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Ethical Guidelines

for Statistical Practice


Prepared by the Committee
on Professional Ethics of the
American Statistical Association

Approved by the ASA Board in April 2016


Contents
1 Purpose of the Guidelines
2 A. Professional Integrity and
Accountability
2 B. Integrity of Data and Methods
3 C. Responsibilities to Science/Public/
Funder/Client
4 D. Responsibilities to Research
Subjects
5 E. Responsibilities to Research Team
Colleagues
5 F. Responsibilities to Other
Statisticians or Statistics
Practitioners
6 G. Responsibilities Regarding
Allegations of Misconduct
6 H. Responsibilities of Employers,
Including Organizations,
Individuals, Attorneys, or Other
Clients Employing Statistical
Practitioners
Purpose of the Guidelines
The American Statistical Association’s of advancing knowledge while avoiding
Ethical Guidelines for Statistical Practice harm; using statistics in pursuit of unethi-
are intended to help statistics practitioners cal ends is inherently unethical.
make decisions ethically. Additionally, the
Ethical Guidelines aim to promote ac-
countability by informing those who rely Good statistical
on statistical analysis of the standards that
they should expect. The discipline of statis- practice is
tics links the capacity to observe with the fundamentally
ability to gather evidence and make deci-
sions, providing a foundation for building based on
a more informed society. Because society transparent
depends on informed judgments supported
by statistical methods, all practitioners of
assumptions,
statistics, regardless of training and occupa- reproducible
tion or job title, have an obligation to work
in a professional, competent, and ethical
results, and valid
manner and to discourage any type of pro- interpretations.
fessional and scientific misconduct.

Good statistical practice is fundamentally The principles expressed here should guide
based on transparent assumptions, repro- both those whose primary occupation is
ducible results, and valid interpretations. statistics and those in all other disciplines
In some situations, Guideline principles who use statistical methods in their profes-
may conflict, requiring individuals to sional work. Therefore, throughout these
prioritize principles according to context. Guidelines, the term “statistician” includes
However, in all cases, stakeholders have all practitioners of statistics and quantita-
an obligation to act in good faith, to act tive sciences, regardless of job title or field
in a manner that is consistent with these of degree, comprising statisticians at all
Guidelines, and to encourage others to levels of the profession and members of
do the same. Above all, professionalism other professions who utilize and report
in statistical practice presumes the goal statistical analyses and their implications.

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American Statistical Association
A. Professional Integrity
and Accountability
The ethical statistician uses methodology beyond the sample to a population
and data that are relevant and appropri- relevant to the objectives with minimal
ate, without favoritism or prejudice, and error under reasonable assumptions.
in a manner intended to produce valid, 3. Respects and acknowledges the con-
interpretable, and reproducible results. tributions and intellectual property
The ethical statistician does not knowingly of others.
accept work for which he/she is not suffi-
ciently qualified, is honest with the client 4. When establishing authorship order for
about any limitation of expertise, and posters, papers, and other scholarship,
consults other statisticians when necessary strives to make clear the basis for this
or in doubt. order, if determined on grounds other
than intellectual contribution.
The ethical statistician: 5. Discloses conflicts of interest, financial
and otherwise, and manages or resolves
1. Identifies and mitigates any preferences them according to established (institu-
on the part of the investigators or data tional/regional/local) rules and laws.
providers that might predetermine or 6. Accepts full responsibility for his/her
influence the analyses/results. professional performance. Provides
2. Employs selection or sampling meth- only expert testimony, written work,
ods and analytic approaches appropri- and oral presentations that he/she
ate and valid for the specific question would be willing to have peer reviewed.
to be addressed, so that results extend

B. Integrity of Data and Methods


The ethical statistician is candid about any used, acknowledges data editing pro-
known or suspected limitations, defects, or cedures, including any imputation and
biases in the data that may impact the in- missing data mechanisms.
tegrity or reliability of the statistical analy- 2. Reports the limitations of statistical
sis. Objective and valid interpretation of the inference and possible sources of error.
results requires that the underlying analysis
recognizes and acknowledges the degree of 3. In publications, reports, or testimony,
reliability and integrity of the data. identifies who is responsible for the sta-
tistical work if it would not otherwise
The ethical statistician: be apparent.
4. Reports the sources and assessed ade-
1. Acknowledges statistical and substan- quacy of the data; accounts for all data
tive assumptions made in the execution considered in a study and explains the
and interpretation of any analysis. sample(s) actually used.
When reporting on the validity of data

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American Statistical Association
5. Clearly and fully reports the steps representative of a defined population,
taken to preserve data integrity and includes appropriate disclaimers and, if
valid results. used, appropriate weighting.
6. Where appropriate, addresses potential 10. To aid peer review and replication,
confounding variables not included in shares the data used in the analyses
the study. whenever possible/allowable, and exer-
7. In publications and reports, conveys cises due caution to protect proprietary
the findings in ways that are both and confidential data, including all
honest and meaningful to the user/ data that might inappropriately reveal
reader. This includes tables, models, respondent identities.
and graphics. 11. Strives to promptly correct any errors
8. In publications or testimony, identi- discovered while producing the final
fies the ultimate financial sponsor of report or after publication. As appro-
the study, the stated purpose, and the priate, disseminates the correction pub-
intended use of the study results. licly or to others relying on the results.

9. When reporting analyses of volunteer


data or other data that may not be

C. Responsibilities to
Science/Public/Funder/Client
The ethical statistician supports valid in- 3. Applies statistical sampling and anal-
ferences, transparency, and good science in ysis procedures scientifically, without
general, keeping the interests of the public, predetermining the outcome.
funder, client, or customer in mind (as well 4. Strives to make new statistical knowl-
as professional colleagues, patients, the edge widely available to provide bene-
public, and the scientific community). fits to society at large and beyond his/
her own scope of applications.
The ethical statistician:
5. Understands and conforms to confi-
1. To the extent possible, presents a client dentiality requirements of data collec-
or employer with choices among valid tion, release, and dissemination and
alternative statistical approaches that any restrictions on its use established
may vary in scope, cost, or precision. by the data provider (to the extent
legally required), and protects use and
2. Strives to explain any expected ad- disclosure of data accordingly. Guards
verse consequences of failure to follow privileged information of the employer,
through on an agreed-upon sampling client, or funder.
or analytic plan.

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D. Responsibilities to
Research Subjects
The ethical statistician protects and re- 4. Knows the legal limitations on priva-
spects the rights and interests of human cy and confidentiality assurances and
and animal subjects at all stages of their does not over-promise or assume legal
involvement in a project. This includes privacy and confidentiality protections
respondents to the census or to surveys, where they may not apply.
those whose data are contained in adminis- 5. Considers whether appropriate re-
trative records, and subjects of physically or search-subject approvals were ob-
psychologically invasive research. tained before participating in a study
involving human beings or organiza-
The ethical statistician: tions, before analyzing data from such
a study, and while reviewing manu-
1. Keeps informed about and adheres to scripts for publication or internal use.
applicable rules, approvals, and guide- The statistician considers the treat-
lines for the protection and welfare of ment of research subjects (e.g., con-
human and animal subjects. fidentiality agreements, expectations
2. Strives to avoid the use of excessive of privacy, notification, consent, etc.)
or inadequate numbers of research when evaluating the appropriateness
subjects, and excessive risk to research of the data source(s).
subjects (in terms of health, welfare, 6. In contemplating whether to partic-
privacy, and ownership of their own ipate in an analysis of data from a
data), by making informed recommen- particular source, refuses to do so if
dations for study size. participating in the analysis could rea-
3. Protects the privacy and confidential- sonably be interpreted by individuals
ity of research subjects and data con- who provided information as sanction-
cerning them, whether obtained from ing a violation of their rights.
the subjects directly, other persons, or 7. Recognizes that any statistical descrip-
existing records. Anticipates and solic- tions of groups may carry risks of ste-
its approval for secondary and indirect reotypes and stigmatization. Statisticians
uses of the data, including linkage should contemplate, and be sensitive
to other data sets, when obtaining to, the manner in which information is
approvals from research subjects, and framed so as to avoid disproportionate
obtains approvals appropriate to allow harms to vulnerable groups.
for peer review and independent repli-
cation of analyses.

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American Statistical Association
E. Responsibilities to
Research Team Colleagues
Science and statistical practice are often do not have obligations to standards
conducted in teams made up of profession- of other professions that conflict with
als with different professional standards. these Guidelines.
The statistician must know how to work 2. Ensures that all discussion and report-
ethically in this environment. ing of statistical design and analysis is
consistent with these Guidelines.
The ethical statistician:
3. Avoids compromising scientific validity
1. Recognizes that other professions have for expediency.
standards and obligations, that research 4. Strives to promote transparency in
practices and standards can differ design, execution, and reporting or
across disciplines, and that statisticians presenting of all analyses.

F. Responsibilities to Other
Statisticians or Statistics Practitioners
The practice of statistics requires consid- 2. Helps strengthen the work of others
eration of the entire range of possible ex- through appropriate peer review; in
planations for observed phenomena, and peer review, respects differences of
distinct observers drawing on their own opinion and assesses methods, not
unique sets of experiences can arrive at individuals. Strives to complete review
different and potentially diverging judg- assignments thoroughly, thoughtfully,
ments about the plausibility of different and promptly.
explanations. Even in adversarial settings, 3. Instills in students and non-statisticians
discourse tends to be most successful an appreciation for the practical value
when statisticians treat one another with of the concepts and methods they are
mutual respect and focus on scientific learning or using.
principles, methodology and the sub-
stance of data interpretations. 4. Uses professional qualifications and
contributions as the basis for decisions
Out of respect for fellow statistical practi- regarding statistical practitioners’
tioners, the ethical statistician: hiring, firing, promotion, work assign-
ments, publications and presentations,
1. Promotes sharing of data and methods candidacy for offices and awards, fund-
as much as possible and as appropriate ing or approval of research, and other
without compromising propriety. Makes professional matters.
documentation suitable for replicate 5. Does not harass or discriminate.
analyses, metadata studies, and other
research by qualified investigators.

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American Statistical Association
G. Responsibilities Regarding
Allegations of Misconduct
The ethical statistician understands the 4. Maintains confidentiality during an
difference between questionable scientific investigation, but discloses the in-
practices and practices that constitute mis- vestigation results honestly to appro-
conduct, avoids both, but knows how each priate parties and stakeholders once
should be handled. they are available.
5. Following an investigation of miscon-
The ethical statistician: duct, supports the appropriate efforts of
all involved, including those reporting
1. Avoids condoning or appearing to con- the possible scientific error or mis-
done incompetent or unethical practic- conduct, to resume their careers in as
es in statistical analysis. normal a manner as possible.
2. Recognizes that differences of opinion 6. Avoids, and acts to discourage,
and honest error do not constitute mis- retaliation against or damage to the
conduct; they warrant discussion, but employability of those who responsi-
not accusation. bly call attention to possible scientific
3. Knows the definitions of, and pro- error or misconduct.
cedures relating to, misconduct. If
involved in a misconduct investigation,
follows prescribed procedures.

H. Responsibilities of Employers,
Including Organizations,
Individuals, Attorneys, or
Other Clients Employing
Statistical Practitioners
Those employing any person to analyze Those employing statisticians are expected to:
data are implicitly relying on the profes-
sion’s reputation for objectivity. However, 1. Recognize that the Ethical Guidelines
this creates an obligation on the part of the exist, and were instituted, for the pro-
employer to understand and respect statis- tection and support of the statistician
ticians’ obligation of objectivity. and the consumer alike.

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American Statistical Association
2. Recognize that valid findings result without explicitly acknowledging com-
from competent work in a moral peting findings and the basis for choices
environment. Employers, funders, regarding which results to report, use,
or those who commission statistical and/or cite.
analysis have an obligation to rely on 5. Recognize that the inclusion of statisti-
the expertise and judgment of qualified cal practitioners as authors, or ac-
statisticians for any data analysis. This knowledgement of their contributions
obligation may be especially relevant in to projects or publications, requires
analyses that are known or anticipated their explicit permission because it
to have tangible physical, financial, or implies endorsement of the work.
psychological impacts.
6. Support sound statistical analysis
3. Recognize that the results of valid sta- and expose incompetent or corrupt
tistical studies cannot be guaranteed to statistical practice.
conform to the expectations or desires
of those commissioning the study or 7. Strive to protect the professional
the statistical practitioner(s). freedom and responsibility of statis-
tical practitioners who comply with
4. Recognize that it is contrary to these these Guidelines.
Guidelines to report or follow only those
results that conform to expectations

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American Statistical Association

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