Code of Ethics-1

PREAMBLE

The Code of Ethics of the Association for Institutional Research was developed to provide members of the Association
with some broad ethical statements with which to guide their professional lives and to identify relevant considerations
when ethical uncertainties arise. It also provides a means for individuals new to the profession to learn about the ethical
principles and standards that should guide the work of institutional researchers.

Although the Association also serves those institutions that employ our members, our primary service to those institutions
is achieved through our individual members. Hence this Code is directed to individuals and not institutions, although basic
tenets contained within the Code are also applicable to our colleges and universities and should be compatible with
institutional codes and values.

The persons who practice institutional research (IR) are a diverse group from many different academic backgrounds and
from many different professional experiences. Add to this diversity among IR practitioners the tremendous variation in the
practice of IR as defined at individual colleges and universities, and IR professionals would seem to have little common
ground. It is precisely for these reasons that this Code of Ethics is important.

Many of the professions from which IR practitioners come have their own standards or codes for acceptable and even
expected performance. This Code adds to those existing documents in recognition of the special and different demands
inherent in the practice of institutional research. In many institutions the institutional researcher is viewed as the “guardian
of truth” or the “conscience” of the institution. This is an extra burden for institutional researchers, and this Code provides
some guidance to practitioners who bear that burden. Along with the other professional standards, this Code defines a
normative expectation for institutional researchers in their work. At the same time, the Code provides the foundation for
institutional research as a profession.

The application of this Code requires good judgment and common sense, and its use in any given case may depend upon
the presence or absence of shared values, institutional politics, the individuals involved, and the level of the potential
threat posed by a specific ethical lapse. There is no licensure process within institutional research, there is no court to
determine guilt, and there are few absolutes. Thus the shades of gray highlighted in this Code need to be reviewed and
applied carefully lest they be seen either as powerless or as all-powerful, neither of which is appropriate.

Although it provides standards, the Code does not provide a set of rules. Reasonable differences of opinion can and do
exist with respect to interpretation, and specific application must take into account the context of a given behavior. A code
of ethics cannot guarantee ethical behavior or resolve all disputes. Rather it merely sets forth standards to which
professionals aspire and against which their actions can be judged (both by themselves and others). Ethical behavior
should result from a personal commitment to engage in ethical practice and an attempt to act always in a manner that
assures integrity. All members of AIR should pledge to maintain their own competence by continually evaluating their
research for scientific accuracy, by conducting themselves in accord with the ethical standards expressed in this Code,
and by remembering that their ultimate goal is to contribute positively to the field of postsecondary education.

Finally, this Code is a living document that must change and be shaped as the practice of institutional research continues
to evolve and develop.

Thanks and acknowledgement to the American Statistical Association, the National Association of Professional Geriatric
Care Managers, the National Association of Social Workers and to the members of the Association for Institutional
Research who commented on and contributed to this revision of the Code

SECTION I - COMPETENCE

I (a) Claims of Competence. The institutional researcher shall not, in job application, resume, or the ordinary conduct of
affairs, claim or imply a degree of competency he/she does not possess.

I (b) Acceptance of Assignments. The institutional researcher shall not accept assignments requiring competencies
he/she does not have and for which he/she cannot effectively rely upon the assistance of colleagues, unless the
supervisor has been adequately apprised or unless he/she would acquire the necessary competence prior to doing the
research. Institutional researchers should use methodologies or techniques that are new to them only after appropriate
study, training, consultation, and supervision from people who are competent in those methodologies or techniques.

I (c) Training of Subordinates. The institutional researcher shall provide subordinates with opportunities for professional
growth and development.
I (d) Professional Continuing Education. The institutional researcher has the responsibility to develop his/her own
professional skills, knowledge, and performance and to keep abreast of changes in the field.

SECTION II - PRACTICE

II (a) Objectivity.

i) Unbiased Attitude. The institutional researcher shall approach all assignments with an unbiased attitude and
strive to gather evidence fairly and accurately.
ii) Conflicts of Interest. The institutional researcher should be particularly sensitive to avoid personal conflicts of
interest when performing services.

II (b) Use of Accepted Technical Standards. The institutional researcher shall conduct all tasks in accordance with
accepted technical standards.

II (c) Initial Discussions. Before an assignment is begun, the institutional researcher shall clarify with the sponsor and/or
major users the purposes, expectations, strategies, and limitations of the research.

i) Special care shall be taken to recommend research techniques and designs that are appropriate to the
purposes of the project.
ii) Special care shall be taken to advise the sponsor and/or major users, both at the design phase and, should
the occasion arise, at any time during the execution of the project, if there is reason to believe that the strategy
under consideration is likely to fail or to yield substantially unreliable results.

II (d) Identification of Responsibility. The institutional researcher shall accept responsibility for the competent execution
of all assignments which he/she, or a subordinate, undertakes, and shall display individual and/or office authorship, as
appropriate, on all such reports.

II (e) Quality of Secondary Data. The institutional researcher shall exercise reasonable care to ensure the accuracy of
data gathered by other individuals, groups, offices, or agencies on which he/she relies, and shall document the sources
and quality of such data.

II (f) Reports. The institutional researcher shall ensure that all reports of projects are complete; are clearly written in
language understandable to decision-makers; fully distinguish among assumptions, speculations, findings, and
judgments; employ appropriate statistics and graphics; adequately describe the limitations of the project, of the analytical
method, and of the findings; and follow scholarly norms in the attribution of ideas, methods, and expression and in the
sources of data.

II (g) Documentation. The institutional researcher shall document the sources of information and the process of analysis
in each task in sufficient detail to enable a technically qualified colleague to understand what was done and to verify that
the work meets all appropriate standards and expectations.

SECTION III - CONFIDENTIALITY

III (a) Atmosphere of Confidentiality. The institutional researcher shall establish clear guidelines about confidentiality
issues within the institutional research office.

III (b) Storage and Security. The institutional researcher shall organize, store, maintain, analyze, transfer and/or dispose
of data under his/her control in such a manner as to reasonably prevent loss, unauthorized access, or divulgence of
confidential information.

III (c) Release of Confidential Information. The institutional researcher shall permit no release of information about
individual persons that has been guaranteed as confidential, to any person inside or outside the institution except in those
circumstances in which not to do so would result in clear danger to the subject of the confidential material or to others; or
unless directed by competent authority in conformity with a decree of a court of law.

III (d) Special Standards for Data Collection.

i) Balancing Privacy Risks Against Benefits. The institutional researcher shall, at the design stage of any
project, thoroughly explore the degree of invasion of privacy and the risks of breach of confidentiality that are
involved in the project, weigh them against potential benefits, and make therefrom a recommendation as to
whether the project should be executed, and under what conditions.
 ii) Developing Specific Guidelines. Where appropriate, the institutional researcher shall adopt a written
description of any specific steps beyond the regular guidelines within the institutional research office that are
necessary during a specific assignment to ensure the protection of aspects of privacy and confidentiality that
may be at specific risk.
iii) Disclosure of Rights. The institutional researcher shall ensure that all subjects are informed of their right of
refusal and of the degree of confidentiality with which the material that they provide will be handled, including
where appropriate, the implications of any freedom of information statute. Any limits to confidentiality should be
made clear.
iv) Apprisal of Implications. The institutional researcher shall apprise institutional authorities of the implications
and potentially binding obligations of any promise to respondents regarding confidentiality and shall obtain
consent from such authorities where necessary.

SECTION IV - RELATIONSHIPS TO THE COMMUNITY

IV (a) Equal Treatment. The institutional researcher shall promote equal access and opportunity regarding employment,
services, and other activities of his/her office, without regard to race, creed, gender, national origin, disability or other
accidental quality; and in analysis, demeanor, and expression shall be alert to the sensitivities of groups and individuals.

IV (b) Development of Local Codes of Ethics. The institutional researcher should develop and promulgate a code of
ethics specific to the mission and tasks of the institutional research office and should strive to cooperate with fellow
practitioners in the institution in developing an institution-wide code of ethics governing activities in common. The
institutional researcher should take reasonable steps to ensure that his/her employers are aware of ethical obligations as
set forth in the AIR Code of Ethics and of the implications of those obligations for work practice.

IV (c) Custody and Archiving. The institutional researcher shall apply all reasonable means to prevent irrevocable loss
of data and documentation during its immediately useful life; and, being aware of the role of data as institutional historic
resource, shall act as an advocate for its documentation and systematic permanent archiving.

IV (d) Assessment of Institutional Research. The institutional researcher shall develop and implement regular
assessment tools for the evaluation of institutional research services.

IV (e) Institutional Confidentiality. The institutional researcher shall maintain in strict confidence and security all
information in his/her possession about the institution or any of its constituent parts which by institutional policy is
considered to be confidential, and shall pursue from Section III of this Code all processes for that purpose as are
appropriate.

IV (f) Integrity of Reports. The institutional researcher shall make efforts to anticipate and prevent misunderstandings
and misuse of reports within the institution by careful presentation and documentation in original reports, and by diligent
follow-up contact with institutional users of those reports. If an institutional research report has been altered, intentionally
or inadvertently, to the degree that its meaning has been substantially distorted, the institutional researcher shall make
reasonable attempts to correct such distortions and/or to insist that institutional research authorship be removed from the
product.

IV (g) External Reporting. The institutional researcher has an obligation to the broader community to submit and/or
report accurate data and professionally responsible interpretive material when requested by legitimate authority, including
federal, state, and other governmental agencies and accrediting bodies. With respect to private inquiries, such as those
from guidebook editors, journalists, or private individuals, the institutional researcher, should he/she respond, is bound by
the same standards of accuracy, confidentiality, and professionally responsible interpretation.

SECTION V - RELATIONSHIPS TO THE CRAFT

V (a) Research Responsibilities.

i) The institutional researcher shall seek opportunities to contribute to and participate in research on issues
directly related to the craft and in other professional activities, and shall encourage and support other
colleagues in such endeavors.
ii) Acknowledging Credit. Institutional researchers should take responsibility and credit, including authorship
credit, only for work they have actually performed and to which they have contributed. They should honestly
acknowledge the work of and the contributions made by others.

V (b) Integrity of the Profession. The institutional researcher should work toward the maintenance and promotion of high
standards of practice.
 i) Institutional researchers should uphold and advance the values, ethics, knowledge, and mission of the
profession. They should protect, enhance, and improve the integrity of the profession through appropriate study
and research, active discussion, and responsible criticism of the profession.
ii) Institutional researchers should contribute to the knowledge base and share with colleagues their knowledge
related to practice, research, and ethics. They should seek to contribute to the profession’s literature and to
share their knowledge at professional meetings and conferences.

V (c) False Accusations. Institutional researchers shall take care not to falsely demean the reputation or unjustly or
unfairly criticize the work of other institutional researchers.

V (d) Incompetence of Colleagues. Institutional researchers who have direct knowledge of a colleague’s incompetence
should consult with that colleague when feasible and assist the colleague in taking remedial action.

V (e) Unethical Conduct of Colleagues.

i) The institutional researcher shall take appropriate measures to discourage, prevent, identify, and correct
unethical conduct of colleagues when their behavior is unwittingly or deliberately in violation of this code or of
good general practice in institutional research.
ii) Institutional researchers who believe that a colleague has acted unethically should seek resolution by
discussing their concerns with the colleague when feasible and when such a discussion is likely to be
productive.

Adopted by AIR membership 12/18/92

Updates Approved by the AIR Board 12/14/01

Code of ethics-2

A code of ethics is a set of statements about appropriate and expected behaviour of members of a professional group and, as such, reflects
its values.

The Early Childhood Australia Code of Ethics was first developed in 1990 by a national working party, with considerable input from the early
childhood field. The 2003-06 Code of Ethics Agenda resulted in a new Code of Ethics, which was endorsed at Early Childhood Australia's
National Council meeting in September 2006.

Preamble

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Wise moral decisions will always acknowledge our interdependency; our moral choices are ours alone, but they bind us all to those who will
be affected by them. So deciding for yourself what's right or wrong does not mean deciding in isolation' (Mackay, 2004, p. 242).

This Code of Ethics provides a framework for reflection about the ethical responsibilities of early childhood professionals. Following a
national process of consultation, principles emerged which are indicative of the values we share as early childhood professionals in
Australia. The Code is intended for use by all early childhood professionals who work with or on behalf of children and families in early
childhood settings.

In developing this second edition of Early Childhood Australia's Code of Ethics, the national working party was mindful of changes in the
knowledge base of early childhood that have occurred over the last decade. New research has allowed significant changes in
understandings to emerge that reposition children as citizens with entitlements and rights. Increasingly, children are seen as competent and
capable and able to participate in the negotiation of their learning and social experiences. Additionally, societal and environmental changes
at the local, national and global levels impact on children and families with consequent implications for our work. In recognition of the
impact of globalisation and global sustainability, this revised Code identifies ethical responsibilities to work with children and families in
order to address global issues locally.

Just as the world has changed for children and families, so it has changed for professionals who work with them. The notion of lifelong
learning, reflective practice, researching with children, new methods of documenting and assessing children's learning, and collaborating
across traditional service and discipline boundaries are examples of contemporary requirements for early childhood professionals.

Inherent in this Code is the understanding that children learn within their family and community groups, bringing rich knowledge, a diversity
of experiences and identities to their learning. Sociocultural theories have moved our focus beyond individual children's development to
highlight the importance of social contexts to children's learning and development. As children participate and learn in their communities,
they in turn influence those communities. Early childhood communities ought to be spaces and places where practices such as responsive
listening and dialogue can build connections and relationships which sustain and advance individual and collective wellbeing.

Early childhood professionals have a strong history of advocating on behalf of children and their families. This revised Code builds on this
tradition by making explicit the ethical responsibility to take action in the face of injustice and when unethical practice occurs.

This Code is not intended to, and could not possibly provide easy answers, formulae, or prescriptive solutions for the complex issues early
childhood professionals face in their work. As an aspirational document, it does provide a basis for critical reflection, a guide for
professional behaviour, and principles to inform individual and collective decision-making.

The following values and processes are considered central to the Code of Ethics:

• respect
• democracy
• honesty
• integrity
• justice
• courage
• inclusivity
• social and cultural responsiveness
• education.

Definitions

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In this Code of Ethics, for the purposes of this document, these terms are given the following meanings:

Children — People between the ages of birth and eight years.

Families — The people who have significant care responsibilities for and/or kinship relationships with the child.
Early Childhood Professional — A person who works with or on behalf of children and families in early childhood settings.
Communities — Groups of people who identify as having shared values and intentions. These groups are recognised as complex, being
simultaneously connected by commonality and diversity.
Employer — An individual or organisation which employs early childhood professionals.
Student — A person undertaking study at a secondary or tertiary institution.

Early Childhood Australia Code of Ethics

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In this Code of Ethics the protection and wellbeing of children is paramount and therefore speaking out or taking action in the presence of
unethical practice is an essential professional responsibility.

I. In relation to children, I will:

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1. Act in the best interests of all children.

2. Respect the rights of children as enshrined in the United Nations Convention on the Rights of the Child (1991) and commit to
advocating for these rights.
3. Recognise children as active citizens participating in different communities such as family, children's services and schools.
4. Work with children to help them understand that they are global citizens with shared responsibilities to the environment and
humanity.
5. Respect the special relationship between children and their families and incorporate this perspective in all my interactions with
children.
6. Create and maintain safe, healthy environments, spaces and places, which enhance children's learning, development,
engagement, initiative, self-worth, dignity and show respect for their contributions.
7. Work to ensure children and families with additional needs can exercise their rights.
 8. Acknowledge the uniqueness and potential of all children, in recognition that enjoying their childhood without undue pressure is
important.
9. Acknowledge the holistic nature of children's learning and the significance of children's cultural and linguistic identities.
10. Work to ensure children are not discriminated against on the basis of gender, age, ability, economic status, family structure,
lifestyle, ethnicity, religion, language, culture, or national origin.
11. Acknowledge children as competent learners, and build active communities of engagement and inquiry.
12. Honour children's right to play, as both a process and context for learning.

II. In relation to families, I will:

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1. Listen to and learn from families, in order to acknowledge and build upon their strengths and competencies, and support them
in their role of nurturing children.
2. Assist each family to develop a sense of belonging and inclusion.
3. Develop positive relationships based on mutual trust and open communication.
4. Develop partnerships with families and engage in shared decision making where appropriate.
5. Acknowledge the rights of families to make decisions about their children.
6. Respect the uniqueness of each family and strive to learn about their culture, structure, lifestyle, customs, language, beliefs and
kinship systems.
7. Develop shared planning, monitoring and assessment practices for children's learning and communicate this in ways that
families understand.
8. Acknowledge that each family is affected by the community contexts in which they engage.
9. Be sensitive to the vulnerabilities of children and families and respond in ways that empower and maintain the dignity of all
children and families.
10. Maintain confidentiality and respect the right of the family to privacy.

III. In relation to colleagues, I will:

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1. Encourage my colleagues to adopt and act in accordance with this Code, and take action in the presence of unethical
behaviours.
2. Build collaborative relationships based on trust, respect and honesty.
3. Acknowledge and support the personal strengths, professional experience and diversity which my colleagues bring to their
work.
4. Make every effort to use constructive methods to manage differences of opinion in the spirit of collegiality.
5. Share and build knowledge, experiences and resources with my colleagues.
6. Collaborate with my colleagues to generate a culture of continual reflection and renewal of high quality practices in early
childhood.

IV. In relation to communities, I will:

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1. Learn about the communities that I work within and enact curriculum programs which are responsive to those contexts and
community priorities.
2. Connect with people, services and agencies within the communities that support children and families.
3. Promote shared aspirations amongst communities in order to enhance children's health and wellbeing.
4. Advocate for the development and implementation of laws and policies that promote child-friendly communities and work to
change those that work against child and family wellbeing.
5. Utilise knowledge and research to advocate for universal access to a range of high-quality early childhood programs for all
children.
6. Work to promote community understanding of how children learn in order that appropriate systems of assessment and reporting
are used to benefit children.

V. In relation to students, I will:

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1. Afford professional opportunities and resources for students to demonstrate their competencies.
2. Acknowledge and support the personal strengths, professional knowledge, diversity and experience which students bring to the
learning environment.
3. Model high-quality professional practices.
 4. Know the requirements of the students' individual institutions and communicate openly with the representatives of that
institution.
5. Provide ongoing constructive feedback and assessment that is fair and equitable.
6. Implement strategies that will empower students to make positive contributions to the workplace.
7. Maintain confidentiality in relation to students.

VI. In relation to my employer, I will:

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1. Support workplace policies, standards and practices that are fair, non-discriminatory and are in the best interest of children and
families.
2. Promote and support ongoing professional development within my work team.
3. Adhere to lawful policies and procedures and when there is conflict, attempt to effect change through constructive action within
the organisation or seek change through appropriate procedures.

VII. In relation to myself as a professional, I will:

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1. Base my work on contemporary perspectives on research, theory, content knowledge, high quality early childhood practices
and my understandings of the children and families with whom I work.
2. Regard myself as a learner who undertakes reflection, critical self-study, continuing professional development and engages with
contemporary theory and practice.
3. Seek and build collaborative professional relationships.
4. Acknowledge the power dimensions within professional relationships.
5. Act in ways that advance the interests and standing of my profession.
6. Work within the limits of my professional role and avoid misrepresentation of my professional competence and qualifications.
7. Mentor other early childhood professionals and students.
8. Advocate in relation to issues that impact on my profession and on young children and their families.
9. Encourage qualities and practices of leadership within the early childhood profession.

VIII. In relation to the conduct of research, I will:

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1. Recognise that research includes my routine documentation and investigations of children's learning and development, as well
as more formal research projects undertaken with and by external bodies.
2. Be responsive to children's participation in research, negotiating their involvement taking account of matters such as safety,
fatigue, privacy and their interest.
3. Support research to strengthen and expand the knowledge base of early childhood, and where possible, initiate, contribute to,
facilitate and disseminate such research.
4. Make every effort to understand the purpose and value of proposed research projects and make informed decisions as to the
participation of myself, colleagues, children, families and communities.
5. Ensure research in which I am involved meets standard ethical procedures including informed consent, opportunity to withdraw
and confidentiality.
6. Ensure that images of children and other data are only collected with informed consent and are stored and utilised according to
legislative and policy requirements.
7. Represent the findings of all research accurately.