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Ethical Guidelines for Ethical Guidelines for Statistical PracticeStatistical Practice

Shelley Hurwitz, PhDShelley Hurwitz, PhDHarvard Medical SchoolHarvard Medical School

Chair, Committee on Professional EthicsChair, Committee on Professional EthicsAmerican Statistical AssociationAmerican Statistical Association

MedicRes 2011MedicRes 2011Istanbul, TurkeyIstanbul, Turkey

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DisclaimerDisclaimer

This presentation describes past events and This presentation describes past events and content that the Board of Directors of the content that the Board of Directors of the American Statistical Association has already American Statistical Association has already approved. approved.

Any current deliberations or opinions Any current deliberations or opinions presented are matters upon which the Board presented are matters upon which the Board of Directors has not yet acted.of Directors has not yet acted.

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OutlineOutline BackgroundBackground

History of the GuidelinesHistory of the Guidelines– Part I: The Trial VersionPart I: The Trial Version– Part II: The Current VersionPart II: The Current Version

Content of the GuidelinesContent of the Guidelines

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CreditCredit

– Information on the history of the Trial Version Information on the history of the Trial Version of the of the Ethical Guidelines for Statistical Practice:Ethical Guidelines for Statistical Practice:

Jonas Ellenberg, “Ethical Guidelines for Statistical Jonas Ellenberg, “Ethical Guidelines for Statistical Practice: A Historical Perspective” Practice: A Historical Perspective” The American The American

Statistician, Statistician, FebruaryFebruary 1983, Vol. 37, No. 11983, Vol. 37, No. 1

– Notes on the history of the Current Version of Notes on the history of the Current Version of the the Ethical Guidelines for Statistical Practice:Ethical Guidelines for Statistical Practice:

John Gardenier, DBA, ASA Committee on John Gardenier, DBA, ASA Committee on Professional Ethics Chair 1996-1999Professional Ethics Chair 1996-1999

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Background:Background:

– 1839: American Statistical Association was 1839: American Statistical Association was

founded founded

In Boston, MassachusettsIn Boston, Massachusetts

By 5 graduates of Brown, Dartmouth, and Harvard By 5 graduates of Brown, Dartmouth, and Harvard

UniversitiesUniversities

In fields of Law, Medicine, Theology, Literature, and In fields of Law, Medicine, Theology, Literature, and

Education Education

Membership was ~100 for 50 yearsMembership was ~100 for 50 years

Today ~18,000 members and 70 CommitteesToday ~18,000 members and 70 Committees

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History of the Guidelines Part I: The History of the Guidelines Part I: The

Trial VersionTrial Version

– 1952: AD HOC COMMITTEE ON STATISTICAL 1952: AD HOC COMMITTEE ON STATISTICAL

STANDARDSSTANDARDS

Both technical and ethicalBoth technical and ethical

Member survey revealed low interest in a code of Member survey revealed low interest in a code of

conductconduct

Action deferredAction deferred

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Ad Hoc Committee on Statistical Standards proposal for development of standards, July

1954

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Survey Results, 1954

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Survey Results, 1956

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– 1977: AD HOC COMMITTEE ON 1977: AD HOC COMMITTEE ON

CODE OF CONDUCTCODE OF CONDUCT

Interim Code of Conduct

– 1980, 1981 Published in Amstat News (monthly newsletter of the ASA)

– Asked for comments from the membership before finalizing

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Note in The American Statistician

February, 1981

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– 1983: AD HOC COMMITITEE ON PROFESSIONAL ETHICS

Ethical Guidelines for Statistical Practice: Trial Version

– Approved by the Board of Directors of the ASA

– Published in The American Statistician

– 14 distinguished statisticians reviewed the Guidelines

– Their comments and a response from the Ad Hoc Committee were also published

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History of the Guidelines Part II: History of the Guidelines Part II:

The Current VersionThe Current Version

– 1986: 1986: Committee on Professional EthicsCommittee on Professional Ethics

– Provide a point of contact with other societies in professional Provide a point of contact with other societies in professional ethics. ethics.

– Develop a program of education sensitizing members to ethical Develop a program of education sensitizing members to ethical issues in statistical practice and in other fields where statistics is issues in statistical practice and in other fields where statistics is used. used.

– Maintain and promulgate the Maintain and promulgate the ASA Ethical GuidelinesASA Ethical Guidelines that describes the general view of ethics in statistical that describes the general view of ethics in statistical practice.practice.

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Guidelines Revision ProcessGuidelines Revision Process

– Started discussing at annual meeting in Started discussing at annual meeting in

19961996

– PrinciplesPrinciples BrevityBrevity

Open for comment, comments made publicOpen for comment, comments made public

Definitive guidance, more than aspirationalDefinitive guidance, more than aspirational

Broadly diverse membershipBroadly diverse membership

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– Announcements in Announcements in Amstat NewsAmstat News 1996- 1996-19981998

Invited commentsInvited comments

Comments and responses by committee Comments and responses by committee posted on-lineposted on-line

Advisory committee formedAdvisory committee formed

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– May 1998 initial draft in May 1998 initial draft in Amstat NewsAmstat News Widest possible distributionWidest possible distribution

Many comments came inMany comments came in

Posted on-linePosted on-line

Special working group on clinical trialsSpecial working group on clinical trials

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– August 1998 open session at Joint August 1998 open session at Joint

Statistics MeetingsStatistics Meetings Presented latest draftPresented latest draft

Broadest possible face-to-face Broadest possible face-to-face

communicationcommunication

>100 attended >100 attended

One goal of session was to shorten itOne goal of session was to shorten it

Members insisted on adding points Members insisted on adding points

It got longerIt got longer

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Ethical Guidelines for Statistical Ethical Guidelines for Statistical

PracticePractice

– 1999: Approved by the Board of Directors 1999: Approved by the Board of Directors

of the ASAof the ASA

– On the ASA web siteOn the ASA web site

– Sent to all new ASA members when they Sent to all new ASA members when they

joinjoin

– Accreditation requires member to agree Accreditation requires member to agree

to abide by the guidelinesto abide by the guidelines

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http://www.amstat.org/committees/ethics/

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Content of the GuidelinesContent of the Guidelines

The document contains two parts: The document contains two parts:

– The The Preamble Preamble contains 3 sectionscontains 3 sections

– TheThe Ethical Guidelines Ethical Guidelines contain 8 sectionscontain 8 sections

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Preamble

(3 sections)

A. Purpose: The purpose of the document is to encourage ethical and effective statistical work in morally conducive working environments. It is also intended to assist students in learning to

perform statistical work responsibly.

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B. Statistics and society: Statistics plays a vital role in science, the economy, governance, and even entertainment. Practitioners must recognize their potential impact on society, and their ethical obligations to perform their work responsibly.

C. Shared Values: Practitioners are encouraged to exercise "good professional citizenship" in order to improve the public understanding of, and respect for, the use of statistics throughout its applications.

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Ethical GuidelinesEthical Guidelines

(8 sections)(8 sections)

A.A. Professionalism:Professionalism: The need for competence, The need for competence, judgment, diligence, self-respect, and judgment, diligence, self-respect, and worthiness of the respect of other people. worthiness of the respect of other people.

B.B. Responsibilities to Funders, Clients, and Responsibilities to Funders, Clients, and Employers:Employers: Assure that statistical work suits Assure that statistical work suits the needs and resources funders, that funders the needs and resources funders, that funders understand the capabilities and limitations of understand the capabilities and limitations of statistics in addressing their problem, and that statistics in addressing their problem, and that confidential information is protected. confidential information is protected.

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C. C. Responsibilities in Publications and Testimony: Responsibilities in Publications and Testimony: Report sufficient information to give readers a Report sufficient information to give readers a clear understanding of the intent of the work, how clear understanding of the intent of the work, how and by whom it was performed, and any and by whom it was performed, and any limitations on its validity. limitations on its validity.

D. D. Responsibilities to Research Subjects: Responsibilities to Research Subjects: Protect the interests of human and animal Protect the interests of human and animal subjects of research – during data collection, subjects of research – during data collection, analysis, interpretation, and publication of the analysis, interpretation, and publication of the findings.findings.

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E. E. Responsibilities to Research Team Colleagues:Responsibilities to Research Team Colleagues: Responsibilities of professionals participating in Responsibilities of professionals participating in multidisciplinary research teams. multidisciplinary research teams.

F. F. Responsibilities to Other Statisticians or Statistical Responsibilities to Other Statisticians or Statistical Practitioners: Practitioners: Must contribute to the profession by sharing non-Must contribute to the profession by sharing non-proprietary data and methods, participating in proprietary data and methods, participating in peer review, and respecting differing professional peer review, and respecting differing professional opinions. opinions.

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G. G. Responsibilities Regarding Allegations of Responsibilities Regarding Allegations of Misconduct:Misconduct:The process of investigating potential ethical The process of investigating potential ethical violations and treating those involved with justice violations and treating those involved with justice and respect. and respect.

H. H. Responsibilities of Employers and Clients:Responsibilities of Employers and Clients: Employers and clients should recognize the Employers and clients should recognize the interdependence of ethics and validity. They must interdependence of ethics and validity. They must not pressure practitioners to produce a particular not pressure practitioners to produce a particular "result". They must avoid the potential social "result". They must avoid the potential social harm that can result from false or misleading harm that can result from false or misleading statistical work. statistical work.

Some Other Statistical Associations With Ethics Some Other Statistical Associations With Ethics DocumentsDocuments

Royal Statistical SocietyRoyal Statistical SocietyThe Royal Statistical Society Code Of Conduct The Royal Statistical Society Code Of Conduct

(1993)(1993)

www.rss.org.uk/uploadedfiles/documentlibrary/www.rss.org.uk/uploadedfiles/documentlibrary/142.pdf142.pdf

Statistical Society of CanadaStatistical Society of CanadaCode of Ethical Statistical Practice (2004)Code of Ethical Statistical Practice (2004)

www.ssc.ca/webfm_send/3www.ssc.ca/webfm_send/3

International Statistical InstituteInternational Statistical Institute Declaration on Professional Ethics (2010)Declaration on Professional Ethics (2010)

isi-web.org/about/declarationprofessionalethics-isi-web.org/about/declarationprofessionalethics-2010uk2010uk

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Royal Statistical SocietyRoyal Statistical Society

The Royal Statistical Society Code Of Conduct The Royal Statistical Society Code Of Conduct (1993)(1993)

The Public InterestThe Public Interest

Duty to Employers and ClientsDuty to Employers and Clients

Duty to the ProfessionDuty to the Profession

Professional Competence and IntegrityProfessional Competence and Integrity

Disciplinary ProceduresDisciplinary Procedures

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Statistical Society of Statistical Society of CanadaCanada

Code of Ethical Statistical Practice (2004)Code of Ethical Statistical Practice (2004)

Responsibility to SocietyResponsibility to Society

Responsibility to Employers and ClientsResponsibility to Employers and Clients

Responsibility to other Statistical PractitionersResponsibility to other Statistical Practitioners

ProfessionalismProfessionalism

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International Statistical InstituteInternational Statistical InstituteDeclaration on Professional Ethics (2010)Declaration on Professional Ethics (2010)

PreamblePreamble Shared professional valuesShared professional values Ethical principlesEthical principles

Background on last page of Declaration:Background on last page of Declaration:

1979 Committee on a code of ethics was established. 1979 Committee on a code of ethics was established.

1985 General Assembly accepted document. 1985 General Assembly accepted document.

1996 Executive committee asked for possible updates. 1996 Executive committee asked for possible updates.

2007 Revised declaration presented for comments and 2007 Revised declaration presented for comments and reaction.reaction.

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ASA Current

Committee on Professional Ethics Charge:– To provide a point of contact with other societies

– To develop a program of education

– To maintain and promulgate the ASA Ethical Guidelines for Statistical Practice.

– The Committee does not have the authority to act on, rule on,

or arbitrate ethical matters Possible revision

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Thank you for the opportunity to speak at MedicRes International Conference 2011

Please visit our web site:http://www.amstat.org/committees/ethics/

Contact information:hurwitz@hms.harvard.edu