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Preliminary Reading: So far you have studied ethical issues in the display of data (Nolan and Heinzen, Ch. 3), but the discipline of statistics is governed by ethical guidelines that cover other areas including data analysis, interpretation, and reporting. Read the following sources concerning ethics in working with data and statistics:
1.
Ethical Guidelines for Statistical Practice.
(1999). Committee on Professional Ethics, American Statistical Association. (Required sections: Part I (“Preamble”), and Part II (Ethical Guidelines, Sections A, C, E, F, and G) (Attached PDF)
2.
Ethical Principles of Psychologists and Code of Conduct.
(2010). American Psychological Association. (Required sections: Standard 5.01 and Standards 8.10 through 8.15)
http://www.apa.org/ethics/code/index.aspx
3. Kromrey, J.D. 1993. Ethics and data analysis. Educational Researcher, 22(4), p. 24–27. (Not required, but a highly recommended and related short article.
Scenario: Imagine you are working on a research paper with a partner. The two of you have been studying the effect of two types of therapy on combat-related PTSD symptoms, and your research hypothesis is that one treatment will be superior to the other. You have collected the data and are finished analyzing the numbers, and the results show that the treatments are not significantly different from one another in their effects. Though you are both disappointed, you yourself accept the results and are ready to start writing them up, when your research partner suggests going back and making some “small changes” to the data in order to try to make the preferred treatment look more successful. You have reviewed the ethical standards listed above and understand the expectation of integrity involved in research. After hearing your partner’s proposal, you decide to write him/her a letter in response.
Thread Prompt: Write a professional letter to your partner responding to his/her suggestion to manipulate data.
1. Include supporting information from the 2 required sources listed in the reading (required), and any additional sources (optional). You may want to include the possible consequences of data manipulation in this particular field of study (PTSD).
2. Find and include a passage of Scripture relating to integrity, honesty, or another related concept, and explain why it applies in the context of this situation and how it affects your response (required).
3. Include current APA-style references at the bottom of the letter, in case your research partner wants to review the guidelines mentioned in your letter or find the verses you share (required).
Prepared by the Committee
on Professional Ethics of the
American Statistical Association
Approved by the ASA Board in April 2016
Ethical Guidelines
for Statistical Practice
Contents
A. Professional Integrity and
Accountability 2
C. Responsibilities to Science/Public/
Funder/Client 4
D. Responsibilities to Research
Subjects 5
E. Responsibilities to Research Team
Colleagues 6
F. Responsibilities to Other
Statisticians or Statistics
Practitioners 7
G. Responsibilities Regarding
Allegations of Misconduct 8
H. Responsibilities of Employers,
Including Organizations,
Individuals, Attorneys, or Other
Clients Employing Statistical
Practitioners 9
Discussion
10
1 Ethical Guidelines for Statistical Practice
American Statistical Association
The American Statistical Association’s
Ethical Guidelines for Statistical Practice
are intended to help statistics practitioners
make decisions ethically. Additionally, the
Ethical Guidelines aim to promote ac-
countability by informing those who rely
on statistical analysis of the standards that
they should expect. The discipline of statis-
tics links the capacity to observe with the
ability to gather evidence and make deci-
sions, providing a foundation for building
a more informed society. Because society
depends on informed judgments supported
by statistical methods, all practitioners of
statistics, regardless of training and occupa-
tion or job title, have an obligation to work
in a professional, competent, and ethical
manner and to discourage any type of pro-
fessional and scientific misconduct.1
Good statistical practice is fundamentally
based on transparent assumptions, repro-
ducible results, and valid interpretations.
In some situations, Guideline principles
may conflict, requiring individuals to
prioritize principles according to context.
However, in all cases, stakeholders have
an obligation to act in good faith, to act
in a manner that is consistent with these
Guidelines, and to encourage others to
do the same. Above all, professionalism
in statistical practice presumes the goal
of advancing knowledge while avoiding
harm; using statistics in pursuit of unethi-
cal ends is inherently unethical.2
The principles expressed here should guide
both those whose primary occupation is
statistics and those in all other disciplines
who use statistical methods in their profes-
sional work. Therefore, throughout these
Guidelines, the term “statistician” includes
all practitioners of statistics and quantita-
tive sciences, regardless of job title or field
of degree, comprising statisticians at all
levels of the profession and members of
other professions who utilize and report
statistical analyses and their implications.
Purpose of the Guidelines
Good statistical
practice is
fundamentally
based on
transparent
assumptions,
reproducible
results, and valid
interpretations.
2 Ethical Guidelines for Statistical Practice
American Statistical Association
The ethical statistician uses methodology
and data that are relevant and appropri-
ate, without favoritism or prejudice, and
in a manner intended to produce valid,
interpretable, and reproducible results.3
The ethical statistician does not knowingly
accept work for which he/she is not suffi-
ciently qualified, is honest with the client
about any limitation of expertise, and
consults other statisticians when necessary
or in doubt.
The ethical statistician:
1. Identifies and mitigates any preferences
on the part of the investigators or data
providers that might predetermine or
influence the analyses/results.4
2. Employs selection or sampling meth-
ods and analytic approaches appropri-
ate and valid for the specific question
to be addressed, so that results extend
beyond the sample to a population
relevant to the objectives with minimal
error under reasonable assumptions.5
3. Respects and acknowledges the con-
tributions and intellectual property
of others.
4. When establishing authorship order for
posters, papers, and other scholarship,
strives to make clear the basis for this
order, if determined on grounds other
than intellectual contribution.6
5. Discloses conflicts of interest, financial
and otherwise, and manages or resolves
them according to established (institu-
tional/regional/local) rules and laws.7
6. Accepts full responsibility for his/her
professional performance. Provides
only expert testimony, written work,
and oral presentations that he/she
would be willing to have peer reviewed.
A. Professional Integrity
and Accountability
3 Ethical Guidelines for Statistical Practice
American Statistical Association
6. Where appropriate, addresses potential
confounding variables not included in
the study.
7. In publications and reports, conveys
the findings in ways that are both
honest and meaningful to the user/
reader. This includes tables, models,
and graphics.
8. In publications or testimony, identi-
fies the ultimate financial sponsor of
the study, the stated purpose, and the
intended use of the study results.
9. When reporting analyses of volunteer
data or other data that may not be
representative of a defined population,
includes appropriate disclaimers and, if
used, appropriate weighting.
10. To aid peer review and replication,
shares the data used in the analyses
whenever possible/allowable, and exer-
cises due caution to protect proprietary
and confidential data, including all
data that might inappropriately reveal
respondent identities.
11. Strives to promptly correct any errors
discovered while producing the final
report or after publication. As appro-
priate, disseminates the correction pub-
licly or to others relying on the results.
B. Integrity of Data and Methods
The ethical statistician is candid about any
known or suspected limitations, defects, or
biases in the data that may impact the in-
tegrity or reliability of the statistical analy-
sis. Objective and valid interpretation of the
results requires that the underlying analysis
recognizes and acknowledges the degree of
reliability and integrity of the data.8
The ethical statistician:
1. Acknowledges statistical and substan-
tive assumptions made in the execution
and interpretation of any analysis.
When reporting on the validity of data
used, acknowledges data editing pro-
cedures, including any imputation and
missing data mechanisms.
2. Reports the limitations of statistical in-
ference and possible sources of error.9
3. In publications, reports, or testimony,
identifies who is responsible for the sta-
tistical work if it would not otherwise
be apparent.
4. Reports the sources and assessed ade-
quacy of the data; accounts for all data
considered in a study and explains the
sample(s) actually used.
5. Clearly and fully reports the steps
taken to preserve data integrity and
valid results.
4 Ethical Guidelines for Statistical Practice
American Statistical Association
C. Responsibilities to
Science/Public/Funder/Client
The ethical statistician supports valid in-
ferences, transparency, and good science in
general, keeping the interests of the public,
funder, client, or customer in mind (as well
as professional colleagues, patients, the
public, and the scientific community).1⁰
The ethical statistician:
1. To the extent possible, presents a client
or employer with choices among valid
alternative statistical approaches that
may vary in scope, cost, or precision.
2. Strives to explain any expected ad-
verse consequences of failure to follow
through on an agreed-upon sampling
or analytic plan.
3. Applies statistical sampling and anal-
ysis procedures scientifically, without
predetermining the outcome.
4. Strives to make new statistical knowl-
edge widely available to provide bene-
fits to society at large and beyond his/
her own scope of applications.11
5. Understands and conforms to confi-
dentiality requirements of data collec-
tion, release, and dissemination and
any restrictions on its use established
by the data provider (to the extent
legally required), and protects use and
disclosure of data accordingly. Guards
privileged information of the employer,
client, or funder.
5 Ethical Guidelines for Statistical Practice
American Statistical Association
D. Responsibilities to
Research Subjects
The ethical statistician protects and re-
spects the rights and interests of human
and animal subjects at all stages of their
involvement in a project. This includes
respondents to the census or to surveys,
those whose data are contained in adminis-
trative records, and subjects of physically or
psychologically invasive research.
The ethical statistician:
1. Keeps informed about and adheres to
applicable rules, approvals, and guide-
lines for the protection and welfare of
human and animal subjects.12
2. Strives to avoid the use of excessive
or inadequate numbers of research
subjects, and excessive risk to research
subjects (in terms of health, welfare,
privacy, and ownership of their own
data), by making informed recommen-
dations for study size.13
3. Protects the privacy and confidential-
ity of research subjects and data con-
cerning them, whether obtained from
the subjects directly, other persons, or
existing records. Anticipates and solic-
its approval for secondary and indirect
uses of the data, including linkage
to other data sets, when obtaining
approvals from research subjects, and
obtains approvals appropriate to allow
for peer review and independent repli-
cation of analyses.
4. Knows the legal limitations on priva-
cy and confidentiality assurances and
does not over-promise or assume legal
privacy and confidentiality protections
where they may not apply.
5. Considers whether appropriate re-
search-subject approvals were ob-
tained before participating in a study
involving human beings or organiza-
tions, before analyzing data from such
a study, and while reviewing manu-
scripts for publication or internal use.
The statistician considers the treat-
ment of research subjects (e.g., con-
fidentiality agreements, expectations
of privacy, notification, consent, etc.)
when evaluating the appropriateness
of the data source(s).14
6. In contemplating whether to partic-
ipate in an analysis of data from a
particular source, refuses to do so if
participating in the analysis could rea-
sonably be interpreted by individuals
who provided information as sanction-
ing a violation of their rights.
7. Recognizes that any statistical descrip-
tions of groups may carry risks of ste-
reotypes and stigmatization. Statisticians
should contemplate, and be sensitive
to, the manner in which information is
framed so as to avoid disproportionate
harms to vulnerable groups.
6 Ethical Guidelines for Statistical Practice
American Statistical Association
do not have obligations to standards
of other professions that conflict with
these Guidelines.
2. Ensures that all discussion and report-
ing of statistical design and analysis is
consistent with these Guidelines.
3. Avoids compromising scientific validity
for expediency.15
4. Strives to promote transparency in
design, execution, and reporting or
presenting of all analyses.
E. Responsibilities to
Research Team Colleagues
Science and statistical practice are often
conducted in teams made up of profession-
als with different professional standards.
The statistician must know how to work
ethically in this environment.
The ethical statistician:
1. Recognizes that other professions have
standards and obligations, that research
practices and standards can differ
across disciplines, and that statisticians
7 Ethical Guidelines for Statistical Practice
American Statistical Association
F. Responsibilities to Other
Statisticians or Statistics Practitioners
The practice of statistics requires consid-
eration of the entire range of possible ex-
planations for observed phenomena, and
distinct observers drawing on their own
unique sets of experiences can arrive at
different and potentially diverging judg-
ments about the plausibility of different
explanations. Even in adversarial settings,
discourse tends to be most successful
when statisticians treat one another with
mutual respect and focus on scientific
principles, methodology and the sub-
stance of data interpretations.
Out of respect for fellow statistical practi-
tioners, the ethical statistician:
1. Promotes sharing of data and methods
as much as possible and as appropriate
without compromising propriety. Makes
documentation suitable for replicate
analyses, metadata studies, and other
research by qualified investigators.
2. Helps strengthen the work of others
through appropriate peer review; in
peer review, respects differences of
opinion and assesses methods, not
individuals. Strives to complete review
assignments thoroughly, thoughtfully,
and promptly.
3. Instills in students and non-statisticians
an appreciation for the practical value
of the concepts and methods they are
learning or using.
4. Uses professional qualifications and
contributions as the basis for decisions
regarding statistical practitioners’
hiring, firing, promotion, work assign-
ments, publications and presentations,
candidacy for offices and awards, fund-
ing or approval of research, and other
professional matters.
5. Does not harass or discriminate.
8 Ethical Guidelines for Statistical Practice
American Statistical Association
4. Maintains confidentiality during an
investigation, but discloses the in-
vestigation results honestly to appro-
priate parties and stakeholders once
they are available.
5. Following an investigation of miscon-
duct, supports the appropriate efforts of
all involved, including those reporting
the possible scientific error or mis-
conduct, to resume their careers in as
normal a manner as possible.
6. Avoids, and acts to discourage,
retaliation against or damage to the
employability of those who responsi-
bly call attention to possible scientific
error or misconduct.
G. Responsibilities Regarding
Allegations of Misconduct
The ethical statistician understands the
difference between questionable scientific
practices and practices that constitute mis-
conduct, avoids both, but knows how each
should be handled.
The ethical statistician:
1. Avoids condoning or appearing to con-
done incompetent or unethical practic-
es in statistical analysis.
2. Recognizes that differences of opinion
and honest error do not constitute mis-
conduct; they warrant discussion, but
not accusation.
3. Knows the definitions of, and pro-
cedures relating to, misconduct. If
involved in a misconduct investigation,
follows prescribed procedures.
9 Ethical Guidelines for Statistical Practice
American Statistical Association
H. Responsibilities of Employers,
Including Organizations,
Individuals, Attorneys, or
Other Clients Employing
Statistical Practitioners
Those employing any person to analyze
data are implicitly relying on the profes-
sion’s reputation for objectivity. However,
this creates an obligation on the part of the
employer to understand and respect statis-
ticians’ obligation of objectivity.
Those employing statisticians are expected to:
1. Recognize that the Ethical Guidelines
exist, and were instituted, for the pro-
tection and support of the statistician
and the consumer alike.16
2. Recognize that valid findings result
from competent work in a moral
environment. Employers, funders,
or those who commission statistical
analysis have an obligation to rely on
the expertise and judgment of qualified
statisticians for any data analysis. This
obligation may be especially relevant in
analyses that are known or anticipated
to have tangible physical, financial, or
psychological impacts.17
3. Recognize that the results of valid sta-
tistical studies cannot be guaranteed to
conform to the expectations or desires
of those commissioning the study or
the statistical practitioner(s).
4. Recognize that it is contrary to these
Guidelines to report or follow only those
results that conform to expectations
without explicitly acknowledging com-
peting findings and the basis for choices
regarding which results to report, use,
and/or cite.18
5. Recognize that the inclusion of statisti-
cal practitioners as authors, or ac-
knowledgement of their contributions
to projects or publications, requires
their explicit permission because it
implies endorsement of the work.
6. Support sound statistical analysis
and expose incompetent or corrupt
statistical practice.
7. Strive to protect the professional
freedom and responsibility of statis-
tical practitioners who comply with
these Guidelines.19
10 Ethical Guidelines for Statistical Practice
American Statistical Association
1 The use of statistics in medical diagno-
ses and biomedical research may affect
whether individuals live or die, whether
their health is protected or jeopardized,
and whether medical science advances
or becomes sidetracked. Life, death, and
health may be at stake in statistical anal-
yses of occupational, environmental, or
transportation safety. Early detection and
control of new or recurrent infectious
diseases depend on sound epidemiological
statistics. Mental and social health may be
at stake in psychological and sociological
applications of statistical analysis.
Effective functioning of the economy de-
pends on the availability of reliable, timely,
and properly interpreted economic data.
The profitability of individual firms de-
pends in part on their quality control and
market research, both of which should rely
on statistical methods. Agricultural pro-
ductivity benefits greatly from statistically
sound applications to research and output
reporting. Governmental policy decisions
regarding public health, criminal justice,
social equity, education, the environment,
national defense, and security depend in
part on sound statistics.
2 Misconduct is not limited to instances of
plagiarism and data fabrication or falsifi-
cation. More broadly, misconduct includes
all professional dishonesty, by commis-
sion or omission, and, within the realm of
professional activities and expression, all
harmful disrespect for people, unautho-
rized use of their intellectual and physical
property, and unjustified detraction from
their reputations.
3 Typically, each study should be based on
a competent understanding of the sub-
ject-matter issues and statistical protocols
that are clearly defined for the stage
(exploratory, intermediate, or final) of
analysis before looking at those data that
will be decisive for that stage and tech-
nical criteria to justify both the practical
relevance of the study and the amount of
data to be used.
4 Running multiple tests on the same data
set at the same stage of an analysis increas-
es the chance of obtaining at least one in-
valid result. Selecting the one “significant”
result from a multiplicity of parallel tests
poses a grave risk of an incorrect conclu-
sion. Failure to disclose the full extent of
tests and their results in such a case would
be highly misleading.
5 For example, address the multiple
potentially confounding factors in obser-
vational studies and use due caution in
drawing causal inferences. The fact that a
procedure is automated does not ensure
its correctness or appropriateness; it is also
necessary to understand the theory, data,
and methods used in each statistical study.
6 Preferably, authorship order in statisti-
cal publications should be by degree of
intellectual contribution to the study and
material to be published, to the extent that
such ordering can feasibly be determined.
When some other rule of authorship order
is used in a statistical publication, the rule
should be disclosed in a footnote or endnote.
Where authorship order by contribution is
assumed by those making decisions about
hiring, promotion, or tenure, for example,
failure to disclose an alternative rule may
improperly damage or advance careers.
7 This may sometimes require divestiture
of the conflicting personal interest or
withdrawal from the professional activity.
Discussion
11 Ethical Guidelines for Statistical Practice
American Statistical Association
Examples where conflict of interest may
be problematic include grant reviews,
other peer reviews, and tensions be-
tween scholarship and personal or fami-
ly financial interests.
8 For the general public, convey the scope,
relevance, and conclusions of a study
without technical distractions. For the
professional literature, strive to answer the
questions likely to occur to your peers.
9 For example, disclose any significant fail-
ure to follow through fully on an agreed
sampling or analytic plan and explain any
resulting adverse consequences. Address
the suitability of the analytic methods and
their inherent assumptions relative to the
circumstances of the specific study. Iden-
tify the computer routines used to imple-
ment the analytic methods.
1⁰ Statisticians are encouraged to partici-
pate in professional activities contributing
to the improvement of the community
and to work that elevates the statistical
profession in the United States and the
world. It is recognized that the ability to
do pro bono work may be limited by the
conditions of the statistician’s employment
and personal situations, but statisticians
should be open to opportunities for pro
bono and other work, including service to
the local community or to international
organizations. Service to the profession—
including service on ASA committees, sec-
tions, and chapters—is also encouraged.
11 Statistical methods may be broadly
applicable to many classes of problem or
application. Statistical innovators may
well be entitled to monetary or other
rewards for their writings, software, or
research results.
12 Ensure adequate planning to support
the practical value of the research, validity
of expected results, ability to provide the
protection promised, and consideration of
all other ethical issues involved.
13 These recommendations may be
based on prospective power analysis,
the planned precision of the study end-
point(s), or other methods to ensure
appropriate scope to either frequentist or
Bayesian approaches. Study scope also
should take into consideration the feasibil-
ity of obtaining research subjects and the
value of the data elements to be collected.
14 Appropriate approval is not necessarily
given by the research subjects themselves.
Approval may be required from a parent
or legal guardian who must consent, and
the actual participant may be required to
assent in some cases. This includes legal
guardians for minors and adults who are
unable to give consent. In animal studies,
statisticians should enquire as to proper
forms of owner or institutional consent for
animals that are part of a research project.
In all cases, avoid or minimize the use of
deception. Where it is necessary and pro-
vides significant knowledge—as in some
psychological, sociological, and other
research—ensure prior independent eth-
ical review of the protocol and continued
monitoring of the research. Where full
disclosure of study parameters to subjects
or other investigators is not advisable, as
in some randomized clinical trials, gen-
erally inform them of the nature of the
information withheld and the reason for
withholding it. As with deception, ensure
independent ethical review of the protocol
and continued monitoring of the research.
12 Ethical Guidelines for Statistical Practice
American Statistical Association
15 All research is constrained by resources,
including the available funding, timing,
and personnel. Thus few, if any, studies
can achieve the highest standards imag-
inable. However, the statistician should
always strive to achieve the most valid
results with the resources available and
avoid working on studies likely to produce
misleading or meaningless results.
16 This safeguard will lower your risk of
learning only after the fact that you have
collaborated on an unethical study.
17 In cases of conflict, statistical practi-
tioners and those employing them are
encouraged to resolve issues of ethical
practice privately. If private resolution
is not possible, recognize that statistical
practitioners have an ethical obligation to
expose incompetent or corrupt practice
before it can cause harm to research sub-
jects or society at large.
18 Any measures taken to ensure a partic-
ular outcome will lessen the validity of the
analysis. Pressure on a statistical practi-
tioner to deviate from these guidelines is
likely to damage both the validity of study
results and the professional credibility of
the practitioner.
19 Within organizations and within pro-
fessions using statistical methods gener-
ally, statistics practitioners with greater
prestige, power, or status have a responsi-
bility to protect the professional freedom
and responsibility of more subordinate
statistical practitioners who comply with
these guidelines.
- Purpose of the Guidelines 1
- A. Professional Integrity and Accountability 2
- C. Responsibilities to Science/Public/ Funder/Client 4
- D. Responsibilities to Research Subjects 5
- E. Responsibilities to Research Team Colleagues 6
- F. Responsibilities to Other Statisticians or Statistics Practitioners 7
- G. Responsibilities Regarding Allegations of Misconduct 8
- H. Responsibilities of Employers, Including Organizations, Individuals, Attorneys, or Other Cli
- Discussion 10
B. Integrity of Data and Methods 3
