12.04AnticipationofPossibleUsesofInformation

(a) Whenresearchrequiresmaintainingpersonalidentifiersindatabases or systems of records, education researchersremove such identifiers before the information is madepubliclyavailable.

(b) Whenremovalormaskingofpersonal identifiers isnotfeasible, education researchers take reasonable steps todetermine that appropriate consent of personallyidentifiable individuals has been obtained before theytransfersuchdatatoothersorreviewsuchdatacollectedbyothers. When it is not feasible to obtain consent forsubsequentuse,educationresearcherstakestepstoensurethat access to such data occurs only under restrictedconditions where users agree to honor confidentialityagreementsorprotectionsinplace.

(c) When confidential information concerning researchparticipants,clients,orotherrecipientsofserviceisenteredintodatabasesorsystemsofrecordsavailabletopersons

withoutthepriorconsentoftherelevantparties,educationresearchersprotecttheprivacyofothersbynotincludingpersonalidentifiersorbyemployingothertechniquesthatmaskorcontroldisclosureofindividualidentities.

12.05ElectronicTransmissionandStorageofConfidentialInformation

Educationresearchersprotectconfidentialdata,information,orcommunicationintheirstorage,delivery,ortransferovercom-puternetworksorotherelectronicmeans.Educationresearchersareattentivetotheproblemsofmaintainingconfidentialityandcontroloversensitivematerialanddatawhenuseoftechnology,suchascomputernetworks,mayopentheirprofessional,scientific,andscholarlycommunicationtounauthorizedpersonsorinadver-tentdisclosure.

12.06AnonymityofSources

(a) Educationresearchersdonotdisclose intheirwritings,lectures, websites, or other public media confidential,personally identifiable information concerning theirresearchparticipants,students,individualororganizationalclients, or other recipients of their service which isobtainedduringthecourseoftheirwork,unlessconsentfromindividualsortheirlegallyauthorizedrepresentativeshasbeenobtained.

(b)When confidential information is used in scientific,scholarly, and professional presentations, educationresearchersdisguisetheidentityofresearchparticipants,students, individual or organizational clients, or otherrecipientsoftheirservice.

12.07MinimizingIntrusionsonPrivacy

(a) Tominimizeintrusionsonprivacy,educationresearchersinclude inwritten andoral reports, consultations, andpubliccommunicationsonlyinformationgermanetothepurposeforwhichthecommunicationismade.

(b)Educationresearchersdiscussconfidentialinformationorevaluativedataconcerningresearchparticipants,students,supervisees,employees,andindividualororganizationalclients only for appropriate scientific, scholarly, orprofessionalpurposesandonlywithpersonsauthorizedtodiscusssuchmatters.

12.08PreservationofConfidentialInformation

(a) Educationresearcherstakereasonablestepstoensurethatrecords, data, or information are preserved in aconfidentialmannerconsistentwiththerequirementsofthis Code of Ethics, recognizing that ownership ofrecords,data,orinformationmayalsobegovernedbylaworinstitutionalprinciples.

(b)Education researchers plan so that confidentiality ofrecords,data,orinformationisprotectedintheeventoftheeducationresearcher’sdeath,incapacity,orwithdrawalfromthepositionorpractice.

(c) Wheneducationresearcherstransferconfidentialrecords,data,orinformationtootherpersonsororganizations,theyobtainassurancesthattherecipientsoftherecords,

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data, or information will employ measures to protectconfidentialityatleastequaltothoseoriginallypledged.

(d)Educationresearcherstakereasonablestepstoensurethatthey protect the identity of research participants indisseminating their research findings to the extentprovidedunderassurancesofconfidentiality.

13.InformedConsent

Informedconsentisabasicethicaltenetofscientificresearchonhuman populations. Education researchers do not involve ahumanbeingasaparticipantinresearchwithouttheinformedconsentoftheparticipantortheparticipant’slegallyauthorizedrepresentative,exceptasotherwisespecifiedinthisCode(see,e.g.,13.01[b]and[c]).Educationresearchersrecognizethepos-sibilityofundueinfluenceorsubtlepressuresonresearchpar-ticipantsthatmayderivefromresearchers’expertiseorauthority,andtheytakethisintoaccountindesigninginformedconsentprocedures.

13.01ScopeofInformedConsent

(a) Education researchers conducting research obtain anddocumentwrittenororalconsentfromresearchparticipantsortheirlegallyauthorizedrepresentatives(1)whendataarecollectedfromresearchparticipantsthroughanyformofcommunication,interaction,orintervention;or(2)whenbehaviorofresearchparticipantsoccursinaprivatecontextwhere an individual can reasonably expect that noobservation or reporting is taking place. Educationresearchersobtainconsentinamannerthatisunderstandableandappropriatetoresearchparticipants.

(b)Educationresearchersmayseekwaiversofconsentwhen(1)theresearchinvolvesnomorethanminimalriskforresearch participants, and (2) the research could notpracticablybecarriedoutwereinformedconsenttoberequired.Educationresearchersrecognizethatwaiversofconsentrequireapprovalfrominstitutionalreviewboardsor,intheabsenceofsuchboards,guidancefromanotherauthoritativebodywithexpertiseontheethicsofresearch.Under such circumstances, the confidentiality of anypersonallyidentifiableinformationmustbemaintainedunlessotherwisesetforthin12.02(b).

(c) Education researchers may conduct research in publicplaces or use publicly available information aboutindividuals(e.g.,naturalisticobservationsinpublicplaces,analysisofpublicrecords,orarchivalresearch)withoutobtaining consent. If, under such circumstances,educationresearchershaveanydoubtwhatsoeveraboutthe need for informed consent, they consult withinstitutional review boards or, in the absence of suchboards,withanotherauthoritativebodywithexpertiseontheethicsofresearchbeforeproceedingwithsuchresearch.

(d) Inundertakingresearchwithvulnerablepopulations(e.g.,children,youth,specialneedsstudents,recentimmigrantpopulations), education researchers take special care toensure that the voluntary nature of the research isunderstoodandthatconsentorassentisnotcoerced.Inall other respects, education researchers adhere to thestandardssetforthin13.01(a)–(c).

(e) Educationresearchersareconversantwithandconformtoapplicable state and federal regulations and, whereapplicable, institutional review board requirements forobtaininginformedconsentforresearch.

13.02InformedConsentProcess

(a) Wheninformedconsentisrequired,educationresearchersenterintoanagreementwithresearchparticipantsortheirlegallyauthorizedrepresentativesthatclarifiesthenatureoftheresearchandtheresponsibilitiesoftheinvestigatorpriortoconductingtheresearch.

(b)Wheninformedconsentisrequired,educationresearchersusewrittenororallanguagethatisunderstandabletoandrespectful of research participants or their legallyauthorizedrepresentatives.

(c) Wheninformedconsentisrequired,educationresearchersprovideresearchparticipantsortheir legallyauthorizedrepresentatives with the opportunity to ask questionsaboutanyaspectoftheresearch,atanytimeduringoraftertheirparticipationintheresearch.

(d)Wheninformedconsentisrequired,educationresearchersinformresearchparticipantsor their legally authorizedrepresentativesofthenatureoftheresearch;theyindicateto participants that their participation or continuedparticipation is voluntary; they inform participants ofsignificantfactorsthatmaybeexpectedtoinfluencetheirwillingnesstoparticipate(e.g.,possiblerisksandbenefitsoftheirparticipation);andtheyexplainotheraspectsoftheresearchandrespondtoquestionsfromprospectiveparticipants. Also, if relevant, education researchersexplain that refusal to participate or withdrawal fromparticipationintheresearchinvolvesnopenalty,andtheyexplain any foreseeable consequences of declining orwithdrawing. Education researchers explicitly discussconfidentiality and, if applicable, the extent to whichconfidentialitymaybelimitedassetforthin12.02(b).

(e) Wheninformedconsentisrequired,educationresearcherskeeprecordsregardingsaidconsent.Theyrecognizethatconsent is a process that involves oral and/or writtenconsent.

(f ) Educationresearchershonorallcommitmentstheyhavemade to research participants as part of the informedconsentprocessexceptwhereunanticipatedcircumstancesdemandotherwiseassetforthin12.02(b).

13.03InformedConsentofStudentsandSubordinates

Whenundertakingresearchattheirowninstitutionsororga-nizationswithresearchparticipantswhoarestudentsorsubordi-nates, education researchers take special care to protect theprospectiveparticipantsfromadverseconsequencesofdecliningorwithdrawingfromparticipation.Seealso7(a)and14.02.

13.04InformedConsentWithChildren

(a) In undertaking research with children, educationresearchers obtain the consent of a parent or a legallyauthorized guardian. Education researchers may seekwaivers of parental or guardian consent when (1) theresearchinvolvesnomorethanminimalriskfortheresearch

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participants,and(2)theresearchcouldnotpracticablybecarriedoutwereconsenttoberequired,or(3)theconsentofaparentorguardianisnotareasonablerequirementtoprotectthechild(e.g.,inthecaseofneglectedorabusedchildren).

(b) In undertaking research with children, educationresearchersobtain the assent (that is, the agreement)ofchildrentoparticipate,totheextentthatthechildrenarecapableofprovidingsuchassent,exceptundercircumstanceswhereassentmaynotberequiredconsistentwiththewaiverconditionassetforthin13.01(b).

(c) Education researchers recognize thatwaivers of consentfromachildandaparentorguardianrequireapprovalfrominstitutionalreviewboardsor,intheabsenceofsuchboards,from another authoritative body with expertise on theethics of research. Under such circumstances, theconfidentialityofanypersonallyidentifiableinformationmustbemaintainedunlessotherwisesetforthin12.02(b).

13.05UseofDeceptioninResearch

(a) Education researchers do not use deceptive techniques(1)unless theyhavedeterminedthat theiruseposesnomorethanminimalrisktoresearchparticipants;thattheiruseisjustifiedbythestudy’sprospectivescientific,scholarly,educational, or applied value; and that equally effectivealternativeproceduresthatdonotusedeceptionarenotfeasible;and(2)unlesstheyhaveobtainedtheapprovalofinstitutionalreviewboardsor,intheabsenceofsuchboards,ofanotherauthoritativebodywithexpertiseontheethicsofresearch.

(b) Educationresearchersneverdeceiveresearchparticipantsaboutsignificantaspectsoftheresearchthatwouldaffecttheir willingness to participate, such as physical risks,discomfort,orunpleasantemotionalexperiences.

(c) Whendeceptionisanintegralfeatureofthedesignandconduct of research, education researchers attempt tocorrectanymisconceptionthatresearchparticipantsmayhavenolaterthanattheconclusionoftheresearch.

(d) On rare occasions, education researchers may need toconcealtheiridentitiesinordertoundertakeresearchthatcouldnotpracticablybecarriedoutweretheytobeknownas researchers. Under such circumstances, educationresearchersundertake the researchonly if it involvesnomorethanminimalriskfortheresearchparticipantsandiftheyhaveobtained approval toproceed in thismannerfroman institutional reviewboardor, in theabsenceofsuchboards,fromanotherauthoritativebodywithexpertiseon the ethics of research. Under such circumstances,confidentialitymustbemaintainedunlessotherwise setforthin12.02(b).

13.06UseofRecordingTechnology

Educationresearchersobtaininformedconsentfromresearchparticipants,students,employees,clients,orotherspriortophoto-graphing,videotaping,filming,orrecordingtheminanyform,unlesstheseactivitiesinvolvesimplynaturalisticobservationsinpublicplacesanditisnotanticipatedthattherecordingwillbeusedinamannerthatcouldcausepersonalidentificationorharm.

14.ResearchPlanning,Implementation,andDissemination

Educationresearchershaveanobligationtopromotetheinteg-rityofresearchandtoensurethattheycomplywiththeethicaltenetsofresearchintheplanning,implementation,anddissemi-nationofresearch.Theydosoinordertoadvanceknowledge,tominimizethepossibilitythatresultswillbemisleading,andtoprotecttherightsofresearchparticipants.

14.01PlanningandImplementation

(a) In planning and implementing research, educationresearchers minimize the possibility that results will bemisleading.

(b) Educationresearcherstakestepstoimplementprotectionsfortherightsandwelfareofresearchparticipantsandotherpersonsaffectedbytheresearch.

(c) Intheirresearch,educationresearchersdonotencourageactivities or behave in ways that are health- or life-threateningtoresearchparticipantsorothers.

(d) In planning and implementing research, educationresearchers consult those with expertise concerning anyspecific population under investigation or likely to beaffected.

(e) In planning research, education researchers anticipatelegalrequirementsorcircumstancesthatmightmakeitdifficulttoguaranteeconfidentialitytoresearchpartici-pants. (See 12.02[a].) Education researchers take stepsnecessaryandappropriatetominimizeriskthroughsecuredataprotectionplansandinthedisseminationofresults.(Seealso,e.g.,12.01[g]and12.08[d].)

(f )In planning and implementing research, educationresearchersconsideritsethicalacceptabilityassetforthinthisCodeofEthics.Ifthebestethicalpracticeisunclear,education researchers consult with institutional reviewboards or, in the absence of such review boards, withanotherauthoritativebodywithexpertiseontheethicsofresearch.

(g)Education researchers are responsible for the ethicalconductofresearchconductedbythemorbyothersundertheirsupervisionorauthority.Thoseworkingunderthesupervisionorauthorityofothersremainresponsiblefortheirownethicalconduct.

14.02DualRelationships

Inplanning research, education researchers select researchparticipantswithwhomtheyhavenootherrelationship(e.g.,teacher,supervisor,mentor,oremployer).Ifresearchopportuni-tiesorcircumstancesrequireselectionofresearchparticipantswithwhomeducationresearchershaveanothersuchrelationship,researcherstakeparticularcaretoensurethatconsenttopartici-pateisvoluntaryandfreeofcoercion.Educationresearchersalsotakeparticularcarethatinformationused,gathered,orreportedaspartoftheresearchishandledinsuchamannertoensurethatriskofharmtotheresearchparticipantsisminimizedanddoesnotexceedwhatotherwisewouldbeanticipatedforresearchpar-ticipants insimilarcircumstanceswherethere isnosuchdualrelationship.Seealso7(a)and13.03.

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14.03UnanticipatedResearchOpportunities

Ifduringthecourseofnonresearchactivities(e.g.,teaching,practice,service,ornonprofessionalactivities),educationresearch-ersdeterminethattheywishtoundertakeresearchthatwasnotpreviouslyanticipated,theymakeknowntheirintentionstothepotentialresearchparticipantsandtakestepstoensurethattheresearchisundertakenconsonantwithethicalprinciples,especiallythoserelatingtoconfidentialityandinformedconsent.Undersuchcircumstances,educationresearchersseektheapprovalofinstitu-tionalreviewboardsor,intheabsenceofsuchreviewboards,ofanotherauthoritativebodywithexpertiseontheethicsofresearch.

14.04OfferingInducementsforResearchParticipants

Educationresearchersdonotofferexcessiveorinappropriatefinancial or other inducements to obtain the participation ofresearchparticipants,particularlywhenitmightundulyinfluencethedecision toparticipate.Education researchersmayprovideincentivestotheextentthatresourcesareavailableandappropriate.

14.05ReportingonResearch

(a)Educationresearchersareresponsibleformakingknowntheir research findings except where unanticipatedcircumstances beyond their control or proprietaryagreementswithemployers,contractors,orclientsprecludesuchdissemination.

(b) Inpresentingtheirwork,educationresearchersreporttheirfindingsfullyanddonotomitrelevantdata.Theyreportresultswhether they supportor contradict the expectedoutcomes.

(c) Education researchers take particular care to state allrelevantqualificationsonthefindingsandinterpretationoftheir research. Education researchers also discloseunderlyingassumptions,theories,methods,measures,andresearch designs that might bear upon findings andinterpretationsoftheirwork.

(d) In reporting on research, education researchers presenttheirfindingsconsonantwithanyconsentagreementswithresearchparticipantsandanyotheragreementswithrespecttogainingaccesstoresearchsitesordata.

(e) Consistentwiththespiritoffulldisclosureofmethodsandanalyses,oncefindingsarepubliclydisseminated,educationresearcherspermittheopenassessmentofdataandotherrelevant materials and verification of findings by otherresponsible researchers with appropriate confidentialitysafeguards, where applicable, to protect the identity ofresearchparticipants.

(f ) Inreportingonresearchthatusesdataunderlimitedaccessorlicensingarrangements,educationresearchersprovidesufficientlydetailedinformationsothatotherscanverifyorfurtheranalyzethesedataiftheygainaccesstothedataundersimilarcircumstances.

(g) Ifeducationresearchersdiscoversignificanterrorsintheirpublicationorpresentationofdata,theytakereasonablestepstoaddresssucherrorsinacorrection,aretraction,publishederratum,orotherpublicforumasappropriate.

(h) Inreportingonresearch,educationresearchersaddressanypotentialconflictsofinterestthatmayhaveinfluencedor

havetheappearanceofinfluencingtheresearch,alongwithastatementofhowtheseweremanagedintheconductoftheresearch.

(i) Educationresearchersreportsourcesoffinancialsupportintheirwrittenpapersandnoteanyspecialrelationstoanysponsor. In special circumstances, education researchersmaywithholdthenamesofspecificsponsorsiftheyprovideanadequateandfulldescriptionofthenatureandinterestofthesponsor.

(j) Educationresearcherstakespecialcaretoreportaccuratelythe results of others’ scholarship by using correctinformation and citationswhenpresenting theworkofothers in publications, teaching, practice, and servicesettings.

14.06DataSharing

(a) Education researchers share data and pertinentdocumentationasaregularpractice.Educationresearchersmaketheirdataavailableaftercompletionoftheprojectoritsmajorpublicationsforverificationorotheranalysesbyother researchers, except where proprietary agreementswith employers, contractors, or clients preclude suchaccessibilityorwhenitisimpossibletosharedatainanyusefulform.

(b)In sharing data, education researchers take appropriatesteps toprotect the confidentiality of thedata and theidentityofresearchparticipants.Whenappropriatefutureusenecessitatesaccesstoidentifiabledata,researcherstakestepstoensurethatthedataareaccessibleunderappropriaterestrictions where the confidentiality of researchparticipantscanbesecured.Seealso12.04(b)and12.08(c).

(c) Educationresearchersanticipatedatasharingasanintegralpartofaresearchplanwheneverdatasharingisfeasible.

(d)Educationresearcherssharedatainaformthatisconsonantwith research participants’ interests and protect theconfidentialityoftheinformationtheyhavebeengiven.Theymaintaintheconfidentialityofdata,whetherlegallyrequiredornot;removepersonalidentifiersbeforedataareshared;and, ifnecessary,useotherdisclosure-avoidancetechniques. When data are shared with personallyidentifiableinformation,educationresearcherstakestepsto ensure that access is provided only under restrictedconditionswhereusersagreetoprotecttheconfidentialityofthedataconsonantwithpriorcommitments.

(e) Educationresearcherswhodonototherwiseplacedatainpublic archives keep data available and retaindocumentationrelating to the research fora reasonableperiodoftimeafterpublicationordisseminationofresultsandsharedataconsonantwith14.06(a).

(f ) Educationresearcherswhousedatafromothersforfurtheranalyses explicitly acknowledge the contributionof theinitialresearchers.

15.AuthorshipCredit

(a)Educationresearchersensure thatallwhohavemadeasubstantive contribution to an intellectual product arelistedasauthors.

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(b)Education researchers take responsibility and credit,including authorship credit, only for work they haveactuallyperformedortowhichtheyhavecontributed.

(c) Educationresearchersensurethatprincipalauthorship,authorshiporder,andotherpublicationcreditsarebasedontherelativescientificorprofessionalcontributionsofthe individuals involved, regardless of their status.Educationresearchersspecifythecriteriaformakingthesedeterminationsattheoutsetofthewritingprocess.

(d) A student is usually listed as principal author on anymultiple-authored publication that substantially derivesfromthestudent’sdissertationorthesis.

16.PublicationProcess

Educationresearchersadheretothehighestethicalstandards,including standards of competence, when participating inpublicationandreviewprocessesasauthorsoreditors.

16.01SubmissionofManuscriptsforPublication

(a) In cases of multiple authorship, education researchersconferwithallotherauthorspriortosubmittingworkforpublicationandestablishmutuallyacceptableauthorshipagreementsregardingthesubmission.

(b) In submitting a manuscript to a professional journal,bookseries,oreditedbook,educationresearchersgrantthatpublicationfirstclaimtopublicationexceptwhereexplicitpolicies allowmultiple submissions.Educationresearchers do not submit a manuscript to a secondpublication until after an official decision has beenreceivedfromthefirstpublicationoruntilthemanuscriptis withdrawn. Education researchers submitting amanuscriptforpublicationinajournal,bookseries,oredited book can withdraw the manuscript fromconsiderationuntilanofficialacceptanceismade.

(c) Educationresearchersdonotsubmitabookmanuscripttomultiplepublishersunlessthesubmissionguidelinesofthe publishers permit the practice. Once educationresearchershavesignedacontract,theymaynotwithdrawamanuscriptfrompublicationunlessthereisreasonablecausetodoso.

(d) In submitting amanuscript forpublication, educationresearchersmakedataavailableuponaneditor’srequesttoverify a finding or address questions that arise in thecourseofreview.

16.02DuplicatePublicationofData

(a) Education researchers do not submit for subsequentpublication work that has been previously publishedunlessitispublishedwithcitationtothefirstpublicationandundertakenconsistentwithanyapplicablelawsandagreements.

(b)Wheneducationresearcherspublishdataorfindingsthattheyhavepreviouslypublishedelsewhere,theyaccompanythesepublicationswithproperacknowledgment.

16.03ResponsibilitiesofEditors

(a)When serving as editors of journals or book series,education researchers are fair in the application of

standardsforpublicationandoperatewithoutfavoritismormalice.Aseditors,educationresearchersarecognizantofanypotentialconflictsofinterest.

(b)When serving as editors of journals or book series,educationresearchersensuretheconfidentialnatureofthereviewprocessandsuperviseeditorialofficestaff,includingstudents, in accordance with practices that maintainconfidentiality.

(c)Whenservingaseditorsofjournalsorbookseries,educationresearchersareboundtopublishallmanuscriptsacceptedfor publication unless major errors or ethical violations(e.g.,plagiarismorothermisconduct)arediscoveredafteracceptance.

(d)Whenservingaseditorsofjournalsorbookseries,educationresearchersensuretheanonymityofreviewersunlesstheyotherwisereceivepermissionfromreviewerstorevealtheiridentity. Editors ensure that their staff conforms to thispractice.

(e)When serving as journal editors, education researchersensure the anonymity of authors unless and until amanuscript is accepted for publication or unless theestablished practices of the journal are known to beotherwise.

(f)Whenservingasjournaleditors,educationresearcherstakestepstoprovideforthetimelyreviewofallmanuscriptsandrespondpromptlytoinquiriesaboutthestatusofthereview.

17.ResponsibilitiesofReviewers

Education researchersadhere to thehighest ethical standards,includingstandardsofcompetence,whenservingasreviewersforpublication,grantsupport,orotherevaluationpurposes.

(a)In reviewingmaterial submitted for publication, grantsupport, or other evaluation purposes, educationresearchersrespecttheconfidentialityoftheprocessandtheproprietaryrightsinsuchinformationofthosewhosubmittedit.

(b) Education researchers disclose conflicts of interest ordeclinerequestsforreviewsoftheworkofotherswhereconflictsofinterestareinvolved.

(c)Ifaskedtoreviewamanuscript,book,orproposal theyhavepreviouslyreviewed,educationresearchersmake itknown to the person making the request (e.g., editor,programofficer)unlessitisclearthattheyarebeingaskedtoprovideareappraisal.

18.Teaching,Training,andAdministeringEducationPrograms

Educationresearcherswhoserveasteachers,trainers,oradmin-istrators of education and training programs perform theirresponsibilitiesconscientiously,competently,andwithintegrity.Theymodelandfosterethicalbehaviorfortheirstudentsandtrainees.

18.01TeachingandTraining

(a)Educationresearcherswhoareresponsibleforteachingandtrainingperformtheseresponsibilitieswithappropriateskillsandknowledgeorarereceivingappropriatetraining.

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(b)Educationresearchersprovideaccurateinformationattheoutset about their courses, particularly regarding thesubjectmattertobecovered,basesforevaluation,andthenatureofcourseexperiences.

(c)Education researchers make decisions concerningtextbooks, course content, course requirements, andgradingsolelyonthebasisofeducationalcriteriawithoutregardforfinancialorotherincentives.

(d)Education researchers provide proper training andsupervisiontotheirteachingassistantsandotherteachingtrainees and take reasonable steps to ensure that suchpersonsperformtheseteachingresponsibilitiesresponsibly,competently,andethically.

(e)Educationresearchersdonotpermitpersonalanimositiesor intellectual differences with colleagues to foreclosestudents’orsupervisees’accesstothesecolleaguesortointerferewith studentor supervisee learning, academicprogress,orprofessionaldevelopment.

18.02AdministeringEducationPrograms

(a)Educationresearcherswhoareresponsibleforeducationandtrainingprogramsseektoensurethattheprogramsarecompetentlydesigned,providerelevantexperiences,andmeetallgoalsforwhichclaimsaremadebytheprogram.

(b) Educationresearcherswhoareresponsibleforeducationand training programs seek to ensure that there is anaccuratedescriptionoftheprogramcontent,traininggoalsand objectives, and requirements that must be met forsatisfactorycompletionoftheprogram.

(c)Educationresearcherswhoareresponsibleforeducationandtrainingprogramstakestepstoensurethatgraduateassistantsandtemporaryinstructorshavethesubstantiveknowledgerequiredtoteachcoursesandtheteachingskillsneededtofacilitatestudentlearning.

(d) Educationresearcherswhoareresponsibleforeducationandtrainingprogramshaveanobligationtoensurethatethicsaretaughttotheirgraduatestudentsaspartoftheirprofessionalpreparation.

19.Mentoring

Education researchers who serve as mentors perform theirresponsibilities conscientiously, competently, and with integ-rity.Theymodelandfosterethicalbehaviorfortheirmentees.

(a) Education researchers are committed to theirmentees’welfare and progress and act in their mentees’ bestinterests.

(b)Education researchers inform their mentees about theethical dimensionsof theirwork and support them inperformingtheirprofessionalactivitiesinwaysconsistentwiththehighestethicalstandards.

20.Supervision

(a) Education researchers provide proper training andsupervisiontotheirstudents,supervisees,andemployeesandtakereasonablestepstoseethatsuchpersonsperformservicesresponsibly,competently,andethically.

(b)Education researchers delegate to their students,supervisees,andemployeesonlythoseresponsibilitiesthatsuchpersons,basedontheireducation,training,orexperience,canreasonablybeexpectedtoperformeitherindependentlyorwiththelevelofsupervisionprovided.

(c) Educationresearchersfairlyevaluatetheperformanceof their students, supervisees, and employees andcommunicatethatevaluationfullyandhonestly.

21.ContractualandConsultingServices

(a)Education researchers undertake grants, contracts, orconsultationonlywhentheyareknowledgeableaboutthesubstance,methods,andtechniquestheyplantouseorhaveaplanforincorporatingappropriateexpertise.

(b) In undertaking grants, contracts, or consultation,educationresearchersbasetheresultsoftheirprofessionalworkonappropriateinformationandtechniques.

(c)Whenfinancialsupportforaprojecthasbeenacceptedunder a grant, contract, or consultation, educationresearchers make reasonable efforts to complete theproposedworkonschedule.

(d) In undertaking grants, contracts, or consultation,education researchers accurately document andappropriatelyretaintheirprofessionalandscientificwork.

(e)In establishing a contractual arrangement for research,consultation,orotherservices,educationresearchersclarify,to the extent feasible at the outset, the nature of therelationship with the individual, organizational, orinstitutional client. This clarification includes, asappropriate,thenatureoftheservicestobeperformed,theprobableusesoftheservicesprovided,possibilitiesfortheeducationresearcher’sfutureuseoftheworkforscholarlyorpublicationpurposes,thetimetablefordeliveryofthoseservices,andcompensationandbillingarrangements.

22.AdherencetotheEthicalStandardsoftheAmericanEducationalResearchAssociation

Educationresearchershaveanobligationtoconfront,address,andattempttoresolveethicalissuesthatariseunderthisCodeofEthics.

22.01FamiliarityWiththeCodeofEthics

EducationresearchershaveanobligationtobefamiliarwiththisCodeofEthics,otherapplicableethicscodes,andtheirapplicationtoeducationresearchers’work.Lackofawarenessormisunderstandingofanethicalstandardisnot,initself,adefensetoachargeofunethicalconduct.

22.02ConfrontingEthicalIssues

(a)When education researchers are uncertain whether aparticularsituationorcourseofactionwouldviolatetheCode of Ethics, they consult with other educationresearchers knowledgeable about ethical issues or withotherorganizational entities suchas institutional reviewboards. They may also consult with the AERA EthicsCommitteeasasourceofinformationorguidance.

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(b)When education researchers take actions or areconfrontedwithchoiceswherethereisaconflictbetweenethicalstandardsenunciatedintheCodeofEthicsandlaws or legal requirements, they make known theircommitmenttotheCodeandtakestepstoresolvetheconflict in a responsible manner by consulting withcolleagues, professional organizations, or the AERAEthicsCommittee.

22.03FairTreatmentofPartiesinEthicalDisputes

(a)Education researchers do not discriminate or retaliateagainstapersononthebasisofhisorherhavingmadeanethicalcomplaint.

(b) Education researchers do not discriminate or retaliateagainstapersononthebasisofhisorherallegedlyhavingcommitted an ethical violation.This doesnot precludetaking action based upon the outcome of an ethicalcomplaint.

(c) Educationresearchersmay take intoaccountconfirmedethicalviolationsofothersinmakingprofessionaldecisionsandjudgmentsabouttheseindividuals.

22.04ReportingEthicalViolationsofOthers

Wheneducationresearchershavesubstantialreasontobelievethattheremayhavebeenanethicalviolationbyanothereducationresearcher,theyattempttoresolvetheissuebybringingittotheattention of that individual if an informal resolution appearsappropriateorpossible;bringingittotheattentionofappropriateauthoritiesorofficials;orseekingadviceaboutwhetherorhowtoproceedbasedonthisbelief,assumingthatsuchactivitydoesnot

violate any confidentiality rights. Such action might includeconsultationwithorreferraltotheAERAEthicsCommitteeonmattersrelatingtotheconductofAERAactivitiesorprograms.

22.05ImproperComplaints

Educationresearchersdonotfileorencouragethefilingofethicscomplaintsthatarefrivolousorsolelyintendedtoharmtheallegedviolatorratherthantoprotecttheintegrityoftheeducationresearchprofessionandthepublicthatisbeingserved.

22.06CooperatingWithEthicsCommittees

Educationresearcherscooperateinethicsinvestigations,proceedings,andresultingdecisionsoftheAmericanEducationalResearchAssociation.

Note:ThisrevisededitionoftheAmericanEducationalResearchAssociation’sEthicalStandardsbuildsontheEthicalStandardsadoptedin1992andrevisedin1996and2002.Therevisededi-tion ishenceforthcalledtheCodeofEthics.Thiseditionhasbeenstructuredandmodifiedtomakemoreaccessibletheethicalstandardbyeliminatingcertainguidancethatdoesnotrelatetotheindividualconductofeducationresearchersandbyexpand-ingonorclarifyingtheethicalstandardsintheprioreditions.This revision has drawn on and greatly benefited from the1997CodeofEthicsoftheAmericanSociologicalAssociationandthe1992versionoftheAmericanPsychologicalAssociation’sEthical Principles of Psychologists and Code of Conduct.Language from these codes is used in the AERA Code withpermission.