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Professionalism and ethics in the computing occupation Murray, Thomas A. 1975

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PROFESSIONALISM AND ETHICS IN THE COMPUTING OCCUPATION by Thomas A. Murray B.S., L o w e l l T e c h n o l o g i c a l I n s t i t u t e , 1969 A THESIS SUBMITTED IN PARTIAL FULFILLMENT OF THE REQUIREMENTS FOR THE DEGREE OF MASTER OF SCIENCE i n t h e Department of Computer S c i e n c e We accept t h i s t h e s i s as c o n f o r m i n g t o t h e r e q u i r e d s t a n d a r d . The U n i v e r s i t y o f B r i t i s h Columbia August, 1975 In present ing th is thes is in p a r t i a l fu l f i lment o f the requirements for an advanced degree at the Un ivers i ty of B r i t i s h Columbia, I agree that the L ibrary sha l l make it f ree ly ava i l ab le for reference and study. I fur ther agree that permission for extensive copying of th is thes is for scho la r ly purposes may be granted by the Head of my Department or by h is representa t ives . It is understood that copying or pub l i ca t ion of th is thes is for f i nanc ia l gain sha l l not be allowed without my wri t ten permission. Department of Cj^A^pt/x^^r Q The Univers i ty of B r i t i s h Columbia 2075 Wesbrook Place Vancouver, Canada V6T 1W5 Date ^7 OCT- IV i i ABSTRACT T h i s study i s concerned with the development of p r o f e s s i o n a l conduct and e t h i c a l codes i n the computing f i e l d . An i n q u i r y i s made i n t o the general s t r u c t u r e of p r o f e s s i o n a l o r g a n i z a t i o n s and the idea of p r o f e s s i o n a l i z a t i o n . E t h i c a l codes of some professions are examined f o r t h e i r content as wel l as t h e i r r o l e i n the development and the i d e n t i t y of the p r o f e s s i o n a l s o c i e t y . T h i s , i n t u r n , i s r e l a t e d to the p r i n c i p a l computer s o c i e t i e s of the western world, and to t h e i r progress i n p r o f e s s i o n a l i z a t i o n and development of e t h i c a l codes. The computing pr o f e s s i o n s are found to f o l l o w a t y p i c a l pattern of p r o f e s s i o n a l development. Table of Contents INTRODUCTION 1 1. SOFTWARE ENGINEERING AND COMPUTER SCIENCE 2 1.1 Occupations in the Computing Field 2 1.2 Emergence of Professions 3 1.3 Defining a Profession; Professionalization 5 1.4 A Critigue of Professionalization 8 1.5 Sociological Distinction of Science 11 1.6 Situating Computer Science and Software Engineering 15 2. CODES OF ETHICS AND PROFESSIONAL PRACTICE 25 2.0 Introduction 25 2.1 Some Histories and Motivatio ns of Professional Codes 26 2.2 Examples of Codes of Some Professions 28 2.3 Enforcement of Codes of Ethics 37 2.4 Licensing of Professionals 43 2.5 Science and a Code of Ethics 44 3. CODES OF ETHICS IN THE COMPUTING PROFESSION 46 3.1 Histor ical Development of Codes in the Computing Profession 46 3.2 Development of the ACM Code of Professional Conduct 47 3.2.1 Issues Regarding the ACM Code 50 3.3 Developments in the Brit ish Computer Society 55 3.3.1 Issues Concerning the BCS Code 58 3.4 Developments in the Australian Computer Society 60 3.5 Developments in the Canadian Information Processing Society 63 3.6 The Content of the ACM and BCS Ethical Codes 65 3.6.1 Structure of the Codes 65 3.6.2 Comparison of Codes 67 3.7 Disciplinary Procedures in the ACM and the BCS 71 3.8 Conclusion 72 BIBLIOGRAPHY 74 APPENDIX I 85 APPENDIX II 87 APPENDIX III 91 ACKNOWLEDGEMENTS Acknowledgement i s made to Abbe Mowshowitz for his primary guidance in this undertaking; to Dr. J.M. Kennedy, Peter VandenBosch, and Michael Gorlick for their comments; to Alan Ballard, for his role in helping me understand the nature of software engineering. V Those who would have good government without i t s co r r e l a t i v e misrule, and right without i t s c o r r e l a t i v e wrong, do not understand the p r i n c i p l e s of the universe. - Chuang-tzu I hold everyman debtor to his profession from the which as men do of course seek to receive countenance and p r o f i t so ought they of duty to endeavour themselves by way of amends to be a help and an ornament thereunto. - Francis Bacon I believe that by the very nature of their a c t i v i t y the technological i n t e l l i g e n t s i a do not in t e r f e r e i n the more complicted spheres of s o c i a l l i f e , namely i n ideology. - Nikita Krushchev 1 INTRODUCTION To provide a context for the investigation of codes of ethics of the major computing s o c i e t i e s , we w i l l begin with a study of the general nature of professional s o c i e t i e s . He w i l l pay special attention to the process of p r o f e s s i o n a l i z a t i o n , because the development of e t h i c a l standards, written . and unwritten, are an i n t r i n s i c part of t h i s process. In the second chapter, we w i l l discuss matters related to e t h i c a l concerns that are pertinent to a l l professional s o c i e t i e s : h i s t o r i c a l development of codes of ethics; the motivations f o r the development of e t h i c a l codes; the content of the codes; and means of enforcement. The f i n a l chapter consists of a detailed investigation of codes of ethics proposed by major computer s o c i e t i e s in the U.S.A., Great B r i t a i n , Canada and Australia. The computing so c i e t i e s of these countries are developing e t h i c a l codes, and guidelines for professional conduct. E x i s t i n g e t h i c a l codes w i l l be examined both for t h e i r content and their s o c i a l implications. He w i l l also consider whether the codes address themselves to issues important to the development of either the profession or of i t s s o c i a l consciousness. The e f f o r t s of these s o c i e t i e s represent the most advanced state of development of such codes by the computing s o c i e t i e s of the western world. The s o c i e t i e s examined are unquestionably the most s i g n i f i c a n t i n their respective countries. However, the s i t u a t i o n i n Japan has not been investigated, although i t i s a country whose culture i s connected to that of the Hest. 2 1. SOFTWARE ENGINEERING AND COMPUTER SCIENCE 1.1 Occupations i n the Computing F i e l d It i s clear that there exists a s i g n i f i c a n t e f f o r t i n the production and use of computer software. Total software costs i n the U.S. f o r 1972 have been estimated to exceed ten thousand mi l l i o n d o l l a r s , or 1% of the gross national product of the United States f o r that year. [15 3 i t has also been estimated that there were 180,000 f u l l - t i m e programmers i n the U.S. in 1973 [18] and almost twice that number of f u l l - t i m e computer operators. [16 ] The people involved in t h i s software e f f o r t may be considered to be those who make up the "computing occupation". This occupation can be broken down int o several categories: 1. programmers, analysts, designers, etc., working i n commercial, research, university, and government i n s t a l l a t i o n s , either as employees or as contractors; 2. researchers, teachers, graduate students, and research assistants in the same types of i n s t a l l a t i o n s , but distributed i n d i f f e r e n t proportions among them; 3. managers and administrators who are in a close working relat i o n s h i p with the above groups and who are somewhat f a m i l i a r with what programming i s ; and 4. operators, keypunchers, and other support personnel whose job c l a s s i f i c a t i o n i s t i e d to the direct presence or use of a computer. 1 . 1 3 Among these groups i n the computing occupation, the f i r s t may be singled out as a professional group. The attempt i n t h i s chapter w i l l be to show that t h i s group, consisting of programmers and others, has the c h a r a c t e r i s t i c s of a profession at l e a s t to the degree that normally warrants such a c l a s s i f i c a t i o n . The second group in the occupation, which may be i d e n t i f i e d as the s c i e n t i f i c arm of computing, must also be considered i n a general setting. A s o c i o l o g i c a l basis f o r the reasons to distinguish i t from the professional arm (or, as a loose synonym, the engineering arm) w i l l be proposed. We w i l l discuss e t h i c a l standards of the professional group, as well as why a s c i e n t i f i c group may not be expected to form a code of ethics. 1.2 Emergence of Professions Carr-Saunders and Wilson £ 1 , pp. 289-294] provide a history of the professions. They describe a s i g n i f i c a n t movement toward associations that began i n continental Europe in the eleventh century, and l a t e r spread to England; some of these associations were formed around the performance of s p e c i a l i z e d functions. The oldest professions of the clergy, law and medicine were formed at t h i s time. The banding together of teachers and students led to the founding of u n i v e r s i t i e s . The u n i v e r s i t i e s subsequently came under the control of the church, and, as they were the places of tr a i n i n g for spe c i a l i z e d vocations, lawyers, 1.2 4 physicians, and c i v i l servants were also members of the clergy. As these professions evolved, they became free of the church; such was the case of the lawyers i n B r i t a i n i n the mid-thirteenth century. Other professions that evolved from the guilds had been at no time under the aegis of the church. As a res u l t of the receding power of the church i n England, a l l of the professions except teaching had been secularized by the end of the sixteenth century. Although the guilds have disappeared, groups that were o r i g i n a l l y guilds, such as the surgeons and apothecaries, have carried their i d e n t i t y i n t o modern times as professions. The c l a s s i c a l professions formed i n t h i s period r e t a i n an image to t h i s day of being the only groups that are properly considered as professions. The impression of such organizations as gentlemen's clubs derives from th e i r o r i g i n s , as Drinker [38, p. 37] has noted i n the case of the l e g a l profession. But t h i s gentleman image i s properly associated only with professions prior to the i n d u s t r i a l revolution, as noted by Carr-Saunders and Wilson [ 1 ] and Vollmer and M i l l s [ 9 ] , In the e a r l i e r phases of the i n d u s t r i a l revolution, the inventor led the way i n founding new c r a f t s upon which professions were b u i l t . These c r a f t s took advantage of the concurrent advance of science. As the foundations of science became stronger, the engineering professions developed out of these c r a f t s . The advancement of these technical s k i l l s i n turn made large scale i n d u s t r i a l i z a t i o n possible, which further created the need for other special services, such as accounting, s e c r e t a r i a l services, and systems of banking and insurance. None of these 1 .2 5 l a t t e r professions i s characterized by a d i r e c t dependance on science - one element which distinguishes them from engineering. Thus, the professions played an important role i n the shape of the i n d u s t r i a l revolution, although the c a p i t a l i s t , as t h e i r benefactor, i s probably the key figure. Looking to the future, one s o c i o l o g i s t , Emile Durkheim [ 3 ] , has predicted increasing importance of the professions; he sees the p o s s i b i l i t y of the "corporations" (professions) replacing t e r r i t o r i a l groups as the "elementary d i v i s i o n [ s ] of the state" as "They would be a more f a i t h f u l picture of the s o c i a l l i f e i n i t s e n t i r e t y . " 1.3 Defining a Profession; Professionalization The professions may be divided into three evolutionary groups. The most t r a d i t i o n a l are law, medicine, and the clergy. Then there are the professions founded on the p r a c t i c a l applications of science, e.g., the engineering professions. F i n a l l y , there are the professions that arose to meet the needs of the i n d u s t r i a l revolution but whose techniques are not founded i n science. 1 The standard view of the maturation of professions as given by Vollmer and M i l l s [9, p. 2] i s : • "...when we look at a diverse sampling of occupational groups, we f i n d that many are assuming, at l e a s t i n rudimentary , form, some of the c h a r a c t e r i s t i c s commonly attributed to the t r a d i t i o n a l professions. Furthermore, we fi n d that many groups usually considered within the context 1 For reasons discussed l a t e r , t h i s presentation does not consider s c i e n t i s t s as a professional group; t h i s i s a r e s u l t of the d e f i n i t i o n of a profession that w i l l be used. 1.3 6 of the t r a d i t i o n a l professions f a l l short of the professional model in s i g n i f i c a n t respects. Therefore, i t seems more useful to describe the c h a r a c t e r i s t i c s of occupational i n s t i t u t i o n s i n terms of the concept E£2fessionalization [emphasis i n o r i g i n a l ] , assuming that many, i f not a l l , occupations may be placed on a continuum between the i d e a l type "profession" at one end and completely unorganized professional categories, or "non-professions", at the other end. Professionalization i s a process, then, that may a f f e c t any occupation to a greater or lesser degree." Summaries of the c h a r a c t e r i s t i c s of the professions are given by Cogan [2], Greenwood [41], and Goode [42]. On the basis of these, professions may be said to have the following distinguishing c h a r a c t e r i s t i c s : (i) A . p r a c t i c a l l y applied technique based on a systematized body of knowledge, a f a c i l i t y in which . i s required of p r a c t i t i o n e r s but i s not expected of laymen. ( i i ) Mechanisms for the control of training and entrance requirements of aspirant professionals, and for maintaining the technical competence of i t s members. ( i i i ) Respected standing in the community, which sanctions both i t s role in the t r a i n i n g and d i s c i p l i n e of i t s members, and i t s a b i l i t y to be s e l f - p o l i c i n g i n the area of incompetent, unethical, or unprofessional behavior of i t s members. (iv) Formal statements of i t s rules of professional behavior and e t h i c a l conduct. These codes also serve as instruments of self-perpetuation of the profession. (v) A service orientation, sometimes with an a l t r u i s t i c content, the intent of which may be anything from blatant status seeking to a sincere desire to provide an e s s e n t i a l service to the community.1 (vi) & professional culture, as discussed by Greenwood, whose values, norms, and symbols distinguish i t from the other professions. In addition to the above there has emerged a modern day concern for the s o c i a l r e s p o n s i b i l i t y of a profession and i t s members. Although t h i s a t t r i b u t e i s not usually stated by 1 Noting, however, "While the service ethic may be an important part of the i d e o l o g i c a l role of many professional groups, i t i s not so clear. that the practitoners are necessarily so motivated." [4, p. 25] 1.3 7 so c i o l o g i s t s to be one of the defining elements of a profession, i t i s nonetheless assuming a s a l i e n t position among the concerns of some contemporary professional organizations. Even with the device of pro f e s s i o n a l i z a t i o n being used, there would seem to be some inadequacy i n the a b i l i t y to characterize the evolution and ide n t i t y of professions. For instance, professionalization i s assumed i n most authors 1 presentations to have an inevitable dynamic g u a l i t y , which predicts that an occupation at the completely non-professional end of the continuum w i l l naturally evolve, at however slow a. rate, to a t r a d i t i o n a l l y professionalized type. In s p e c i f i c cases t h i s i s hard to foresee; one might asx i f a sp e c i a l i z e d body of knowledge, for instance, w i l l ever be e s s e n t i a l to the functioning of the members of a,labor union composed of manual workers. Cogan [2] has suggested that the "confusion" i n defining a profession "...appears to derive in large part from the d i f f i c u l t y of communicating ideas when a single term [profession] i s used to reference disparate referents*" Three di f f e r e n t l e v e l s of d e f i n i t i o n are suggested: (1) H i s t o r i c a l and lexic o g r a p h i c a l : Defining a profession in terms of the attributes of the t r a d i t i o n a l profession. (This i s the type of d e f i n i t i o n that has been used i n the preceding.) (2) Persuasive d e f i n i t i o n s : Redirecting the attitudes of the members of the profession to convince them of the necessity of maintaining, high educational and e t h i c a l standards. (3) Operational d e f i n i t i o n s : These "...are guidelines f o r the p r a c t i t i o n e r as he faces the day-to-day decisions of his work. They are, for example, the rules of professional conduct; they mediate the prac t i t i o n e r ' s r e l a t i o n s to his c l i e n t , to his colleagues, to the public, to his association. They set forth the s p e c i f i c c r i t e r i a of general and s p e c i a l education for the professional, the requirements for admission to practice, the standards for 1.3 8 competent service." However, one should note that these d e f i n i t i o n s are usually c h a r a c t e r i s t i c of the type of group that i s represented by the person proposing them. The f i r s t i s the s o c i o l o g i s t ' s view; the second i s often the product of spokesmen of the more established professions, and r e f l e c t s the desire for preservation of a power status of the profession; the t h i r d i s the concern of a l l professions. Examples of the t h i r d are to be found i n the American Bar Association's Codes of Professional Responsibility [28] and a book-length c o l l e c t i o n of hypothetical case studies of professional conduct, based on the codes of the engineering profession. [27] It i s not clear that by the statement of these d e f i n i t i o n s any confusion (inadequacy or ambiguity might have been a better word) has been removed; the reader not aware of the t y p i c a l sources of these d e f i n i t i o n s would be l e f t with a f a l s e impression of the subject. One further element of professionalization w i l l be proposed in Section 2.3. 1.4 A Critique of Professionalization The preceeding section has presented a summary of the most common view of professions as s o c i a l groups that i s to be found in the l i t e r a t u r e . A c r i t i q u e of these views i s given by Johnson [ 4 ] , revealing weaknesses in these d e f i n i t i o n s which the reader may already have noticed. Johnson subeguently provides an 1.4 9 alternative framework fo r the discussion of the professions. His own summary i s : "[W]e have concluded that the concept of profe s s i o n a l i s a t i o n and i t s end-state, professionalism, are based upon models which are an abstraction from the core •elements' which are most f u l l y exhibited by the 'true* professions. This approach has been supplemented i n the l i t e r a t u r e by a f u n c t i o n a l i s t model which stresses the functional value of professional a c t i v i t y for a l l groups and classes i n society and i n so doing excludes from consideration the power dimension, which i n turn suggests possible variations in the i n s t i t u t i o n a l i s e d forms of control of occupational a c t i v i t i e s . Neither approach i s l i k e l y to provide the means of analysing r e a l variations i n the organisation of occupations in c u l t u r a l l y and h i s t o r i c a l l y d i s t i n c t s o c i e t i e s . The concept of professionalisation i t s e l f i s a straight-jacket imposing a view of occupational development which i s uniform between cultures and u n i l i n e a l in character. As a concept i t does not provide the means by which we might i d e n t i f y the s t r u c t u r a l bases for variations i n occupational control, except insofar as they are deviant from the expected progression towards professionalism. F i n a l l y , a major weakness of attempts to derive t h e o r e t i c a l statements about professional occupations has been the confusion which exists over what the object of study actually i s - an occupational a c t i v i t y or the i n s t i t u t i o n a l i s e d form of control of such an a c t i v i t y . In accepting the professions' own d e f i n i t i o n s of themselves, s o c i o l o g i s t s have tended to accept that a peculiar i n s t i t u t i o n a l i s e d form of control i s the e s s e n t i a l [emphasis i n o r i g i n a l ] condition of such an occupation rather than being a peculiar h i s t o r i c a l product which can be said to have existed for a very short period and was a product of the s p e c i f i c h i s t o r i c a l conditions of nineteenth-century Anglo-American culture." This c r i t i q u e i s based on what Johnson believes to be a serious omission from most theories of p r o f e s s i o n a l i z a t i o n : "[I]n attempting to reconcile the inconsistent interpretations of the s o c i a l role of the professions, the theory of professionalisation has excluded... the attempt to understand professional occupations i n terms of t h e i r power rela t i o n s i n society - t h e i r sources of power and authority and the ways i n which they use them." Johnson presents a typology through which we "...may eradicate the l i m i t i a t i o n s inherent in the view that a l l 1.4 10 occupations may be placed on a single continuum and are developing toward a uniform end s t a t e . " 1 Noting that there i s an " i r r e d u c i b l e but variable minimum of uncertainty i n the producer-consumer relationship, and, depending on the degree of t h i s indeterminancy and the s o c i a l s t r u c t u r a l context, various i n s t i t u t i o n s w i l l arise to reduce t h i s uncertainty"; and that "Power rela t i o n s h i p s w i l l determine whether uncertainty i s reduced at the expense of the producer or the consumer", he describes "three broad resolutions of the tension existing i n the producer consumer rel a t i o n s h i p " : 1. Collegiate c o n t r o l , in which the producer defines the needs of the consumer and the manner i n which these needs are catered f o r . Subtypes are professionalism, as normally described f o r a mature profession, and the guild system. 2. Patronage, and communal con t r o l , i n which the consumer defines his own needs and the manner in which they are to be met. Subtypes of patronage include o l i g a r c h i c patronage, such as when there i s an a r i s t o c r a t i c patron or oligarchy as the major consumer; and corporate patronage, as i s the s i t u a t i o n of accountancy i n present day industries. Communal control i s exemplified by the current a c t i v i t y i n consumer p o l i t i c s . 3. Mediative, i n which a t h i r d party mediates i n the r e l a t i o n s h i p between the producer and the consumer, defining both the needs and the manner i n which the needs are to be met. Forms of t h i s include capitalism and state mediation. We s h a l l f i n d Johnson's c r i t i q u e of value in l a t e r treatments of the character of occupations, including the computing occupations. 1 As he presents the typology, he uses the phrase " i n a more developed form" at one spot where he i s apparently presenting the beginnings of what he intends to be a more comprehensive treatment, yet to come. 1.5 1 1 1 . 5 S o c i o l o g i c a l D i s t i n c t i o n of Science S c i e n t i s t s a lso comprise occupational groups, but we should want to make some statement on whether or not they should be considered a profess ional group before proceeding to make any comparisons or contrasts of s c i e n t i s t s to other occupational groups. This could be done by determining the degree- to which science exhib i t s the a t t r ibutes of a profession as presented in Section 1 . 3 . As noted, s c i e n t i s t s are not usual ly categorized as profess ionals by the s o c i o l o g i c a l sources c i t ed i n Sections 1 . 3 and 1 . 4 , whereas engineers are invar i ab ly so c l a s s i f i e d . It i s of course not adequate to argue that s c i e n t i s t s , i n not being behaviorly i d e n t i c a l to profess ional engineers, should not be considered a profession by t h i s d i s t i n c t i o n alone. The omission of science from the category of professions i s not without bas i s , as there are to be found q u a l i t i e s of p ro fe s s iona l i za t ion that s c i e n t i s t s do not e x h i b i t , as well as basic di f ferences i n t h e i r funct ioning as a s o c i a l group vs. that of engineers. The part of the fo l lowing presentation that deals with the d i s t i n c t i o n s of s c i e n t i s t s and engineers w i l l be used to provide a t h e o r e t i c a l framework with which to character ize the current composition of the computing occupation. In descr ibing whether or not science meets cer ta in c h a r a c t e r i s t i c s of profess ional i sm, we must be sure to d i s t ingu i sh whether or not i t i s a condit ion that w i l l never be met through the process of p ro fe s s iona l i za t ion . Referring to the c r i t e r i a of professionalism given i n Section 1 . 3 , the only qua l i ty which science w i l l c l e a r l y never meet i s that i t s 1.5 12 technique must be applied i n a p r a c t i c a l manner. Application begins to occur with the applied s c i e n t i s t and the professional. I t also seems certa i n that science w i l l never develop a service attitude that i s provided on a p r a c t i t i o n e r - c l i e n t basis, nor one that i s directed to the wider community, outside of the occupation. Storer notes t h i s [ 8 , p. 16], and in f a c t , he sees i t as a basic difference between science and the other professions. He r e f e r s to science as a "non-service profession"; i t has a creative component that i s found in the other professions, but i t does not serve the needs of the layman d i r e c t l y and has a lack of concern for the u t i l i t y of i t s product. Though he acknowledges that these contentions apply only to a central core of pure researchers, he asserts that such value structures are at least p a r t i a l l y infused into the s c i e n t i s t whose work may have a p r a c t i c a l a p p l i c a t i o n . This lack of service orientation does not seem to preclude a s o c i a l conscience, however, as has been noted by the American Association for the Advancement of Science Committee on Human Welfare. [32] This may mean that the lack of interface between s c i e n t i s t s and the wider community i s diminishing, though not as a r e s u l t of the professionalization process. More l i k e l y , i t i s a r e s u l t of a form of communal control (see Section 1.4) - a reaction by the s c i e n t i s t to the demands of an increasingly informed and concerned populace, even though there exists a lag in the public's understanding of the importance of science i n the s o c i a l structure. Se have a case where the t r a d i t i o n a l discussions of professionalism would i n c o r r e c t l y describe the changes that are occurring i n some occupational groups, in t h i s 1 .5 13 case science, v i s - a - v i s the community at large. That the increasing contact of science with the community i s a process not properly described by the t r a d i t i o n a l mechanisms of professionalization provides another reason for science's f a i l u r e to s a t i s f y the d e f i n i t i o n of a profession. The fact that there i s a lack of a formally stated code of ethics f o r s c i e n t i s t s i n general, as noted by Cranberg [33], and that there are no q u a l i f i c a t i o n s exams or c e r t i f i c a t i o n or l i c e n s i n g requirements for s c i e n t i s t s , indicates also that science does not f u l l y meet the lexicographical d e f i n i t i o n of professionalism. Most importantly, there i s a fundamental difference i n the operational characterists of science that sets i t outside of the normal mold of professional groups. I t i s that the consumer-producer relationship that Johnson describes (Section 4.1) i s e n t i r e l y i n t e r n a l : the s c i e n t i s t i s both the producer and the consumer; he works within a community which both provides the product and uses and evaluates i t , with no reliance on outside sources for evaluation. The analysis for t h i s contention i s provided by Storer [8, p. 77], f o r which he cr e d i t s in large part Robert K. Merton's conceptualization of the norms of science. 1 In Storer's development, although both science and engineering are t y p i f i e d as "creative professions", they are distinguished by "the nature of the creative product" and by the 1 See for instance Merton, R.K., The Sociology of Science. Theoretical and Empirical Investigations Edited and with an introduction by Norman W. Storer, The University of Chicago Press (1973), which contains a h i s t o r i c a l trace of Merton's work and excerpts therefrom. 1.5 14 audience to which the product i s appropriately directed. A l e s s concrete product i s more reproducible, and i s thus more e a s i l y evaluated by a collegium of experts; t h i s s i t u a t i o n i s t y p i c a l of the product and s o c i a l organization of the s c i e n t i f i c community. The generation of tangible products, which . are produced for an outside group that i s not expert i n the production of the product, i s t y p i c a l of the professional function of engineers. Storer states that s c i e n t i s t s make up a self-contained s o c i a l group, and, using an exchange model of s o c i a l systems, he notes that the most important exchange commodity of s c i e n t i s t s i s professional recognition. Thus, a l l reward comes from within the s o c i a l group. By contrast, Storer does not consider engineers to make up a s o c i a l group, i n part, because they do not have an i n t e r n a l i z e d exchange commodity. The engineer does not have his colleagues evaluating his work, but s e l l s i t to a lay public. The observation that the exchange system of science i s inte r n a l i z e d leads also to the conclusion that the consumer-producer r e l a t i o n s h i p that Johnson i s concerned with would have to be completly i n t e r n a l in the case of science. This s i t u a t i o n i s one that cannot be included under any of the occupational group c l a s s i f i c a t i o n s that Johnson proposes, so we have another formalization by which science f a i l s t o meet the d e f i n i t i o n of a profession. It should be made cl e a r , nonetheless, that elements of s o c i a l behavior peculiar to science may or may not exist in the professions. Johnson [ 4 # p. 56] notes that colleague evaluation 1.5 15 e x i s t s within the c o l l e g i a t e l y controlled professional type, and that i t i s the basis for prestige within the occupation. But th i s does not mean that in such a profession the consumer-producer r e l a t i o n s h i p must be t o t a l l y i n t ernalized. So long as the profession asserts a service orientation, much of i t s behavior is directed toward that end, in d i c a t i n g a primacy of interes t in the c l i e n t as consumer. He may even doubt that technical recognition within a profession i s as important as Johnson suggests. 1.6 Situating Computer Science and Software Engineering We have now l a i d the foundation to support the contention of Section 1.1, that within the computing occupation there i s both an i d e n t i f i a b l e professional group and s c i e n t i f i c group. I t i s clear that there has evolved an engineering branch to computing, c a l l e d software engineering, as has been noted in a short history provided by Bauer ([12] and [13]), and as i s exemplified by an important early conference on the subject. [20] There i s a p a r a l l e l i n the evolution of software engineering and the other engineering professions, i n that they a l l have s c i e n t i f i c foundations. In the case of software engineering the time scale of development has been severely compressed, a s i t u a t i o n which may account i n part for the f a i l u r e of spokesmen in the f i e l d to appreciate the existence of both computer, science and software engineering. The evolution of 1.6 16 software engineering has been re f l ec ted i n the changing composition of the Associat ion for Computing Machinery, the l a rges t associat ion of workers i n computer programming and research f i e l d s in North America. Finerman [ 1 7 ] has noted that the Associat ion was o r i g i n a l l y establ i shed by and for computer s c i e n t i s t s , but that the membership i s now tending to have an incre s ing number of appl ied p r a c t i t i o n e r s . We must be care fu l to understand that we are not asking how a profession can be formed. The development of software engineering as a profession has already begun without an act of w i l l on the part of some occupational group. An occupational group does not simply turn i t s e l f in to a profess ional group, despite the claim of the current president of B r i t i s h Computer Society [99] that they have achieved just that . A process of earning respect and of i n s t i l l i n g a profess ional a t t i tude in to i t s membership must occur before the actual s o c i a l status of an establ ished profession i s achieved. The questions to be asked concerning pro fe s s iona l i za t ion in software engineering are , what i s the ro le of software engineering to be i n soc ie ty , and i n t u r n , what kind of constra ints w i l l society place on i t ? The answers to these questions w i l l be influenced by the service the profession provides and i t s consciousness of s o c i a l r e s p o n s i b i l i t y ; and the type of occupational cont ro l that w i l l be placed on i t . Underlying these questions i s the concern for what the i n t e r n a l s o c i a l s tructure of th i s new profess ional group s h a l l be; i . e . , to what degree does or w i l l i t exh ib i t the various propert ies of profes s iona l iza t ion? These l a t t e r concerns are the ones most often ra i sed by spokesmen within the 1.6 17 profession. One point to be made concerning the state of development of software engineering i s that i t has a long way yet to go to complete the process of professionalization; usually this statement i s made with some comparison to another technically based profession in mind. Such is the attitude expressed by Finerman. [17] Expressions of concern for the professional status of programmers and others are to be found among the earl iest publications of the ACM and continue to the most recent. In late 1971, the Sage and Hour Division of the U.S. Department of Labor [24] decided that in most cases computer programmers and systems analysts do not have the same occupational requirements that are typif ied by other occupations which i t regards as professions. Discriminants for this decision included whether the work i s directly related to management policies of general business operations; the discretion and independent judgement that is required of the worker; and whether or not computing is to be considered a learned profession. In the case of the computing profession in the United States, a l l of these were deemed as not being exhibited to the extent typical of other occupational groups that the Wage and Hour Division has c lass i f ied as professions. Their conclusions were based on information provided in statements made to a hearing on this matter, as presented by employer, employee, and occupational group representatives, including testimony of Halter Carlson. [16] In the time period of the publication of the Communications of the ACM there are, however, some indications of positive 1.6 18 thrusts i n the di r e c t i o n of professionalism. Notably, there was the establishment of membership standards, in a weak form, and two versions of a code of ethics. In the following we examine these and other developments i n software engineering that may be considered as professionalizing attributes, often using the ACJ3 as the example. 1. Occupational control. Four i n s t i t u t i o n s are i d e n t i f i e d by Finerman [17] as being responsible for whether or not the pract i t i o n e r i s regarded and accepted as a professional. These i n s t i t u t i o n s are the academic, i n d u s t r i a l , governmental and professional groups. Finerman discusses the academic group only for i t s r o l e i n education; and t h i s aspect w i l l be considered i n item 4 below. He contends that i n d u s t r i a l employers "exacerbate" the problem of a low professional opinion of programmers. The employers' actual view may be shown, however, in the fact that junior programmers, programmers, and senior programmers are considered p r o f e s s i o n a l 1 in respective proportions of 58%, 77% and 87% i n one survey. 2 [22] At present there i s no governmental control of the computing professions i n the U.S., but there i s increasing concern that some form of lice n s i n g w i l l , be imposed (e.g., [58]). There may be some basis to support l i c e n s i n g as a desirable and necessary step i n professionalization. The occupational control aspect of the computer profession 1 On the basis that the employer considers them exempt from the provisions for overtime of the Fair Labor Standards Act, a c l a s s i f i c a t i o n that i s based on the employee being i n a "bona f i d e . . . professional" position. [24] 2 The survey received 347 r e p l i e s from the Fortune 1000 corporations at the time of reporting. 1.6 19 i s presently . under the predominant influence of the employer-employee rela t i o n s h i p . The attempts to convert to a more t r a d i t i o n a l image of a professionalized society i s thus not l i k e l y to occur while the most s i g n i f i c a n t number of practitioners remain employees rather than, say, independent consultants. 2. E t h i c a l and professional practice codes. For these to become a viable component, the professional society's enforcement of them must have the respect of the employer group as well as the sanction of the law. At present the Association for Computing Machinery has an e t h i c a l code, but no enforcement procedure. There are no evident indications that any employers have given recognition to th i s code, nor to the code of the B r i t i s h Computer Society i n England. 3. Systematized body of knowledge. The recent emergence of computing technology and i t s r e l a t i v e l y high rate of change have produced a si t u a t i o n where a stable body of knowledge has not been accumulated. There i s no foundation to which the practitioner can refer i n standard cases for making technical decisions, although there are some areas in which there i s accumulated experience. The widespread interest now being shown in structured programming1, the f i r s t u nified and s e l f -consistent technique f o r program generation to receive wide attention, i s a promising development. A s t a b i l i z a t i o n of the technology w i l l have to occur for a body of knowledge to be 1 Based primarily on the work of Dijk s t r a ; see D i j k s t r a , E.»., "Notes on Structured Programming" i n Dahl, O-J; D i j k s t r a , E.W. & Hoare, C.A.B., Structured Programming Academic Press, New York (1972). 1.6 20 identi f ied. It i s hard to predict whether this s tabi l izat ion wi l l precede, or be a result of, the development of a body of knowledge. This wi l l depend on whether the sc ient i f i c branch of computing tackles successfully problems that have practical applications, which would result in the accumulation of the body of knowledge f i r s t ; or whether the applied practitioners must arrive at the needed techniques in a somewhat empirical fashion. 4. Training and education. In 1971 in the O.S., accreditation guidelines existed only for private EDP schools, and there were nonetheless more than 700 such private schools sel l ing instruction in data processing with no accreditation by authorized bodies. [16] The larger portion of information processing personnel who are members of the American Federation of Information Processing Societies' (AFIPS) constituent societies have recieved their training from other than university education. [10] A former ACM president, Walter Carlson [16], has expressed the opinion that, given the context of a rapidly changing technology, " . . . the concept that a prolonged and specialized course of instruction can provide a lasting inte l lectual foundation for productive professional performance i s not val id and, in fact, [ i s ] misleading." But he also feels that "the inab i l i ty of objective tests to quantify programmer s k i l l levels may merely indicate that the inte l lectual requirements for programming are highly individual the hallmark of a professional person." This would seem to confl ict somewhat with the idea that a profession's technique i s based on a uniform foundation and i s consistently applied. His statement might be considered a rationalization of the 1.6 21 immaturity of the profession; he might rather have indicted the testing process. Bauer ( [ 1 2 ] and [ 1 3 ] ) has emphasized the importance of the education process f o r professional entrants i f the techniques of software engineering are to advance, to the extent that he places no f a i t h i n the a b i l i t y of the bulk of the ex i s t i n g programmers to participate i n the u t i l i z a t i o n of newer techniques. 5 . Entrance to the profession; membership c l a s s i f i c a t i o n . At present, acceptance into regular membership by the ACH requires only the endorsement of two other regular ACM members, plus either a university degree or four years experience i n the data processing f i e l d . The statement on the back of the membership card reads: "Persons q u a l i f i e d to be Members are those who subscribe to the purposes of the Association and have attained a professional stature by demonstrating i n t e l l e c t u a l competence and e t h i c a l conduct i n the a r t s and sciences of information processing." In point of f a c t , t h i s i s a f a l s e statement, as the lack of stringent entrance requirements as well as the lack of an enforcement procedure for the e t h i c a l code of the ACM evidence. Much w i l l have to be done in t h i s area before t h i s facet of professionalization matures. Typical requirements on entrance are: s p e c i f i c educational background from an accredited i n s t i t u t i o n , entrance te s t i n g , and in many cases, state controlled l i c e n s i n g . This i s another area where the employer w i l l have to endorse the v a l i d i t y of such q u a l i f i c a t i o n s as indicators of professional competence. 6. Service orientation. The fact that most computing 1-6 22 p r a c t i t i o n e r s work as employees i n i n d u s t r i a l type situations would seem to preclude the emergence of a service orientation toward i n d i v i d u a l c l i e n t s . Again, t h i s i s an area where imposing i t as a reguirement of professionalization ignores the type of occupational control that obtains. 7. Social r e s p o n s i b i l i t y . While the computer p r a c t i t i o n e r may not deal as an i n d i v i d u a l with c l i e n t s , the profession as a whole, i f i t seeks to i d e n t i f y i t s e l f as a d i s t i n c t occupational group, automatically assumes r e s p o n s i b i l i t y f o r the s o c i a l e f f e c t s of i t s technology. One might anticipate that t h i s places computing i n a p a r t i c u l a r bind: on the one hand, i t i s industry, as the controling occupational group, that actually steers the course of t h i s technology; on the other hand, the profession has achieved s u f f i c i e n t i d e n t i t y that i t becomes the potential scapegoat for the i l l effects of t h i s technology. A survey conducted by the American Federation of Information Processing Societies and Time magazine [11] seems to indicate that the programming profession i s in fact i n no bad s t r a i t s on account of t h i s s i t u a t i o n . The general public attitude toward members of the computing profession i s favorable. Although there was endorsement of strong government regulation of computers, there was no question posed on regulation of p r a c t i t i o n e r s . The public's perception of problems i n computer b i l l i n g seems r e a l i s t i c in usually ascribing the cause to personnel f a u l t s . There are serious indictments of the s o c i a l r e s p o n s i b i l i t i e s of the professions. In discussing r e s p o n s i b i l i t y to the community, Maclver [6] asserts, "The group code has narrowed the sense of r e s p o n s i b i l i t y by refusing to 1-6 23 admit the application of i t s p r i n c i p l e s beyond the group." Eobert Merton, as quoted in [ 4 ] , makes a strong indictment of engineering professions, which software engineering p a r a l l e l s , i n accusing t h e i r practitioners of having a "trained incapacity for thinking about and dealing with human a f f a i r s " , a result of a " s o c i a l perspective [ t h a t ] the engineer derives from bureaucratic employment as well as a high l e v e l of functional s p e c i f i c a t i o n within the profession." The task for software engineering does not appear to be easy. In Section 1.5 we made a t h e o r e t i c a l d i s t i n c t i o n between science and engineering. Identifying and describing the s c i e n t i f i c branch of computing would not be an easy task, nor one that i s relevant to a discussion of p r o f e s s i o n a l i z a t i o n . It i s s u f f i c i e n t to note that the professionalizing attitudes have been motivated by a concern for the applications of computing. Even though i t i s often those normally i d e n t i f i e d as computer s c i e n t i s t s who express a concern for professionalism, they have done so only where the p r a c t i c a l applications of t h e i r work have become s i g n i f i c a n t . That i s , once a part of the computer s c i e n t i s t ' s work has entered the realm of engineering practice, the concern f o r professional r e s p o n s i b i l i t y by the s c i e n t i s t follows. Thus, i n the attempt to i d e n t i f y the degree to which software engineering i s professionalized, we have e f f e c t i v e l y done so for anyone in the f i e l d whose work has p r a c t i c a l application. We could say that when the computer s c i e n t i s t ' s work i s directed toward p r a c t i c a l application, he i s actually functioning as an engineer. In the remainder of t h i s dissertation we w i l l not e x p l i c i t l y distinguish computer 1.6 24 s c i e n t i s t s from software engineers, but w i l l treat a l l of those whose work has p r a c t i c a l application as members of the computing profession. 1.6 25 2. CODES OF ETHICS AND PROFESSIONAL PRACTICE 2.0 Introduction At the outset we want to make the d i s t i n c t i o n between what we c a l l a "code of ethics" and a "code of professional practice", such as i s provided by Hillerson [7, p. 149]. An e t h i c a l code prescribes the relationships the professional i s to have with the various groups he interacts with i n his practice. The code of professional practice s p e c i f i e s the proper technique the professional should use in the application of the technical aspects of h i s c r a f t . In actual professional codes t h i s d i s t i n c t i o n i s not usually made, and to a certa i n extent, connot be. For instance, the professional's exercise of his c r a f t cannot be s p e c i f i e d in the f i n e s t of d e t a i l , so his own value judgements, perhaps as guided by the e t h i c a l code, w i l l enter in t o his work. The d i s t i n c t i o n between the two types of codes i s made here only to provide two larger categories f o r the following examinations of codes of various professional s o c i e t i e s . Unless s p e c i f i c a l l y stated to be a code of professional practice, we w i l l usually encounter a code that i s primarily of the e t h i c a l type, and refer to i t variously as an e t h i c a l or professional (omitting the word practice) code. There i s l i t t l e apparent a c t i v i t y i n the promulgation of professional practice 2.0 26 codes, so they w i l l not be treated i n t h i s chapter. In examining the e t h i c a l codes of several professional s o c i e t i e s , our objective i s to i d e n t i f y general c h a r a c t e r i s t i c s with which to build a framework for the discussion of the development of such codes in the computing profession. 2.1 Some Histories and Motivations of Professional Codes The f i r s t code of the American Medical Association was written i n 1848, being based on S i r Thomas Percival's Medical Ethics of 1803. The l a t e s t r e v i s i o n noted was in 1949. £40] In the history of American professional associations, i t i s one of the e a r l i e s t of e t h i c a l codes to be adopted. Many others were introduced at the turn of the century. The American Bar Association (ABA), founded in 1878, adopted i t s own code in 1908. The e a r l i e s t state bar association to adopt a code was Alabama, i n 1887, being based on a series of lectures delivered at the University of Pennsylvania i n 1854. £38] The l a t e s t form of the ABA code was adopted i n 1970; the ABA also promulgates a code for the American Juduciary, f i r s t adopted about 1925 and l a s t revised i n 1972. [28] The Canadian Bar Association (CBA) adopted i t s Code of Ethics i n 1970, at i t s f i f t h annual meeting. [44] The f i r s t code for public school teachers was adopted i n 1896 by the Georgia State Teachers Association. The National Education Association (NEA), the primary national organization for school teachers i n the United States, f i r s t adopted a code in 1929. [45] The f i r s t e t h i c a l code f o r arc h i t e c t s appeared i n 27 1917 [36], and for accountants i n 1918. [30] The e a r l i e s t code f o r engineers was that of the American Inst i t u t e of E l e c t r i c a l Engineers of 1912; a code was "adopted for c i v i l engineers i n 1927. Most of the exi s t i n g codes of the various engineering s o c i e t i e s bear agreement with the code of the Engineers Council for Professional Development (ECPD), which was adopted in 1947. [46] The references c i t e d i n the previous paragraph do not provide detailed information on the motivations for adopting these codes, nor the h i s t o r i c a l climate surrounding their implementation. Statements on the adoption of e t h i c a l codes are t y p i f i e d by the following: "The p r i n c i p l e s [of conduct for Architects] ...doubtless were stated i n an endeavor to u p l i f t the l e v e l of professional performance, to assure the public of our professional i n t e g r i t y as well as of competence, and to raise a standard of e t h i c a l conduct to which a l l architects of good w i l l might repair." [36, p. 12] Our own investigations show that the control of i n t e r n a l professional d i s c i p l i n e i s indeed the primary objective. The professions often claim that t h i s i s necessary to protect the c l i e n t . However, some professions have a monopoly on the service they provide, and may also be i n a position to exert strong control over i t s members. They may reguire members to provide standard services at minimum fees. Inasmuch as th e i r e t h i c a l codes can become instruments of status maintenance, we should not accept unguestioningly their own statements on the r o l e of t h e i r codes i n regulating the profession. Sometimes a c r i s i s motivates the profession to reappraise or i n i t i a t e the e t h i c a l or professional practice code. I t may be 28 that the same "software c r i s i s " that aroused the need f o r software engineering (Section 1.6) i s simultaneously motivating computer s o c i e t i e s to i n i t i a t e such codes. The medical profession was traumatized by the Nazi a t r o c i t i e s of World War I I , leading to the adoption of the Declaration of Geneva i n 1948, which "was a restatement i n terms of Twentieth Century experiences of the Hippocratic Oath." [29, p. 64] 2.2 Examples of Codes of Some Professions We w i l l now outline the codes of the primary professional organizations for law, medicine, architecture, accounting, and engineering i n the United States, as well as providing some comments on those of the Canadian and B r i t i s h Columbian Bar and the B r i t i s h Columbia College of Physicians and Surgeons. Our emphasis on professional s o c i e t i e s i n the United States i s due to the a v a i l a b i l i t y of reference materials as well as the fac t that the most s i g n i f i c a n t computer society we w i l l be discussing i s the United States based Association for Computing Machinery. The professions discussed d i f f e r i n maturity and i n types of occupational c o n t r o l , and t h e i r respective codes strongly r e f l e c t t h i s s i t u a t i o n . These codes are concerned with p r a c t i c a l e t h i c a l standards. If we categorize codes on the basis of the what groups c e r t a i n r e s p o n s i b i l i t i e s are addressed to we f i n d that they deal with the relations of the professional to his primary occupational control groups, generally being c l i e n t s and employers. Of secondary importance are s t i p u l a t i o n s on the 2.2 29 relations among professionals, which deal with maintaining the i n t e g r i t y of the profession and the respect of the public. The only other general sentiment that appears with any r e g u l a r i t y i n the codes examined are those that remind the professional of h i s r e s p o n s i b i l i t y as an i n d i v i d u a l to the community i n which he functions. Codes may a l t e r n a t i v e l y be categorized on the basis of the area of professional practice prescribed. Categories could include 'business practice', which encompasses a l l s t i p u l a t i o n s associated with the p r a c t i t i o n e r ' s operation of a business enterprise, his functioning as an employee, and his r e l a t i o n s to his colleagues. This category i s deemed to encompass, then, those rules that govern the day-to-day functioning of the professional. The category of 'technical practice' i s used to include those items which s t i p u l a t e the form or the l e v e l of the p r a c t i t i o n e r ' s technical performance. Some of the items categorizable under t h i s heading are of s u f f i c i e n t d e t a i l to be considered appropriate for inclusion i n a code of professional practice. Since there w i l l be very few of these, however, they w i l l not be given s p e c i a l treatment here. The two functional categories of business and technical practice are supplemented as necessary with categories from the previous c l a s s i f i c a t i o n . The Code of Professional Responsibility of the &BA [28] i s of elaborate structure. The nine Canons state general standards of professional conduct. Each Canon contains several E t h i c a l Considerations, f o r guidance i n s p e c i f i c s i t u a t i o n s , and 2.2 30 associated D i s c i p l i n a r y r u l e s 1 , which are mandatory minimum le v e l s of conduct. The code i s comprehensive, and has the advantage of a long term conscientiousness f o r i t development. I t i s heavily supported by s p e c i f i c c i t a t i o n s to the ABft Committee on Professional Ethics Opinions, previous codes of the ABA, law journals, and case and statute law. This extensive referencing in the code i s i t s e l f unique among those examined, although other professions have published separate c o l l e c t i o n s of r e a l and hypothetical case deliberations. The primary motivation for the code i s provided i n the statement: "[I]n the l a s t analysis i t i s the desire f o r respect and confidence of the members of his profession and of the society which he serves that should provide to a lawyer the incentive f or the highest possible degree of e t h i c a l conduct." The ABA code states that i t defines relationships of the lawyer to the public, to the l e g a l system, and to other members of the profession. This statement omits that the code also defines duties of the lawyer to his c l i e n t s , which considerations, i n f a c t , occur more than any other. The ABA code i s characterized by a redundancy, under d i f f e r e n t Canons, of some of i t s EC's and DR's. This seems to serve the purpose of reminding practitioners that they have the same r e s p o n s i b i l i t i e s i n several d i f f e r e n t contexts. Detail i n the ABA Code of Professional Responsibility can be pretty thorough, such as i n DR 2-102, which describes the s p e c i f i c s of the contents of 1 References to s p e c i f i c E t h i c a l Considerations and Di s c i p l i n a r y rules w i l l be of the form EC num1-num2 and DR num1-num2, where num1 - i s the Canon number under which the EC or DR i s found, and num2 i s a s p e c i f i c s u f f i x to the EC or DR. 2.2 31 letterheads and business cards, among other things. Serious weaknesses occur i n the code, such as i t s ra t i o n a l i z a t i o n s of contingency fees, which read as though the finances of the lawyer are of primary i n t e r e s t . This s i t u a t i o n occurs at the expense of the presumed service ethic of the profession. Khat the ABA code does assure, with i t s d e t a i l s on forms of business practice, i s a certain l e v e l of etiquette i n the profession. The wary c l i e n t can at l e a s t know what the expected professional behavior of the lawyer w i l l be, whether or not the c l i e n t f e e l s that i t i s a standard meriting respect. F i n a l l y , we should note that the ABA code states r e s p o n s i b i l i t i e s of the lawyer to the j u d i c i a r y , and to the employees of the lawyer. These and the previously noted groups -the public, the l e g a l system, other lawyers, and c l i e n t s - a l l play some role in the occupational control of the l e g a l profession. Primary control of the day-to-day mode of operation i s probably the re s u l t of the standards of the bar association represented by t h i s code. Viewing the ABA code under the c l a s s i f i c a t i o n of the form of professional practices prescribed reveals an overwhelming concern for business practice. There i s a v i r t u a l absence of items concerning technical standards. The Canons of Ethics of the Canadian Bar Association, (see Orkin [44]), which i s adopted unchanged by the Law Society of B r i t i s h Columbia [43], i s a much less elaborate instrument than that of the ABA. In the case of B r i t i s h Columbia, the Professional Conduct Handbook (in [43]), presents Canons and contains another section that may be i d e n t i f i e d as a code of 2.2 32 professional practice. The latter complements the Canons, and the two sections together effectively yield a statement as comprehensive as that of the ABA's code. Orkin also provides many references to legal cases on the professional behavior of the Canadian lawyer. The major headings of the CBA Canons prescribe the duties of the lawyer to the state, the court, c l ients , colleagues, and the lawyer himself. Although the Canons are stated as a general guide, they are presented with the admonition that they are not to be construed as allowing unprofessional behavior in areas not speci f ical ly covered. The Brit ish Columbia Law Society's Professional Conduct Handbook has extensive statements on the so l i c i tor -c l i ent relationship, advertising by lawyers, relationships among so l i c i tor s , conduct of the lawyer as counsel, duty of the lawyer to the Law Society, and a general catch-all section. Many of these rules, of course, describe standards of business conduct. The Principles of Medical Ethics of the American Medical Association, as reproduced in F i t t s & Fi t t s [40], is of a simpler form than the code of the ABA. Certain matters of substance, such as the conditions of gratuitous service for fellow practitioners, are geared to the nature of the profession. The groups to whom responsibi l i t ies are designated are easily identif ied by the chapter headings: to c l ients , to the profession and other doctors, to the public, and a general statement reflecting relations to a l l of these. A reading of the code wi l l reveal that the most detailed sections are those that define relations of the practitioner to the profession and his 2.2 33 colleagues. The implications of t h i s are that the profession concentrates i n t h i s area because of i t s b e l i e f i n the e s s e n t i a l role of business standards i n maintaining e t h i c a l and professional behavior. This may also be a r e s u l t of i t being easier for the profession to deal with the more immediate problems of the i n t e r n a l professional relationships. I f either i s the case, as they may also be for lawyers, i t suggests that professionals must make a s p e c i a l e f f o r t to i d e n t i f y their external relationships to the wider community. The AMA code i s not without d e f i c i e n c i e s . Notably, there i s the absence of any statements of the duties of the physician i n a time of war. Although an ultimate e t h i c a l mandate i s not stated for the physician, his primary r e s p o n s i b i l i t y seems to be toward the patient. This stands in some contrast to the statement of the ABA code that the basic commitment of the lawyer i s "the desire for the respect and the confidence of his profession and the society which he serves." It might not be f a i r to accuse the ABA of making the i n t e r e s t s of the c l i e n t secondary, as the bulk of t h e i r code i s concerned with the c l i e n t , but the true thrust of t h e i r code remains unclear. The Code of Ethics of the College of Physicians and Surgeons of B r i t i s h Columbia [31] p a r a l l e l s the AHA code somewhat in s t y l e and content, though i n l e s s d e t a i l . There are sections covering duties to the profession, to other physicians, and to patients. There are also sections of equal status that cover more detailed aspects, including one that prohibits members from performing non-therapeutic abortions. There are 2.2 34 several sections that deal with the business practices of doctors, a l l being i n the same vein as the st i p u l a t i o n s of the AMA code. Architecture i s a profession that exhibits both t r a d i t i o n a l features and a relationship to science. In examining i t s code of ethics we find one of simpler form than the two previously discussed. I t f a c t , i t may be that there i s some c o r r e l a t i o n between the age of a profession and the complexity of i t s professional code. The examples considered here tend to support t h i s observation. Furthermore, i t i s clear that the older professions have stronger ruling groups, capable of di c t a t i n g d e t a i l s of professional behavior. There i s also the simple accumulation of experience of the older professions, which could be r e f l e c t e d in t h e i r codes. The Standards of Professional Practice of the American Institue of Architects, as reproduced in Cummings [36], are stated i n two sections. They include "Obligations of Good Practice" and "Mandatory Standards", though i t i s not cle a r from Cummings i f only one or the other of these two sections are enforceable under the d i s c i p l i n a r y procedure. Considering both groups together, the bulk of the t o t a l of 26 items are concerned with the r e s p o n s i b i l i t y of the architect to his colleagues and to the profession as a whole. Second i n concern i s the relationship to the c l i e n t . Lesser consideration i s made of r e s p o n s i b i l i t i e s to the public, the law, contractors, and employees. Eecategorized, these items are heavily weighted toward defining business practices and relationships, with only one item being concerned with technical performance. 2.2 35 wagner [46] notes that there there are more than 100 s o c i e t i e s representing the various s p e c i a l t i e s of the engineering profession, there being no single code pertaining to a l l the branches within engineering. Wagner gives two examples, those of the American Association of Engineering (AAE) and the Engineers' Council f o r Professional Development (ECPD). As many engineering s o c i e t i e s have adopted t h i s code, we w i l l use i t here as a representative example for the engineering profession. Neither the code of the AAE nor that of the ECPD has any of the supportive annotation that the Code of the Professional Responsibility of the ABA has. There i s separate supportive documentation, as i n a 1927 publication of the AAE, The Engineer and Sis Ethics, a c o d i f i c a t i o n of the AAE's Practice Committee decisions. The work, or Alger, et. a l . [27] i s a more recent and extensive c o l l e c t i o n of actual and hypothetical s i t u a t i o n s that may be encountered by engineers. This book was supported by several engineering s o c i e t i e s , including the ECPD. In the ECPD Canons of Ethics for Engineers, entries are col l e c t e d under major headings of several groups, such as c l i e n t s , employers, or colleagues, to which certain r e s p o n s i b i l i t i e s are assigned. The breakdown i s s i m i l a r to the code of a r c h i t e c t s , primary concern now being about equally divided between r e l a t i o n s to c l i e n t and employer and r e l a t i o n s to colleagues. Several items are also included on the engineer's r e s p o n s i b i l i t i e s to the public and to the profession i t s e l f . Using the alternative categorization, the bulk of the items rel a t e to the day-to-day business practice of the engineer. I t i s surprising that there were no items to be found that could be 2.2 36 c l a s s i f i e d as statements placing demands on the technical performance of the engineer, and that for such a fragmented profession, there were a reasonable number of items a t t r i b u t i n g r e s p o n s i b i l i t y to the profession. Nowhere in t h i s code i s there a c l e a r l y stated ultimate mandate on the conduct of the engineer. It i s not clear whether i t i s intended that his ultimate r e s p o n s i b i l i t y i s to the c l i e n t , the profession, or some other group. The most s i g n i f i c a n t change in the content of t h i s code from those previously examined i s the equivalence of the employer to the c l i e n t . The l a t t e r had been considered the more important i n the other codes, i f considered at a l l . This i s c l e a r l y a r e s u l t of the fact that a s i g n i f i c a n t proportion of engineers engage in practice as employees, on a s a l a r i e d basis. We can't t e l l from our reference i f the employer of engineers endorses the s t i p u l a t i o n s of t h i s code, or i f there are any engineering branches for which membership i n the corresponding society i s required f o r employment in that s p e c i a l i t y . The establishment of the respect of the employer group for a code of ethics i s c r i t i c a l to i t s v i a b i l i t y when, as i s the case here and for computing p r a c t i t i o n e r s , the majority of them are employees rather than independent p r a c t i t i o n e r s . Unfortunately, we w i l l find no comment on or evidence of s i t u a t i o n s were employers have taken recognition of such a code. Carey [30] discusses the l u l e s of Professional Conduct of the American I n s t i t u t e of Accountants as the primary aspect of the ethics of public accounting. The other aspect i s more akin to a code of professional practice. It consists of c o l l e c t i o n s 2.2 37 of regularly issued statements on generally accepted accounting practice. The Rules of Professional Conduct of the AIA, then, i s i t s e t h i c a l code. The ultimate e t h i c a l mandate i s asserted by Carey to be found i n the concept of independence, meaning that the accountant must be independent in his work from the influences or the i n t e r e s t s of others and his own personal i n t e r e s t s . Although t h i s allows personal discretion to enter i n t o the accountant's work, there are objective standards in the code and among the generally accepted procedures of accounting practice. This code states the obligations of the accountant to the groups of their c l i e n t s , the profession, and t h e i r colleagues. Carey claims that the accountant has r e s p o n s i b i l i t i e s to the public, but nothing e x p l i c i t of t h i s nature i s found i n the Rules. I t nonetheless i s present i n d i r e c t l y , in that assuring the competency of an audit statement gives the general user a degree of assurance that the audit i s competently prepared. Since there are only a few items addressed to r e s p o n s i b i l i t i e s to the public or the profession, our alternative c l a s s i f i c a t i o n would place the bulk of the code under the heading of business practice. There are also no statements of technical competence to be found i n the code. 2.3 Enforcement of Codes of Ethics There may be only one s i g n i f i c a n t problem facing a professional society that wants to enforce i t s code of ethics, 2.3 38 this being, what is to be the legal sanction for enforcement. Both sociologists and spokesmen of the professions, especially of those professions which do not yet have an enforcement procedure, usually imply that the mature professions enforce their codes autonomously. Investigations of actively enforced disciplinary procedures in the Onited States, such as those of the societies covered in the preceding, reveal that the profession does not have power of i t s own to effect a disciplinary procedure. Rather, i t i s the state which retains this power. Millerson [7, p. 171] claims that in Great Br i ta in , professional societies that are chartered by an act of Parliament have the power to enforce their disciplinary procedures, but that no other Bri t i sh professsional societies can do so. There seems to be no equivalent in England to the state and county boards of registration of the U.S, or the Provincial boards in Canada. In the case of the American Bar Association, the court holds ultimate authority over the discipl ine of lawyers. The local bar association makes an i n i t i a l investigation of a complaint, but their finding is referred to the court for adjudication. Drinker [37, p. 27] cites a court ruling that gives a clear picture of the actual efficacy of a professional code in the U.S. : "The American and state bar associations are not legis lat ive tribunals, and their [codes of ethics] are not of binding legal obligation and are not enforced as such by the courts, although they constitute a safe guide for professional conduct in the cases in which they apply, and an attorney may be disciplined by this court for not observing them." The authority of the Court i s not so clearly stated in 2.3 39 Canada, as much d i s c i p l i n a r y authority has been relegated by statute to the Benchers ( i . e . , the r u l i n g body) of the P r o v i n c i a l law s o c i e t i e s . Orkin [44] notes that i n many provinces the j o i n t action of the Benchers and the court i s needed to prohibit a lawyer from practice. Nonetheless, the court t r a d i t i o n a l l y maintains summary j u r i s d i c t i o n over lawyers, apparently despite statute but not i n c o n f l i c t with the intent of the law. Since the court maintains t h i s summary j u r i s d i c t i o n , and since there i s an e f f e c t i v e fusion of the b a r r i s t e r and s o l i c i t o r roles i n Canada, the ultimate d i s c i p l i n a r y s i t u a t i o n i s akin to that of the United States. More t y p i c a l l y , the d i s c i p l i n e of professional society members in the United States i s carried out through some administrative branch of government. The AMA's Juducial Council does not seem to have the power to remove lic e n s e . Rather, t h i s power i s vested i n a l o c a l r e g i s t r a t i o n board, i t seems, although neither Fishbein [39] nor F i t t s S F i t t s £40] are s p e c i f i c on t h i s . For a r c h i t e c t s , Cummings [36] s p e c i f i c a l l y notes the the states have the power to "revoke, suspend, or annul a license, or to reprimand, censure, or otherwise d i s c i p l i n e the a r c h i t e c t . " Wagner [46] writes that the decentralization of the engineering profession prevents the adoption of an enforceable codes of ethics, not recognizing the importance of state l i c e n s i n g bodies as the ultimate enforcers of professional behavior. He does note that the effectiveness of such bodies has been hampered by a lack of financing and by the reluctance of engineers to report misconduct. F i n a l l y , Carey [30] notes that neither the national nor the state accountancy 2.3 40 boards have the r i g h t to suspend or revoke the licenses of C e r t i f i e d Public Accountants, and that t h i s power l i e s i n the state r e g i s t r a t i o n boards. The summaries of professionalization i n Section 1.3 recognize the s i t u a t i o n where professions i n the United States do not have ultimate control of professional behavior, which would seem to be an essential attribute of a mature profession. The s o c i o l o g i s t s of the professions, and the spokesmen of the professions who are concerned with the profession's development leave the impression that, as a profession matures, i t comes to att a i n autonomy in the enforcement of i t s d i s c i p l i n a r y procedures. In Greenwood's summary, outlined in Section 1.3, sanction of the community i n the operation of the profession i s i d e n t i f i e d as one of the elements of professionalization. I t implies the community's sanction of a right of the profession to enforce i t s professional standards; but we have seen that t h i s authority remains with the state. Johnson's description of professions [4, p. 54], which appears to consider professions i n the U.S. as well as i n Great B r i t a i n , leaves the same impression concerning c o l l e g i a t l y controlled professions in stating: "In the case of professionalism the occupational association i s the registering body, and i t develops e f f e c t i v e sanction mechanisms for c o n t r o l l i n g . . . occupational behavior." [4, p. 54] Cranberg [34] states that the older professions set up "quasi-j u d i c i a l bodies with the power to invoke sanctions" and that e t h i c a l codes form a " l i v i n g body of law." The impression that professions achieve autonomy i n the enforcement of t h e i r e t h i c a l codes perhaps derives from the s i t u a t i o n i n Great B r i t a i n , where 41 a certain few actually have that power. Assuming the observation we make here i s accurate, various guestions arise concerning what we w i l l c a l l "cooperative state c o n t r o l " 1 . What are the true motivations and techniques of a profession i n i t s attempts to enter the s i t u a t i o n of having strong control over the a c t i v i t i e s of i t s members as well as the a b i l i t y to define the consumer's needs? How do governments come to cooperate i n t h i s procedure, and how do they come to recognize that the services of the profession merit state protection and control? Is i t a c t i v i t i e s undertaken by the profession or by the state that lead to t h i s control situation? I t i s not proposed that these questions should be answered here, as i t would be a task of detailed research that i s not warranted by the objectives of t h i s presentation. 2 As we examine the arguments of the various proponents of pro f e s s i o n a l i z a t i o n and the promulgation of a code of ethics i n the computing f i e l d , we w i l l attempt to i d e n t i f y steps taken to achieve cooperative state control. This form of l e g a l control does not imply that the state maintains an iron-handed control over the profession, or that i t defines what acceptable.levels of professional conduct are to be. The s i t u a t i o n i s cooperative i n nature - the profession 1 The use of the word here describes a control of the members of the profession, as much as control of the service i t provides. When we speak of Johnson's c o l l e g i a t e control, and his other c l a s s i f i c a t i o n we are talking about a control of the producer-consumer relationship only. 2 One assertion that has been encountered i s that " . . . l i c e n s i n g of a profession has occurred i n C a l i f o r n i a only when occupational groups have used great pressure and much lobbying." [58] 2.3 42 recognizes that i t has no leg a l basis to disenfranchise one of i t s members, and must r e l y on the state's action to eff e c t d i s c i p l i n e . At the same time, the profession desires that the state s h a l l recognize the statements of the profession on what are acceptable l e v e l s of professional conduct. Generally these are respected by the state, as i n the case of the court receiving complaints against lawyers only through the bar associations, but i t nonetheless retains i t s ultimate power of control i n a l l cases. The assertion made here may in other ways overstate the case. There are means by which professionals may be e f f e c t i v e l y r e s t r i c t e d from practice by groups other that the state. For instance, "membership i n the AMA i s required by some hospitals and c l i n i c s as prerequsites for s t a f f appointments." [40, p. 18] This would constrain a doctor d i s c i p l i n e d by a profession but not by a state l i c e n s i n g board. Professional organizations may also try to impress their members with the idea that i t i s poor professional conduct to practice t h e i r trade i n an i n s t i t u t i o n that does not respect the profession's standards. Such i s the stance of the American Association of University Professors, i n reminding t h e i r members that they "...have often considered i t to be t h e i r duty, i n order to indicated t h e i r support of the p r i n c i p l e s violated, to re f r a i n from accepting appointments to an i n s t i t u t i o n so long as i t remains on the censure l i s t . " 1 On a di f f e r e n t theme, a s i g n i f i c a n t aspect i n the structure of d i s c i p l i n a r y provisions i s that the group within the 1 This statement appears in each issue of the B u l l e t i n of the AAUP in the section l i s t i n g i n s t i t u t i o n s whose administrations the AAUP has censured for not following "generally recognized p r i n c i p l e s of academic freedom and tenure." 2.3 43 profession for the administration of the d i s c i p l i n a r y procedure often has the r e s p o n s i b i l i t y to recommend changes to the e t h i c a l code or other a r t i c l e s of the profession. Sometimes t h i s extends to having the power to actually make the desired changes. As an example from Fishbein [39], the J u d i c i a l Council of the AMA has played an important part in the evolution of the P r i n c i p l e s of Medical Ethics, in that many of i t s decisions have been incorporated into revisions of t h i s code. Such a provision for feedback seems to f a c i l i t a t e the evolution of an e t h i c a l code. 2.4 Licensing of Professionals The l e g a l profession i s an anomaly i n the world of professions, as i t i s an intimate participant i n the l e g a l system. It i s probably the only profession whose sanctions come by way of the court. The standard means of governmental control of the other professions i s through some mechanism of l i c e n s i n g . 1 Consistent with the assertion of the existence of 1 We use here the d e f i n i t i o n s i n [26] of c e r t i f i c a t i o n and l i c e n s i n g : " C e r t i f i c a t i o n - An affirmation by a governmental or private organization that an i n d i v i d u a l has met certain q u a l i f i c a t i o n s . . . [with] no prohibition against u n c e r t i f i e d i n d i v i d u a l s performing the same task i f they can find patrons. "Licensing - The l i f t i n g of a l e g i s l a t i v e prohibition. The granting of a license may be based on the i n d i v i d u a l or organization meeting certain q u a l i f i c a t i o n s and [being] s p e c i f i c to c e r t a i n tasks. Licensing d i f f e r s from c e r t i f i c a t i o n i n that an i n d i v i d u a l or organization without a license cannot l e g a l l y perform the p a r t i c u l a r task even i f a w i l l i n g patron i s a v a i l a b l e . " 2.4 44 cooperative state control in the previous section, professions want the requirements for obtaining a license to be i n accord with t h e i r own d e f i n i t i o n s of professional q u a l i f i c a t i o n s and conduct. Professions whose licensing standards were imposed by the state, or those which anticipate the p o s s i b i l i t y of t h i s happening, tend to consider themselves i n an i n f e r i o r state of p r o f e s s i o n a l i z a t i o n . The point to be made here i s that although professions may have misgivings about the p o s s i b i l i t y of state l i c e n s i n g requirements, they must come to recognize the existence of l i c e n s i n g as an e s s e n t i a l element in the control over professional standards of conduct that they are seeking. The more rapidly developing a profession, and the more impact i t has on society, then the more precarious position i t finds i t s e l f i n . As we have chosen not to attempt to trace the seguence of events leading to cooperative state control, we can't state whether or not a profession must develop a professional t r a d i t i o n before the onset of l i c e n s i n g . 1 2.5 Science and a Code of Ethics In the above we have considered only the professions -those occupational groups whose technigue i s applied to the 1 Cranberg [34, p. 289] suggests the p o s s i b i l i t y that "The attainment of an e t h i c a l consensus on 'domestic' problems i n the s c i e n t i s t ' s own house... may be a useful preliminary to the attainment of agreement on larger issues." 2.5 45 generation of products for consumption by some external group. There have also been c a l l s for formally stated e t h i c a l codes of s c i e n t i s t s , notably, those of Cranberg £33], [34], and [35]; and Barry Commoner, as chairman of the American Association f o r the Advancement of Science Committee on Science and Human Welfare [32]. Considering Storer's i d e a l i z a t i o n of the s o c i a l organization of science, as discussed i n Section 1.4, i t would appear that the i n t e r n a l structure of s c i e n t i f i c practice i s s u f f i c i e n t to guatantee adherence to an i m p l i c i t e t h i c a l code. However, Commoner claims that t h i s i d e a l i z a t i o n i s becoming l e s s appropriate, and that the s o c i a l structure of science i s loosening, now needing the force of a formal code. He also suggests that the e t h i c a l problems of s c i e n t i s t s are primarily i n the area of the s c i e n t i s t ' s r e s p o n s i b i l i t i e s for the s o c i a l impact of his work. This i s an area that i s not controlled as part of the maintenace of the norms of science. An e t h i c a l code could be used as a supplementary statement, covering the r e s p o n s i b i l i t i e s of s c i e n t i s t s to those outside of the s c i e n t i f i c community. 46 3. CODES OF ETHICS IN THE COMPUTING PROFESSION 3.1 H i s t o r i c a l Development of Codes i n the Computing Profession Before turning to the codes themselves, we w i l l undertake a br i e f h i s t o r i c a l survey. The presentation w i l l center on the a c t i v i t i e s of four computer s o c i e t i e s , each the primary or only such society i n i t s respective country: the association for Computing Machinery (ACM) in the U.S. ; the B r i t i s h Computer Society (BCS); the Canadian Information Processing Society (CIPS); and the Australian Computer Society (ACS). The a c t i v i t i e s of the ACM w i l l be of primary i n t e r e s t , as they r e f l e c t most strongly the degree of professionalization i n North American computing. These backgrounds are traced i n an attempt to determine the circumstances and attitudes surrounding development of e t h i c a l or professional practice codes by these organizations. There are several areas which w i l l be of i n t e r e s t : concerns for s o c i a l r e s p o n s i b i l i t y ; concerns for relationships among members of the profession; techniques of business practice; worries about technical competence of the practitioner; and the general standing of the profession. We w i l l also undertake to discuss the role of c e r t i f i c a t i o n and li c e n s i n g of computer professionals. 3.2 47 3.2 Development of the ACM Code of Professional Conduct Preceding the publication of the f i r s t e t h i c a l code i n the February, 1967 issue of the Communications of the ACM [50], as reproduced herein i n Appendix I, there was l i t t l e apparent a c t i v i t y in developing such a code. Bather, the primary concern, as can be traced from issues of the Communications of the ACM beginning i n 1959, was for the establishment of membership standards and professional i d e n t i t y . The e a r l i e s t suggestion f o r the i n s t i t u t i o n of a code of ethics i s found in a l e t t e r in the September, 1961 issue. [47] Not u n t i l August 1966 was the subject broached again, by the then president of the ACM. [48] The f i r s t month of the following year found a l e t t e r [49] ra i s i n g questions on the v i a b i l i t y of a code of ethics f o r the ACM, pointing out the c o n f l i c t between the l o y a l t i e s to the employer and to society in general. These misgivings were founded in the writer's apparent b e l i e f that e t h i c a l codes t r a d i t i o n a l l y deal with the problems of r e s p o n s i b i l i t y to society as th e i r prime concern, although we have found that t h i s i s not usually the case. The e a r l i e s t o f f i c i a l stand of the ACM on the matter of ethics was taken i n July, 1966, as a r e s u l t of the 1965 revisions of the ACM constitution. New membership requirements then took ef f e c t which required only the endorsement by two present members of the applicant's " i n t e l l e c t u a l competence and e t h i c a l conduct." The f i r s t code of the ACM, "Professional Conduct in Information Processing", was proposed as a "set of 3.2 48 guidelines.... expected to evolve into a means of preserving a high l e v e l of e t h i c a l conduct." [Appendix I ] There was no accompanying enforcement procedure. Donn Parker l a t e r discussed t h i s code in an A r t i c l e i n the CACM [51] in his role as chairman of the Professional Standards and Practices Committee. This a r t i c l e contained no information on the s p e c i f i c motivations f o r the ACM's adoption of a code at that time. A cautious attitude i s revealed i n stating that the ACM should not go "outside the area of competence of a technical society" in i t s actions on ethics. Although t h i s does not deal with problems of s o c i a l r e s p o n s i b i l i t y , i t i s these very problems that have generated the strongest undercurrent of support for an ethics code i n the ACM. This code remained in eff e c t only as a set of guidelines. D i s c i p l i n a r y power remained i n the ACM council, by means of an a r t i c l e in the constitution that granted Council the power of expulsion on a three-fourths vote. In 1971, new amendments to the constitution allowed d i s c i p l i n e f o r demonstrated lack of i n t e g r i t y , but also required the adoption of a code of ethics and an enforcement procedure. A period of intere s t i n the adoption of new code followed, culminating in the publication of the proposed code of conduct [67] (reproduced in Appendix I I ) , and an associated d i s c i p l i n a r y procedure [68] i n the A p r i l , 1973 issue of the CACM.. The president of the ACM warned that the adoption of the code could lead to a possible loss of favorable tax status and the incurrence of burdensome l e g a l expenses. He also suggested that reasonable courses of action would be to delay adoption of the enforcement procedure, or to a l t e r the 3.2 49 requirements of the c o n s t i t u t i o n . [65] The Professional Standards and Practices Committee, which drafted the code, stated that implementing the mechanisms was necessary to carry out the c o n s t i t u t i o n a l mandate. They took as t h e i r objective, i n developing the code, the desires to have members maintain a high standard of s k i l l upon which the public could r e l y . [66] The opposing view objected to the content of the code, but even more to the provisions of the d i s c i p l i n a r y procedure. [69] Letters published in response to the proposed code i n July, 1973, largely opposed i t , either suggesting that the ACM should concentrate on advancing the state of the a r t , or that the enforcement procedure should be held off u n t i l the ACM's resources are capable of handling i t . [71] The Council proceeded to adopt the code, but not the d i s c i p l i n a r y procedure, as reported by Anthony Ralston in the monthly "President's Letter" i n the January 1974 issue of the Communications -of the ACM [72] He notes that the Council took the mandate of the o r i g i n a l c o n s t i t u t i o n a l amendment requiring the adoption of such a code as a j u s t i f i c a t i o n for t h e i r action. He added that he f e l t i t was "a modest triumph for professionalism" and doubts that " i t w i l l measurably improve the e t h i c a l standards of our profession", suggesting that examples of good e t h i c a l behavior by senior members of the profession would be more e f f e c t i v e . As of t h i s writing (May, 1975), t h i s code remains i n e f f e c t , and the mandate to adopt an enforcement procedure remains u n f u l f i l l e d . The l a t e s t a c t i v i t y i n the area of e t h i c a l codes was the report of the ACM Long Range Planning Committee. [75] It stated that i t was not able to f i n d a consensus among 3.2 50 i t s members on the issue of enforcement, and notes that the p o s s i b l i t i e s are to change the constitution, or to go ahead with enforcement. Neither of these suggestions i s stated as preferred nor elaborated on. 3.2.1 Issues Regarding the ACM Code Our investigations i n the previous chapter found that those professions which had enforceable codes of ethics r e l i e d on what was there c a l l e d cooperative state control to effect the l e g a l basis for d i s c i p l i n i n g members. This would seem to suggest that the solution f o r the computer profession in the United States i s to obtain governmental endorsement of t h e i r professional code. There may be s i g n i f i c a n t problems in doing so, since the code's content i s a t y p i c a l for a professional society, and because the profession has a r e l a t i v e l y low status in the eyes of the federal government (as discussed i n Section 1.6). Further, there was no substantial i n d i c a t i o n of how a profession obtains the arrangement of cooperative control with the state, so we cannot predict or suggest a course f o r the ACM. Considering l i c e n s i n g to be the standard mechanism by which such control i s effected, we must take note of two possible views of the role of l i c e n s i n g . One i s that i t i s the state's endorsement of a professions e t h i c a l standards; the other i s that i t i s the state's imposition of minimum standards of technical competence. When c e r t i f i c a t i o n i s offered as an alternative to l i c e n s i n g , the profession i s attempting to avoid 3.2. 1 51 the second s i t u a t i o n . In the ACM, there has been some worry that standards of competence w i l l be imposed on the profession by a body not properly cognizant of the technology of the f i e l d of information processing. This i s exemplified by Donn Parker's comment i n [51], where he quotes 0.5. Senator Sam Ervin: "....thought should be given to a professional ethics code for the industry [by computer professionals] . . . ' I f s e l f -regulation and s e l f - r e s t r a i n t are not exercised by a l l concerned with automatic data processing, public concern w i l l soon reach the stage where s t r i c t l e g i s l a t i v e controls w i l l be enacted. Government appropriations for research and development w i l l be denied, and the computer w i l l become the v i l l a i n of our society.' " Spokesmen i n the ACM, and others associated with the U.S. computing, profession, have recognized the p a r t i c u l a r problem in any statement of standards being formalized at the present state of the a r t in a rapidly developing technology (as i n [58]). A c t i v i t i e s outside of the ACM have included a "roundtable" discussion sponsored by American Federation of Information Processing Societies (AFIPS) [26], recommending that they proceed with a project on c e r t i f i c a t i o n . A suggested procedure was a program of: developing a set of universal job descriptions; developing minimum standards of job knowledge; developing testing f o r c e r t i f i c a t i o n purposes; and i n s t i t u t i n g a public information program. In the report, l i c e n s i n g was not considered as a p r a c t i c a l alternative. There has also existed an examination administered by the Data Processing Management Association since 1960 [26, p. 11], which has since been taken over by the I n s t i t u t e for the C e r t i f i c a t i o n of Computer 3.2. 1 52 Professionals (ICCP), of which the ACM i s a charter member.1 Both l i c e n s i n g and c e r t i f i c a t i o n are, i n these references, desired as regulators of the technical competence of the i n d i v i d u a l . This suggests that the stronger i n t e r e s t s of the profession are not i n the development of a t y p i c a l code of ethics, which usually have l i t t l e content regulating technical competence. Some amount of concern has been expressed for the role and the i d e n t i t y of the ACM, such as whether i t s h a l l remain primarily a technical and educational society, or whether i t i s appropriate for an organization of i t s present nature to adopt a code of e t h i c s . 1 The existence of the two components of software engineering and computer science within a single professional organization i s usually seen as the major complication i n the attempts to define the ACM's long term objectives. However, the recent report of the ACM Long Range Planning Committee [75, p. 78] s t i l l lumps the two categories i n t o one as "computer science and technology", suggesting that " i n planning and evaluating [the ACM's] programs and services" the two may be treated as a unit. There have been no strong attempts to move the organization away from i t s primarily s c i e n t i f i c orientation, but the number of ' p r a c t i c a l people' i n i t s membership becomes increasingly s i g n i f i c a n t . [17] This may s i g n a l a change i n the nature of the ACM, one that would make the existence of a code of ethics increasingly more important. 1 For information on the evolution of the ICCP see [62], [63], [64], [74], [70], and [21]. See also Section 3.5 for the role of CIPS i n the development of the ICCP. i See for example [47], [59], [60], [61], and [71]. 3.2. 1 53 There has been s i g n i f i c a n t concern expressed within the ACM on the s o c i a l r e s p o n s i b i l i t y of the profession, just as there has been s i g n i f i c a n t expressions of t h i s in the general l i t e r a t u r e . One of the areas of concern has been whether or not ACM should take stands on p o l i t i c a l issues. A 1960 report on a meeting of the Council of the ACM [47] noted the tabling of a written request from E.C. Berkeley 1 to consider a proposal that the ACM co-sponsor .a conference "on the peaceful uses of s c i e n t i f i c research. The p o l i t i c a l l y active period of the l a t e s i x t i e s and early seventies was r e f l e c t e d even i n the pages of the Communications 2£ £he ACM , the trend being for the executive and the bulk of the membership of the ACM to r e s i s t p o l i t i c a l involvement. A p e t i t i o n submitted to the ACM Council, reguesting that the ACM go on record as being opposed to the war in Vietnam "was considered outside the present purposes of the ACM". A "question of importance" was submitted to the ACM membership on t h i s [52], and f a i l e d by a margin of four to one. [53] A l e t t e r from Joseph Weizenbaum i n May, 1970 [54], c r i t i c i z e d the ACM membership f o r having decided to carry through with i t s plans to have a national conference i n Chicago, suggesting that i n doing so they t a c i t l y approved the actions of the police authorities of that c i t y during the 196 8 Democratic National Convention. Appearing in Computers and Automation in September, 1972, was a tra n s c r i p t of an address made by E.C. Berkeley to the 25th anniversary 1 Editor of Computers and Peop_le {formerly Computers and Automation^ and a founder of the ACM. 3.2. 1 54 meeting of the ACM, which strongly c r i t i c i z e d the ACM for not taking a stand against industries of t h e i r f i e l d which have a heavy involvement i n the war. However, a recent president of the ACM has expressed the opinion that the ACM should not have an attitude that prevents the expression of p o l i t i c a l sentiment, though at the same time he seemed to deny that the ACM has any p o l i t i c a l power. [73] Other expressions of s o c i a l concern have also appeared i n the Communications of the ACM . There have been arguments for and against the ACM's taking stands on p o l i t i c a l issues, and t h e i r i n s t i t u t i n g of public awareness education a c t i v i t i e s . Ralph Nader, suggested [55] that the professional has r e s p o n s i b i l i t y for developing systems which w i l l redress the balance against the consumer in exis t i n g systems, and that standards must be developed which w i l l permit the professionals the recognition of c o n f l i c t s between professional allegiances and corporate allegiances. He also suggested the i n s t i t u t i o n of an award for the ACM member responsible for the most important program r e l a t i v e to a consumer problem [56], but action on t h i s was tabled by the ACM Council. [57] There has been a v i r t u a l void of items r e l a t i n g to the development of standards of business practice and colleague relationships f o r members of the profession i n the U.S., except for a few brief mentions of the relations of employees to th e i r employers, such as that of Donn Parker i n [51]. The lack of of development i n t h i s area i s re f l e c t e d i n the actual content of the ACM's e t h i c a l code. 3.3 55 3.3 Developments in the B r i t i s h Computer Society The B r i t i s h Computer Society i s the most s i g n i f i c a n t of i t s type i n Great B r i t a i n and i s the only computer society i n that country to have established q u a l i f y i n g procedures for membership and e t h i c a l and professional practice codes. 1 I t i s , in f a c t , the only computer society in Europe to have established a code of et h i c s , and recently hosted a symposium in London on "Rules of Conduct Applicable in Informetrics" for the Council of Europe. [98] The current president of the BCS has claimed i n [99] that t h i s status has been achieved through a conscientious e f f o r t by the BCS to "turn i t s e l f into a professional body" 2 through "1. Creation of professional grades of membership. 2. Setting up a system of examinations and recognised exemptions therefrom. 3. Designing a code of ethics. 4. Devising a code of good practice." In the following, attention i s r e s t r i c t e d to t h e i r e t h i c a l code, the Code of Conduct, and t h e i r code of professional practice, the Code of Good Practice. The BCS i s notable f o r being the only professional society examined in t h i s thesis that has carried t h i s d i s t i n c t i o n to the point of developing two separate codes. Accountancy comes close to t h i s s i t u a t i o n , but t h e i r equivalent 1 This has been i n f e r r e d from the absence, in any of the references originating with the BCS, of mention of a c t i v i t y by other B r i t i s h computing so c i e t i e s i n the same sphere of concern. I t may be that there are no other computing s o c i e t i e s i n Great B r i t a i n of any s i g n i f i c a n c e . 2 Recall our doubts about th e i r c a p a b i l i t y to do so, as expressed i n Section 1.6. 3.3 56 of a code of p r o f e s s i o n a l p r a c t i c e i s not e x p r e s s e d as a code but as a c o l l e c t i o n of d e c i s i o n s . F i r s t mention of the Code of Conduct o c c u r s i n t h e J a n u a r y , 1969 i s s u e o f The Computer B u l l e t i n 1 [86], where the i n i t i a l r e p o r t o f the working p a r t y on the code was n o t e d t o have been t a b l e d a t a meeting o f the BCS C o u n c i l , and t h a t i t was t o be d i s c u s s e d f u r t h e r among C o u n c i l and w o r k i ng p a r t y members. " D r a f t Notes f o r Guidance" appears i n the August i s s u e of t h a t y e a r , a l o n g w i t h a r e p o r t o f i n t e n t t o r e v i s e the d i s c i p l i n a r y p r o c e d u r e . A p p a r e n t l y t h e r e e x i s t e d a d i s c i p l i n a r y procedure p r e c e d i n g any code of e t h i c s . R e l a t i v e l y n o n - s p e c i f i c v e r s i o n s of the code o f e t h i c s and the r e v i s e d d i s c i p l i n a r y procedure were p r e s e n t e d i n l a t e r i s s u e s . Reasons f o r t h e p r o m u l g a t i o n of a code c e n t e r on the e s t a b l i s h m e n t o f a s t a n d a r d o f competence beyond t h a t r e g u i r e d by common law, so t h a t the p u b l i c c o u l d p l a c e i t s t r u s t i n the p r o f e s s i o n (e.g., [87]). The c o n c e r n s of some l e t t e r s r e c e i v e d r e s p o n s e , as p u b l i s h e d i n The Computer B u l l e t i n ^ i n c l u d e d t h e comment t h a t membership o r e x c l u s i o n s h o u l d be based o n l y on t e c h n i c a l competence, e c h o i n g the s e n t i m e n t of much of the r e s p o n s e t o the e t h i c a l code o f t h e ACM; t h a t the code p r o t e c t s t h e s o c i e t y w i t h o u t a s s u r i n g t h e member t h a t he w i l l be a b l e t o 1 The Computer B u l l e t i n was p u b l i s h e d from 1957 t o t h e end of 1972. I t was r e p l a c e d a t t h a t time by Computing, an i n d u s t r i a l news t a b l o i d . Because an i n c o m p l e t e c o l l e c t i o n o f Computing was a v a i l a b l e to t h i s w r i t e r , i t was not examined f o r developments c o n c e r n i n g t h e codes of t h e BCS. A r e c e n t communication from th e S e c r e t e r y - G e n e r a l of the BCS £98] has f i l l e d i n the p o s s i b l e l o s s o f i n f o r m a t i o n on t h i s p e r i o d . P u b l i c a t i o n of The Computer B u l l e t i n , S e r i e s 2, resumed on a q u a r t e r l y b a s i s i n September, 1974. The o n l y i s s u e a v a i l a b l e at t h e t i m e o f t h i s w r i t i n g c o n t a i n e d no p e r t i n e n t i n f o r m a t i o n . 3.3 57 defend himself [88]; the problem of v i a b i l i t y when there are practitioners who are not BCS members [90]; and that the r e s p o n s i b i l i t i e s of the employer as well as the p r a c t i t i o n e r must be recognized. [89] and [93] The revised d i s c i p l i n a r y procedure was accepted at the Annual General Meeting held near the end of 1970 by 11% of the voting members. [91] The f i n a l form of the Code of Conduct 1 was accepted on the authority of the BCS Council, after having received no comment on i t s f i n a l form from the membership. [94] I t was the intent, i n not making the Code of Conduct part of the A r t i c l e s of the Association to allow i t to be changed easily as experience was gained i n i t s use. The BCS Code of Good Practice [96] was. introduced i n the period following the implementation of the Code of Conduct. I t i s a detailed c h e c k l i s t to be used as an instrument of project review by the implementer as well as the user. It i s not enforced under the d i s c i p l i n a r y procedure unless departures from i t s procedures are associated with a formal complaint to the BCS under the Code of Conduct. The f i r s t a n t i c i p a t i o n of the establishment of t h i s code i s found in the September, 1971 issue of The Computer B u l l e t i n [95]. Reasons noted therein for i t s establishment were for i t to be a standard of good practice for investigating and educational committees, as well as a guality standard for pr a c t i t i o n e r s . The draft code was published in January, 1972 [96], and underwent review and study i n anti c i p a t i o n of acceptance. [97] The code 1 Reproduced herein as Appendix I I I ; o r i g i n a l l y published in [94]. 3.3 58 was ultimately accepted, the exact date of which we cannot f i x because of the lapse in resource materials. I t i s currently reported by A s h i l l [98] to be held i n good standing and i s being studied for possible updating. 3.3.1 Issues Concerning the BCS Code The problem of the legal sanction of the Code of Conduct has been e x p l i c i t l y considered by the BCS, as well 1 as for the Dis c i p l i n a r y Procedure. The following was included i n the explanatory notes that followed the implementation of the Di s c i p l i n a r y Procedure [92] : "Broadly speaking the j u r i s d i c t i o n of a profession has the following l i m i t s 1 It can make regulations or Bye-laws for the conduct of i t s own a f f a i r s and the d i s c i p l i n e of i t s members, but i t cannot usurp the j u r i s d i c t i o n of the Courts i n a dispute a r i s i n g from the implementation of i t s r u l e s . 2 If [ i t s l i m i t a t i o n s ] go beyond what can reasonably be related to professional standards of behavior the Courts may intervene... 3 The fac t that a Bye-law or other statement i s worded as a recommendation rather than a r u l e , w i l l not prevent the Courts from considering the manner in which i t i s in f a c t applied. "These points indicate that i f the Society were to use i t s d i s c i p l i n a r y powers i n an oppressive manner, the membership could appeal to the Courts." The Code i t s e l f also recognizes the i n a b i l i t y of the Society to consider a complaint against a member whose conduct i s the subject of l e g a l proceedings, u n t i l those proceedings are terminated. [Item III.1.2 i n Appendix I I I ] There i s i n t h i s no ind i c a t i o n of an intention to obtain 3.3. 1 59 the cooperation of the state in carrying out the d i s c i p l i n a r y function. As a B r i t i s h professional society, i t would have to obtain charter through Parliament to acguire enforcement powers. BCS president Willey has claimed [99] that there i s a need f o r statutory regulation of such things as data banks, but did not mention any leg a l r e s t r a i n t s on pr a c t i t i o n e r s . There has been no indication that the development of the Code of Conduct and the Code of Good Practice have been inappropriate steps for the BCS. It has been claimed by Willey that the composition of the BCS, representing both s c i e n t i f i c and commercial users, i s p a r t i c u l a r l y well suited to the implementation of such codes. An e a r l i e r president also f e l t [85] that the industry had become composed of people whose primary i n t e r e s t s were p r a c t i c a l r e s u l t s , making the establishment of professional attitudes more e a s i l y done. The BCS Code of Conduct has been i d e a l i z e d as a device that states important moral concerns, as was the general rule i n the ACM. There has been no strong tendency i n the BCS to discuss s o c i a l r e s p o n s i b i l i t y as an issue separate from that of an e t h i c a l code, which was not the case i n the American counterpart. The Code of Good Practice provides an e x p l i c i t statement on the business practices of the BCS member. But t h i s code deals only i n a very r e s t r i c t e d sphere of project control, omitting items on privacy of c l i e n t ' s information, r e s t r i c t i o n s on advertising, and the l i k e . So we should not look here for many statements on forms of business practice of the type that appear in the code of the t r a d i t i o n a l professions. 3.4 60 3.4 Developments i n the Australian Computer Society The Australian Computer Society has not yet developed a code of ethics, but has been engaged i n the process of doing so. The ACS e f f o r t s i n t h i s area appear to be the only undertaking of i t s type i n A u s t r a l i a 1 , although t h i s conclusion i s based on the lack of reference to sim i l a r a c t i v i t i e s i n The Australian Computer Journal . An early issue of The Australian Computer Journal carried a report of the May, 1968 meeting of the Council of the ACS £76], which contained several items of note. Among a presentation of the Society's aims and p o l i c i e s were the desires to have membership i n the ACS be a hallmark of competence; that the society be considered an "authority on the implications of computer developments" and to have the society active in overseeing the training of computer professionals. There were several other items also i d e n t i f i a b l e as among those steps occupational groups take as part of professionalization. With these objectives apparently in mind, the Council adopted " i n p r i n c i p l e " the ACM's Guidelines on Professional Conduct in Information Processing (reproduced herein as Appendix I ) . A survey of the members of the profession i n order to obtain their views on the above points was reported on i n the next issue. [77] I t found 88% of the membership being i n favor of adopting a code of ethics, but no questions were asked on the nature of the 1 The period being examined begins with the second issue of The Australian Computer Journal , May, 1968, and ends with the November, 1974 issue. 3 . 4 61 code or whether there should be an accompanying enforcement procedure. We are l a t e r told that the e a r l i e s t actions on the code of ethics issue i n the ACS was the Council meeting of 28 November, 1967, at which time the Q u a l i f i c a t i o n s Committee was asked to draft a code of e t h i c s . As the ACM's Guidelines were published before t h i s committee reported 1, the ACS decided to adopt t h i s code i n November,1968, with minor additions, as unenforced guidelines. In recognizing the lack of an enforcement procedure, they noted: "...an e t h i c a l code can only be enforced by a Society that i s able to protect i t s members against pressure to depart from such a code.... I t was f e l t that the establishment of guidelines, which were in sympathy with those of a large overseas society, would encourage the growth of profession-alism in the ACS, and begin the implementation of one of the Objects of the Society l a i d down i n the Constitution." Later i n 1969 a proposed c o n s t i t u t i o n a l amendment was reported [79] which provided for the "adoption of a code of ethics and the expulsion of members whose conduct i s p r e j u d i c i a l to the good name of the society." No , further actions are reported u n t i l February, 1971 [80], when i t was noted that the code was not being adopted, and that the Q u a l i f i c a t i o n s Committee was instructed to make recommendation on whether any code of ethics could be adopted i n view of a divergence of opinions that had been expressed. The issue seemed to be dying; l a t e r reports of the Council meetings were marked for absence of any comments on the a c t i v i t i e s of the Q u a l i f i c a t i o n s Committee. 1 The ACS notes the publication of the ACM Guidelines i n the Communications of the ACM of March, 1968, although i t was f i r s t published in February of the preceding year. 3.4 62 The idea of adopting a code was revived i n 1974 [83], when the president of the ACS announced the intention of the ACS Council to adopt an obligatory code. Without explaining why the issue has now been resurrected, i t i s stated that the code of ethics would be an es s e n t i a l part of dealing with the problems of the rapid growth of computing. As of the time of t h i s writing (May, 1975) i t i s not known i f t h i s intention was carried out, nor what the content was of the code that they proposed to adopt. This on again, off again behavior i s probably i n d i c a t i v e of the compound problems of deciding on the content and role of a code of ethics. That basic differences in attitudes can exist i s i l l u s t r a t e d i n comparing the sentiments of two s i g n i f i c a n t a r t i c l e s on t h i s subject that have appeared i n The Australian Computer Journal . One states, that inasmuch as a code can st i p u l a t e q u a l i f i c a t i o n s for continued membership, "without a code there can be no profession." [81] The other views a code of ethics and qu a l i f y i n g examinations both as "placebos" - that professional behavior i s not guaranteed by defining what i t i s or i s not, and that a profession i s not established "by a society constructing barricades against latecomers." [84] In the sphere of defining i t s s o c i a l r e s p o n s i b i l i t i e s , the ACS has had a Standing Committee on Public Relations [76] and a la t e r established Social Implications Committee. [82] As i n other computing s o c i e t i e s , there has been a current of concern for the s o c i a l role of the profession, and a desire to have a strong control by the profession of the standards of professional practice. A recent commentary from a member of the 3.4 63 Society [84] has urged that the ACS assume a primarily humanistic orientation. The composition of the ACS i s probably biased toward s c i e n t i f i c types. In a 1969 survey of the membership on stated reasons for joining the Society [77], 55% indicated desire to improve personal knowledge of computers as t h e i r primariy i n t e r e s t , followed by: 17%, to make professional contacts; and 16%, to obtain professional recognition and q u a l i f i c a t i o n s . Other reasons accounted for the remainder. This s i m i l a r i t y i n composition to the ACM might lead us to presume that there w i l l be some p a r a l l e l i n the courses of these two so c i e t i e s i n the matters of e t h i c a l codes. The ACS i s taking steps to produce a "Code of Good Practice in r e l a t i o n to Privacy, Security, and Integrity of Data." [82] Nothing i s indicated about what i t s s p e c i f i c content might be. 3.5 Developments i n the Canadian Information Processing Society A c t i v i t i e s associated with the development of standards of practice in the Canadian Information Processing Society (CIPS) have been, u n t i l recently, almost en t i r e l y in the area of c e r t i f i c a t i o n of programmers, what they c a l l a ccreditation. They have also played a role i n the development of the Institute for the C e r t i f i c a t i o n of Computer Professionals (ICCP). He w i l l b r i e f l y d iscribe the two below, noting also that the ACM's influence i n Canada i s s i g n i f i c a n t , so that our discussion of developments i n the ACM (Section 3.2) i s also relevant i n the 3 . 5 64 Canadian computing profession. CIPS proposed the founding of an organization s i m i l a r in purpose to the ICCP as part of i t s desire to establish a c e r t i f i e d standard of competence for Canadian p r a c t i t i o n e r s , A recommendation of a committee within CIPS to "examine the implications of accreditation" led the Board of Directors of CIPS to° make contact with several North American computing s o c i e t i e s , including ACM and DPMA,1 which might be interested in a separate i n s t i t u t e being established "to conduct the a f f a i r s of accreditation." [100] A detailed proposal was made shortly thereafter. [101] After some discussion of the proposal {[102], [103], [104], and [105]), i t was not i n s t i t u t e d , the executive of CIPS deciding not to do so after conducting a nationwide p o l l of the membership and obtaining an unfavorable response. [106] CIPS l a t e r joined the Computer Foundation, the predecessor of the ICCP, the ori g i n of which organization i s now credited to a jo i n t proposal of the ACM and the DPMA. £107] Though the idea was s i m i l a r , the proposed a c t i v i t i e s of the Computer Foundation were not i d e n t i c a l to those of the CIPS accreditation body proposal. The dir e c t o r s of CIPS decided to pa r t i c i p a t e i n the organizing committee of the Computer Foundation and to work to have i t become compatible with the reguirements of CIPS. More recently, however, CIPS has taken a step toward the i n s t i t u t i o n of a code of ethics. The executive has proposed that the national organization adopt a short code now i n effect i n 1 The Data Processing Management Association u n t i l 1974 was the administrator of an exam leading to the C e r t i f i c a t e i n Data Processing (CDP), a c e r t i f i c a t i o n that i s oriented toward business data processing and management of data processing. 3.5 65 i t s Toronto group. [108] At th e i r annual general meeting i n June of 1975 i t was decided that t h i s was a matter of s u f f i c i e n t importance to p o l l the membership concerning the adoption of the code. [109] 3.6 The Content of the ACM and BCS Et h i c a l Codes We undertake now to examine the content of the ACM Code of Professional Conduct and the BCS Code of Conduct, as reproduced in Appendices II and I I I , respectively. Both of the c l a s s i f i c a t i o n s developed i n Chapter 2 w i l l be used, with extensions as necessary to the categories used there. 3.6.1 Structure of the Codes The ACM code has adopted the form of the ABA Code of Professional Responsibility. It consists of major headings, the Canons, and subdivisions of recommended and enforceable considerations, c a l l e d the E t h i c a l Considerations (EC) and D i s c i p l i n a r y Rules (DR), respectively. Note that the l a t t e r i s not to be confused with a d i s c i p l i n a r y procedure. Since there i s currently no enforcement procedure in e f f e c t i n the ACM, the mandatory aspect of the DR's i s questionable, and they are taken here on the same l e v e l as the EC's. The general p r i n c i p l e s underlying the BCS Code of Conduct 3.6-1 66 are stated i n the section headed P r i n c i p l e s . Paragraph 1.6 in the code explains that these P r i n c i p l e s are of a general nature, whereas the Notes for Guidance provide more d e t a i l . Section I of the Notes f o r Guidance i s primarily an introduction and background to the code, as i s the Forward by the President, and these sections w i l l be largely ignored i n the following discussion. A l l of the items under "Normal Business A c t i v i t i e s " , and " A c t i v i t i e s on behalf of the Society" are apparently considered enforceable. The BCS code i s straightforward, but the highly structured ACM code has some p e c u l i a r i t i e s of content. These come i n the form of redundancies i n statements made by some of the EC's and DB's, such as repeated statements on misrperesentation of competence and improper use of ACM membership to gain professional advantage. Most of these redundancies are within a single Canon, but there would seem to be l i t t l e harm i n having redundancies not within the same Canon. As was suggested when t h i s same s i t u a t i o n was encountered i n the ABA code, repeated statements under d i f f e r e n t Canons have the efect of placing a r e s p o n s i b i l i t y into more than one context. The proposed CIPS code b a s i c a l l y consists of only four paragraphs, each a b r i e f statement on the r e s p o n s i b i l i t i e s of a member to the public, employers and c l i e n t s , and his colleagues, as well as to his own professional character. Because t h i s code i s s t i l l i n the proposal stage, and because of i t s brevity, we w i l l not discuss i t below, we note only that i t s sentiments, being broadly expressed, agree with the more s p e c i f i c statement of the ACM and BCS codes. 3.6.2 67 3.6.2 Comparison of Codes In comparing the two codes' major categories we f i n d that ACM Canons 1 and 2 together correspond to BCS P r i n c i p l e 1 (on in t e g r i t y and competence), and that ACM Canon 3 corresponds d i r e c t l y to BCS P r i n c i p l e 4 (on accepting r e s p o n s i b i l i t y f o r work done). There are no s p e c i f i c statements i n the BCS Pri n c i p l e s corresponding to the ACM's Canons 4 (act with professional r e s p o n s i b i l i t y ) and 5 (use of s k i l l s for the advancement of human welfare). The remaining BCS P r i n c i p l e s 2, 3, and 5 (discretion, i m p a r t i a l i t y and disclosure of c o n f l i c t i n g i n t e r e s t , and not to seek personal advantage to the detriment of the Society) can account for the sentiment of ACM Canon 4 (act with professional r e s p o n s i b i l i t y ) , but the BCS Princip l e s do not address themselves to the issues covered by the l a s t ACM Canon, 5. We w i l l see, in fa c t , that the Notes f o r Guidance of the BCS code contain an e x p l i c i t disclaimer of any attempt to deal with the effects of computers on society. This l a s t d i s t i n c t i o n , in f a c t , i s the most outstanding difference throughout the two codes, and distinguishes the ACM code from any of those examined i n chapter 2. The large amount of l i t e r a t u r e on the subject of the impact of computers on society that i s being generated i n the U.S. i s re f l e c t e d i n the formal statements on professional r e s p o n s i b i l i t y of the leading computer society of that country. Rather than accusing the ACM of being a maverick, they should be complimented f o r making e x p l i c i t statements on the r e s p o n s i b i l i t i e s of t h e i r members to society. (They may be accused of having omitted any statements 3,6. 2 68 on the r e s p o n s i b i l i t y of the professional organization i t s e l f , however.) The most that professions t y p i c a l l y do in. t h i s area i s to assert that close d e f i n i t i o n s of standards of business practice i s the means through which society i s protected from abuses, a l b e i t the protection i s i n d i r e c t . There are unanswered problems related to t h i s . Is the profession capable of dealing with t h i s situation? Can i t be trusted to make judicious decisions, i . e . , i s i t safe to entrust an engineering type society to dire c t a technology that has a profound influence on human a f f a i r s ? Is i t within the function of a representative democracy to have a group of s p e c i a l i s t s defining the course of a major aspect of technology? Such i s the attempt of the profession, although the r e a l control remains neither in the profession nor the state, but in the business community. But i f control were taken over by the state, would i t be able to assure a safe and humanistic course? It i s not safe at t h i s juncture to predict what the best form of control s h a l l be. Other than t h i s notable new component to a code of et h i c s , then, we are l e f t with f a i r l y t y p i c a l examples of such codes. Neither code i s so comprehensive as the ABA * s, lacking the long h i s t o r i c a l development of that organization and i t s code; nor are they so c l e a r l y stated as the ECPD's, possibly lacking a clear view of which groups r e s p o n s i b i l i t i e s are due to. Without attempting too s t r i c t a c l a s s i f i c a t i o n of the lower l e v e l items of the two codes, certain trends nonetheless are apparent. In general, they follow the major headings of the codes. There are i n both s o c i e t i e s obvious biases of concern for 3.6.2 69 c l i e n t and employer re l a t i o n s h i p s . There i s also a reasonable amount of concern f o r relations to colleagues, and to the profession as a whole. The ACM code reveals a s i g n i f i c a n t number of items which are not s p e c i f i c about the locus of r e s p o n s i b i l i t y ; the items invloved deal primarily with the technical competence of the p r a c t i t i o n e r , and could thus be considered as a r e s p o n s i b i l i t y reguirement placed d i r e c t l y on the p r a c t i t i o n e r , rather than on some interface between him and another group. These trends are to be found i n nearly isomorphic form i n the categorization by functional requirement. For both codes, items describing standards of business practice correspond to those in the category of r e s p o n s i b i l i t i e s to c l i e n t and employer i n the f i r s t c l a s s i f i c a t i o n , with a weaker connection to the categories of r e l a t i o n s to colleagues and re l a t i o n s to t h i r d parties. And as already noted, items r e l a t i n g to technical performance i n the second c l a s s i f i c a t i o n are a l l found to be non-specific i n the f i r s t . This leaves a d i r e c t carry over of the categories on r e s p o n s i b i l i t y to society and the law and on r e s p o n s i b i l i t y to the profession, from the former c l a s s i f i c a t i o n to the l a t t e r . In the BCS code, the the second categorization i s weighted heavily toward statements of business practice. It also reveals that the BCS code has no dir e c t requirements on the technical competence of the p r a c t i t i o n e r , a notable omission. In either categorization both codes have entries concerning r e s p o n s i b i l i t i e s to society and the law. I f t h i s category i s s p l i t into two, we would f i n d that the ACM code makes no 3.6.2 70 statements on the l e g a l standing of the society regarding d i s c i p l i n a r y action (as i s covered in BCS items 1.12 and 1.16), or on the ri g h t of the society to refuse to disc l o s e communications made to i t i n confidence by i t s members (as i s i n BCS item 1.16) On the other hand, the BCS code e x p l i c i t l y states that i t i s not taking a s p e c i f i c stand on the impacts of computers on basic human rights (item 1.5). There are also differences to be found in the treatments of business dealings. The ACM code i s les s s p e c i f i c here. I t does have statements concerning avoidance of c o n f l i c t of interest, or the c o n f i d e n t i a l i t y of c l i e n t and employer information. There are no statements regarding f e e - s p l i t t i n g , advertising of services, luring away another p r a c t i t i o n e r ' s employees, non-competiton among members, or prevention of practice by nonprofessionals - to name just a few of the items that might be extracted from the codes examined i n Chapter 2, and which might be considered applicable to most any professional society. The BCS code does have prohibitions on at least the f i r s t three of the items just given as omissions from the ACM code, but i s s t i l l r e l a t i v e l y sparse in d e t a i l . Apparently, though the computing professions display an intere s t i n t h i s area, they seem to need a longer t r a d i t i o n to be able to determine what practices are detrimental to the profession, or to determine what they want the nature of the profession to be, before the appropriate controls can be rea l i z e d i n e t h i c a l codes. We might conclude then, that i f the BCS code i s t y p i c a l but not highly developed, then the ACM code, with i t s possibly precocious but unusual concern for the impact of the 3.6. 2 71 profession's practice on society, i s r e l a t i v e l y p r i mitive and aty p i c a l i n content. 3.7 Di s c i p l i n a r y Procedures i n the ACM and the BCS As there i s the p o s s i b i l i t y that the ACM w i l l ultimately adopt a d i s c i p l i n a r y procedure, we w i l l b r i e f l y examine the proposed procedure that was turned down by the ACM Council. [67] We w i l l compare t h i s to what we know . of the BCS Dis c i p l i n a r y Procedure from some "Explanatory Notes." [92] Both of these documents provide s i m i l a r routes for receiving complaints, by way of an inve s t i g a t i n g committee> and of acting on these, by way of a d i s c i p l i n a r y committee. In the case of the ACM, recommendations for d i s c i p l i n a r y action are made to the Council, which then decides what action to take, be i t expulsion, suspension, or admonition. No appeals procedure i s provided f o r . In the BCS the d i s c i p l i n a r y committee has r e s p o n s i b i l i t y f o r imposing the penalty, the p o s s i b i l i t i e s being exclusion, suspension, reprimand, or admonishment. Members may appeal for a change i n sentence, but the appeals committee has no power to overturn a decision of the d i s c i p l i n a r y committee. In neither society i s there a provision for destroying the records of d i s c i p l i n a r y proceding against those who were ultimately exonerated. There exists no function for any of these committees to make recommendations for changes to the e t h i c a l codes or other documents under which the member i s culpable, as i s the case for 3.7 72 other professional s o c i e t i e s that were investigated. In the ACM, no recognition i s made of whether or not i t has l e g a l r i g h t to exclude members form the profession, but then, membership in the ACM i s not now a requirement for practice. The profession w i l l have to mature considerably before these become pertinent issues. There are no apparent published reports on the experience of the BCS i n the u t i l i z a t i o n of their D i s c i p l i n a r y Procedure; t h e i r D i s c i p l i n a r y Committee has the option not to publicize any of th e i r cases. 3.8 Conclusion The development of e t h i c a l codes in the computing s o c i e t i e s i s seen to be following the same pattern as occured i n the other professional s o c i e t i e s that were examined. This i s r e f l e c t e d i n both the evolution of the code from a set of general guidelines to a detailed statement of r e s p o n s i b i l i t i e s , and in the actual content of the codes examined. Most observers agree that the code of ethics i s the instrument that assures the objectives of professionalization: the guarantees of a service ethic, and high standards of technical competence and business practice. The contents of the various codes examined reveal that they do indeed deal with some problems at t h i s l e v e l . They are often weak in dealing with the r e s p o n s i b i l i t y of the pr a c t i t i o n e r and the profession f o r the eff e c t s of the application of their practice on society. In the Association for Computing Machinery, the strong 3.8 73 interest in technical standards rather than a code of ethics may be seen as a r e f l e c t i o n of the present s c i e n t i f i c orientation of that body. As i t s membership composition gradually s h i f t s toward software engineering, one expects that the desire for a code of ethics w i l l strengthen. This i s somewhat complicated by the presence of the I n s t i t u t e for the C e r t i f i c a t i o n of computer Professionals , which could take over t h i s r o l e , or at least take some of the impetus out of i t by decentralizing i t . The B r i t i s h Computer Society provides a more t y p i c a l example of the professionalization process, and a more t y p i c a l code of ethi c s , than the ACM. Its position i n control of the profession and the consumer i s more advanced. The Canadian Information Processing Society and the Australian Computer Society are i n the very early stages of the development of e t h i c a l codes. It i s not possible to account unambiguously for the high degree of a c t i v i t y i n the North American computing community related to the issues of the iraact of computer use on society and individuals. Perhaps i t i s an encouraging sign, a break i n the t r a d i t i o n a l concerns of the profession. On the other hand, i t may just be a passing trend. 74 BIBLIOGRAPHY (Entries indicated £*] were used i n the preparation of t h i s thesis but were not s p e c i f i c a l l y referenced i n the text.) I. Bibliographies on Professions and Professional Ethics £*] Gothie, Daniel L-, A Selected Bibliography of Applied Ethics i n the Professions j 1,9,50-1970^  University Press of V i r g i n i a , C h a r l o t t e s v i l l e (1973) (See also bibliographies i n : £4], [84], £19], and £29]) I I . Sociology of Science and the Professions £1] Carr-Saunders, A.M., & Wilson, P.A., The Professions Frank Case and Co., Ltd., London (1964) f O r i g i n a l l y published i n 1933. ] £2] Cogan, Morris L., "The Problem of Defining a Profession" i n £5], pp. 105-111 £3] Durkheim, Emile, extract from The D i v i s i o n of Labor i n Society i n £9], pp. 48-49 £4] Johnson, Terence J. 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(1973)* BIBLIOGRAPHY 76 [20] Naur, P., & Randell, B., eds.. Software Engineering Report on a Conference Sponsored by the NATO Science Committee, Garmisch, Germany. S c i e n t i f i c A f f a i r s Division, NATO, Brussels 3 9, Belgium [21] Pair, Paul M., "Professional C e r t i f i c a t i o n of Computer People" Letter, Computers and People 23:5 (May 1974) p. 33 [22] " C l a s s i f i c a t i o n of Computer Operators and Programmers: Current Industry Practices. Preliminary Report on ACM SIGCPR Survey" Communications of the ACM 15:2 (Feb 1972) pp. 122-123 [23] Taviss, Irene, ed.. The Computer Impact Prentiss H a l l , Englewood C l i f f s , N.J. (1970) [paperback] [24] "From the Federal Register of December 2, 1971, Relative to the Status of Data Processing Employees" Communications of the ACM 15:2 (Feb 1972) p. 129 [25] Weizenbaum, Joseph, "On the Impact of Computers on Society" Science 176 (12 May 1972) pp. 609-614 [26] Wirtz, H i l l a r d , chairman. Professionalism in the Computer F i e l d Report of a Roundtable. Discussion, January 21-22, 1970, AFXPS Press, Montvale, N.J. 07645 (1970) IV. Ethics of the Professions (Other than Computing) [27] Alger, P h i l i p L., Christensen, N.A. 8 S t e r l i n g , P., E t h i c a l Problems i n Engineering Under sponsorship of the Ethics Committee of the American Society for Engineering and the co-sponsorship of the Engineers 1 Council for Professional Development and the National Society of Professional Engineers. Edited by Barrington S. Havens and John A. M i l l e r . John Wiley and Sons, N.Y. (1965) [28 ] Code of Professional Responsibility and Code of J u d i c i a l Conduct American Bar Association (1971) [29] Brown, R., Hoffman, W., Humphrey, P. & Thompson, D., A Study of the J u d i c i a l V i a b i l i t y of the Codes of Ethics of Medicine, Social Work . and Librarianship Thesis f o r Master of Social Work, School of Social Work, University of B r i t i s h Columbia (1965) [30] Carey, John 1., "The Ethics of Public Accounting" i n [5] pp. 1-8 BIBLIOGRAPHY 77 [31] Code of Ethics The College of Physicians and Surgeons of B r i t i s h Columbia (1951) [32] AAAS Committee on Science i n the Promotion of Human Welfare, Barry Commoner, Chairman, "Science and Human Welfare" Science 132 (8 J u l 1960) pp. 68-73 [33] Cranberg, Lawrence L., " E t h i c a l Code for S c i e n t i s t s ? " Letter, Science 141 (27 Sep 1963) p. 1242 [34] , " E t h i c a l Problems of S c i e n t i s t s " Educational Record 46 (summer 1965) pp. 282-294 [35] , "Science, Ethics, and the Law" Zygon Journal of Religion and Science 2 (Sep 1967) pp. 262-271 [36] Cummings, George Bain, "Standards of Professional Practice in Architecture" in [5] pp. 9-16 [37] Drinker, Henry S., Legal Ethics Columbia University Press, N.Y. (1953) [38] , "Legal Ethics" i n [5 ] pp. 37-45 [39] Fishbein, Morris , A History of the American Medical Association W.B. Saunders Co., Philadelphia (1947) [40] F i t t s , William T. & F i t t s , Barbara, " E t h i c a l Standards of the Medical Profession" i n [5 ] pp. 17-36 [41] Greenwood, Ernest, Reprint of "Attributes of a Profession" from Social Work 2:3 (Jul 1957) pp. 44-55, i n £9] pp. 10-19 £42] Goode, William, Reprint of "The Li b r a r i a n : From Occupation to Profession?" from The Library Quarterly 31:4 (Oct 1961) pp. 306-319, i n £9] pp. 34-43 £43] Acts and Rules The Law, Society of B r i t i s h Columbia. Contains the Legal Professions Act of B r i t i s h Columbia (1969); Rules of the Law Society of B r i t i s h Columbia (1969); and the Professional Conduct Handbook of the Law Society of B r i t i s h Columbia (no date) . £44] Orkin, Mark M., Legal E t h i c s A Study of Professional Conduct Cartwright & Sons, Ltd., Toronto (1957) £45] Perry, Cyrus C , "A Code of Ethics for Public School Teachers" in £5] pp. 76-82 £*] Russell, Bertrand, "The Social R e s p o n s i b i l i t i e s of the S c i e n t i s t " Science 131 (12 Feb 1960) pp. 391-392 £46] Wagner, H.A., "P r i n c i p l e s of Professional Conduct i n Engineering" in £5] pp. 45-58 BIBLIOGRAPHY 78 V. References S p e c i f i c to Developments of Codes by the Association f o r Computing Machinery (chronologically ordered) [*] Armer, Paul, "Letters to the Editor" Communications of the ACM 2:1 (Jan 1959) pp. 2-4 [*] "Minutes of the ACM Council Meeting of May 3, 1960" Communications of the ACM 3:7 (Jul 1970) pp. 403-405+ [47] Sidlo, CM., "The Making of a Profession" Letter to the Editor, Communications of the ACM 4:9 (Sep 1961) pp. 366-367 [48] Oettinger, A.E., "President's Letter to ACM Membership" Communications of the ACM 9:8 (Aug 1966) pp. 545-546 [49] Fein, Louis, "ACM Has a C r i s i s of Identity?" Letter to the Editor, Communications of the ACM 10:1 (Jan 1967) P- 1 [*] "ACM Council Adopts Professional Conduct Guidelines" Communications of the ACM 10:2 (Feb 1967) p. 128 [50] "Professional Conduct in Information Processing" Communications of the ACM 10:2 (Feb 1967) p. 129 [51] Parker, Donn B., "Rules of Ethics i n Information Processing" Communications of the ACM 11:3 (Mar 1968) p. 198+ [*] Galler, B.A., " President's Letter to ACM Membership. Involvement" Communications of the ACM 11:10 (Oct 1968) p 659 [52] "Should ACM Consider Positions on P o l i t i c a l and So c i a l Issues?" Communications of the ACM 12:2 (Feb 1969) p. 119+ [*] "ACM Offers Ethics Guidelines, Not a Code" Communications of the ACM 12:2 (Feb 1969) p. 122 [*] "ACM Ethics Enforcement not Feasible at Present" Communications of the ACM 12:7 (Jul 1969) p. 415 [53] Galler, B.A., "ACM President's Letter. I Protest" Communications of the ACM 12:8 (Aug 1969) p. 421 [*] Carlson, Halter M., "Letter from the ACM Vice President. BIBLIOGRAPHY 79 There Is a Tide i n the a f f a i r s of Men..." Communications of the ACM 12:10 (Oct 1969) p. 537 [*] Loeser, B.V., "Is the Cost of ACM Ethics Enforcement Beally P r o h i b i t i v e ? " Communications of the ACM 12:11 (Nov 1969) p. 594 [*] Constitution of the ACM, Communications of the ACM 13:2 (Feb 1970) p. 133+ [ * 3 MacCraken, Daniel D., Armer, Paul 8 Doren, William M., "Letters to the Editor" Communications of the ACM 13:4 (Apr 1970) pp. 209-210 [54] Weizenbaum, Joseph, "More on the Site of ACM '71" Letter to the Editor, Communications of the ACM 13:5 (May 1970) p. 278 [55] "ACM 70: Conference Boundup. Nader Warns of Consumer Disquiet and Stresses R e s p o n s i b i l i t i e s of Professional Societies" Communications of the ACM 13:10 (Oct 1970) pp. 635-636 [56] "ACM Weighs Nader Offer" Communications of the ACM 13:10 (Oct 1970) p. 640 [57] "ACM Council Meeting, November 19-20, 1970. Minutes Summary" Communications of the ACM 14:1 (Jan 1971) pp. 54-55 [*] Morton, R.P., "ACM Forum. The Social Role of the ACM -Another Approach" Communications of the ACM 14:2 (Feb 1971) p. 121 [* ] " O f f i c i a l ACM. Proposed Constitutional Amendments" Communications of the ACM 14:2 (Feb 1971) p 123+ [*] "Membership Approves Amendments to ACM Constitution" Communications of the ACM 14:4 (Apr 1971) p 289 [58] "Should Computer Professionals Be Licensed?" Communications of the ACM 14:5 (May 1971) pp. 368-370 [*] "Need for Responsibilty Among Computer Professionals Stressed by SJCC Keynote Speaker" [ S i r John L. Wall, Chairman, International Computers Ltd.] Communications of the ACM 14:7 (Jul 1971) pp. 505-506 [*] M i l l s , Roger, "On ACM Professional Standards and Practices" Communications of the ACM 14:8 (Aug 1971) pp. 507-508 [*] Connelly, Albert L., "ACM Forum. Problems i n Formulating Professional Standards" Communications of the ACM BIBLIOGRAPHY 80 15:1 (Jan 1972) p. 55 [59] Tompkins, H.E., "ACM Forum. Can ACS Serve A l l ? " Communications of the ACM 15:4 (Apr 1972) p. 280 [60] Ralston, Anthony, "ACM President's Letter. The Next Two Years" Communications of the ACM 15:7 (Jul 1972) pp. 499-500 [61] Juneman, . Robert R., "ACM Forum. On C r i t e r i a f or a Programmer's Exellence" Communications of the ACM 15:10 (Oct 1972) p. 925 [*] Vaira, Joseph L., "ACM Forum. At ACM 72" Communications of the ACM 15:10 (Oct 1972) p. 926 [62] "ACM, DPMA Seek Support for Professional C e r t i f i c a t i o n " Communications of the ACM 15:11 (Nov 1972) p. 1019 [63] "ACM and DPMA Move on Computer Foundation" Communications of the ACM 16:2 (Jan 1973) p. 131 . [64] Ralston, Anthony, "ACM President's Letter. ACM and the Proposed Computer Foundation" Communications of the ACM 16:4 (Apr 1973) pp. 197-198 [65] , "Introduction to Code of Ethics Publication" Communications of the ACM 16:4 (Apr 1973) pp. 262-263 [66] M i l l s , Soger L., Chairman, "Report of the Professional Standards and Practices Committee to ACM Council, Anaheim, C a l i f o r n i a , December 8, 1972" Communications of the ACM 16:4 (Apr 1973) pp. 263-264 [67] "Proposed ACM Code of Professional Conduct" Communications of the ACM 16:4 (Apr 1973) pp. 265-266 [68] "Proposed Policy Regarding Procedure i n Professional Conduct Cases." Communications of the ACM 16:4 (Apr 1973) pp. 266-268 [69] Denning, Peter J . ; Glaser, George; Hammer, Carl; B Salton, Gerard, "A Statement Opposing the Proposed Code of Professional Conduct" Communications of the ACM 16:4 (Apr 1973) pp. 268-269 [70] Ralston, Anthony, "ACM President's Letter. The Roles of ACM IV. ACM and i t s Members: Relevancy and Responsibility" Communications of the ACM 16:7 (Jul 1973) p. 397+ [71] "ACM President Ralston Acknowledges Letters" [Included in "Forum" with numerous l e t t e r s on Computer Foundation and Code of Professional Conduct Proposals. ] BIBLIOGRAPHY 81 Communications of the ACM 16:7 (Jul 1973) pp. 453-455 [72] Ralston, Anthony, "ACM President's Letter. Ethics" Communications of the ACM 17:1 (Jan 1974) p. 2 [73] , "ACM President's Letter - Sakharov" Communications of the ACM 17:2 (Feb 1974) p. 61 [*] MacCraken, Daniel D., Chairman, ACM Committee on Computers and Public Policy, "A Problem L i s t of Issues Concerning Computers and the Public Policy" Communications of the ACM 17:9 (Sep 1974) pp. 495-503 [74] Sammet, Jean E., "ACM President's Letter. Education, C e r t i f i c a t i o n , and the CDP Exam" Communications of the ACM 17:10 (Oct 1974) pp. 547-548 [75] , Chairman, "Recommended Future Directions f o r ACM. Summary of F i n a l Report of Long Range Planning 'Committee, May 1973 to November, 1974" Communications of the ACM 18:2 (Feb 1975) pp. 77-90 VI. References S p e c i f i c to Developments of Codes by the Australian Computer Society (Chronologically Ordered) [76] "Council Notes" The Australian Computer Journal 1:3 (Nov 1968) pp. 189-190 , [*] "Council Notes" The Australian Computer Journal 1:4 (May 1969) p. 241 [77] "1968 ACS Membership Survey" The Australian Computer Journal 1:4 (May 1969) pp. 219-236* [78] "Council Decision on Guidelines to Professional Conduct i n Information Processing" The Australian Computer Journal 1:4 (May 1969) pp.~242-243 [79] "Council Notes" The Australian Computer Journal 1:5 (Nov 1969) pp. 289-290 [80] "Council Notes" The Australian Computer Journal 3:1 (Feb 1971) p. 19 [81] Taylor, A.A., "Professionalism and Apathy" The Australian Computer Journal 4:3 (Aug 1972) pp. 104-111 [82] "Eighth Report of Council" The Australian Computer Journal 6:2 (Jul 1974) pp. 82-87 BIBLIOGRAPHY 82 [83] Goldsworthy, Ashley W., "A Question of Ethics" The Australian Computer Journal 6:2 (Jul 1974) p. 50 [84] Holmes, W.N., "The Social Implications of the Australian Computer Society" The Australian Computer Journal 6:3 (Nov 1974) pp. 124-128 VII. References S p e c i f i c to Developments of Codes by the B r i t i s h Computer Society (Chronologically Ordered) [85] G i l l , S., "Professor G i l l ' s P r e sidential Address. We Must Accomodate the Rapid Rate of Change" The Computer B u l l e t i n 12:7 (Nov 1968) pp. 242-246 [86] "BCS Council News in B r i e f " The Computer B u l l e t i n 13:1 (Jan 1969) p. 3 [*] "Professional Ethics with Draft Notes for Guidance" The Computer B u l l e t i n 13:8 (Aug 1969) p. 257 [87] "BCS - Alteration to A r t i c l e s . Professional Ethics and D i s c i p l i n a r y Procedure" The Computer B u l l e t i n 14:2 (Feb 1970) pp. 45-47 [*] "Code of Conduct" The Computer B u l l e t i n 14:3 (Mar 1970) pp. 81-83 [*] "The President Comments" The Computer B u l l e t i n 14:3 (Mar 1970) p. 83 [Same as Section I "of BCS Code of Conduct, [94] and Appendix III herein] [*] "Code Papers Received" The Computer B u l l e t i n 14:3 (Mar 1970) p. 83 [88] Chesterson, B.K., "Proposed Code of Ethics" Letter to the Editor The Computer B u l l e t i n 14:6 (Jun 1970) p. i - i i [89] Duncan, F.G., "The Code...More points to Ponder" Letters to the Editor The Computer B u l l e t i n 14:7 (Jul 1970) pp. 240-241 [90] Campbell, D.A., "A Further Contribution to the Discussion of E t h i c s " The Computer B u l l e t i n 14:9 (Sep 1970) pp. 327-329 [91] "Thirteenth Annual General Meeting" The Computer B u l l e t i n 14:11 (Nov 1970) p. 367 [92] "Explanatory Notes on the Disc i p l i n a r y Structure" The Computer B u l l e t i n 14:11 (Nov 1970) pp. 374-375 BIBLIOGRAPHY 83 [93] Williams, D.O., "More about the Code" Letter to the Editor, The Computer B u l l e t i n 14:11 (Nov 1970) p. 390 [94] "The B r i t i s h Computer Society Code of Conduct" The Computer B u l l e t i n Supplement 15:3 (Mar 1971) pp. i i i - v [95] Waller, R.R., "Code of Good Practice" The Computer B u l l e t i n 15:9 (Sep 19 71) p. 329 [96] "Draft Code of Good Practice" The Computer B u l l e t i n Supplement 16:1 (Jan 1972) pp. 52-62 [97] "Conference Report. Code of Good Practice" The Computer B u l l e t i n 16:4 (Apr 1972) p. 195+ [98] A s h i l l , M.C., Personal Communication with attachments on Council of Europe Symposium on Rules of Conduct Applicable in Informatics. 25 November 1974, M.C. A s h i l l , Secretary-General, The B r i t i s h Computer Society, 29 Portland Place, London, W1N 4HU [99] Willey, E.L., "Self-Regulation, or Statutory Organisation, of the Computer Profession" Preprint of a r t i c l e to appear i n The Computer B u l l e t i n Series 2; provided with [98] VII. References S p e c i f i c to Developments of Codes by the Canadian Information Processing Society (Chronologically Ordered) [100] "Horizons 71. Excerpts from Speeches" CIPS Magazine 1.1:1 (Mar 1971) p. 16 [101] Kerrigan, W.M. & Abrahams, J.R., "The Information Processing Profession i n Canada - A Plan for Action" CIPS Magazine 11:4 (May 1971) pp. 9-11+ [102] F i e r h e l l e r , G.A., "Professionalism in Data Processing" CIPS Magazine 2:9 (Dec 1971) pp. 6-7 [103] Kerrigan, W.M., "Accreditation: Start I t " CIPS Magazine 2:9 (Dec 1971) p. 8+ [104] Sharp, I.P., "Accreditation: Scrap I t " CIPS Magazine 2:9 (Dec 1971) p. 9+ [105] "Accreditation: Letters to the Editor" CIPS Magazine 2:9 (Dec 1971) p. 10+ BIBLIOGRAPHY 84 [106] "National Board Report: CIPS Members Vote Against Accreditation" CIPS Magazine 3:3 (Apr 1972) p. 9+ [107] Pike, G.M., "CIPS Joins the Computer Foundation" CIPS Magazine 4:5 (May 1973) p. 18+ [*] Bertrand, Guy, "Standardization or Accreditation... Which i s More Important?" CIPS Magazine 5:3 (Mar 1974) pp. 659 [*] Gellman, Harvey S., [from a speech] " 'Computer People Must Protect Society from our Wrongdoings* " CIPS iiaaazine 5:5 (May 1974) p. 13 [108] Crouse, David W., "Code of Ethics Proposed for Vote by Members at Regina AGM" CIPS Computer Magazine 6:5 (May 1975) p. 26 [ 109] Kennedy, James M., personal communication; University of B r i t i s h Columbia, Vancouver, B.C., Canada 85 APPENDIX I Profess ional Conduct in Information Processing* INTRODUCTION This set of guidel ines was adopted by the Counci l of the Associat ion for Computing Machinery on November 11, 1966 i n the s p i r i t of providing a guide to the members of the Assoc ia t ion . In the years to come th i s set of guidel ines i s expected to evolve in to an e f f ec t ive means of preserving a high l e v e l of e t h i c a l conduct. In the meantime i t i s planned that ACM members w i l l use these guidel ines in the i r own profess ional l i v e s . They are urged to refer e t h i c a l problems to the proper ACM author i t i e s as spec i f i ed i n the Const i tu t ion and Bylaws to receive further guidance and in turn to a s s i s t in the evolut ion of the set of gu ide l ines . PREAMBLE The profess ional person, to uphold and advance the honor, d ign i ty and ef fect iveness of the profession i n the ar t s and sciences of information processing, and i n keeping with high standards of competence and e t h i c a l conduct: H i l l be honest, f o r t h r i g h t and i m p a r t i a l ; w i l l serve with l o y a l t y h i s employer, c l i e n t s and the p u b l i c ; w i l l s t r i v e to increase the competence and prest ige of h i s profess ion; w i l l use h i s s p e c i a l knowledge and s k i l l for the advancement of human welfare. 1. Relat ions with the Publ ic 1.1 An ACM member w i l l have proper regard for the hea l th , pr ivacy , safety and general welfare of the publ ic i n the performance of h i s profess ional dut ies . 1.2 He w i l l endeavor to extend publ ic knowledge, understanding and appreciat ion of computing machines and information processing and achievements i n t h e i r a p p l i c a t i o n , and w i l l oppose any untrue, inaccurate or exaggerated statements or c la ims. 1.3 He w i l l express an opinion on a subject within h i s competence only when i t i s founded on adequate knowledge and honest c o n v i c t i o n , and w i l l properly qua l i fy himself when expressing an opinion outside of his profess ional f i e l d . 1.4 He w i l l preface any part isan statement, c r i t i c i s m s or arguments that he may issue concerning information processing by c l e a r l y i n d i c a t i n g on whose behalf they are 1 F i r s t appearing in [50] . APPENDIX I 86 made. 2. Relations with Employers and Clients 2.1 An ACM member w i l l act i n professional matters as a f a i t h f u l agent or trustee for each employer or c l i e n t and w i l l not disclose private information belonging to any present or former employer or c l i e n t without his consent. 2.2 He w i l l indicate to his employer or c l i e n t the conseguences to be expected i f his professional judgement i s over-ruled. 2.3 He w i l l undertake only those professional assignments for which he i s q u a l i f i e d and which the state of the art supports. 2.4 He i s responsible to his employer or c l i e n t to meet sp e c i f i c a t i o n s to which he i s committed in tasks he performs and products he produces, and to design and develop systems that adeguately perform t h e i r function and sa t i s f y his employer's or c l i e n t ' s operational needs. 3. Relations with Other Professionals 3.1 An ACM member w i l l take care that c r e d i t f o r work i s given to those whom c r e d i t i s properly due. 3.2 He w i l l endeavor to provide opportunity and encouragement to the professional development and advancement of professionals or those aspiring to become professionals with whom he comes i n contact. 3.3 He w i l l not injure maliciously the professional reputation or practice of another person and w i l l conduct professional competition on a high plane. If he has proof that another person has been unethical, i l l e g a l or unfair on his professional practice concerning information processing, he should so advise the proper authority. 3.4 He w i l l cooperate in advancing information processing by interchanging information and experience with other professionals and students by contributing to public communications media and to the e f f o r t s of professional and s c i e n t i f i c s o c i e t i e s and schools. 87 APPENDIX II Proposed ACM Code of Professional Conduct 1 October 6, 1972 Preamble Recognition of professional status by the public depends not only on s k i l l and dedication but also on adherence to a recognized code of Professional Conduct. The following code sets f o r t h the general principles (Canons), professional ideals (Ethical Considerations), and mandatory rules (Disciplinary Rules) applicable to each ACM member. The verbs " s h a l l " (imperative) and "should" (encouragement) are used purposefully i n the Code. The Canons and Eth i c a l Considerations are not, however, binding rules. Each D i s c i p l i n a r y Rule i s binding on each i n d i v i d u a l member of ACM. Fail u r e to observe the Disciplinary Rules subjects the member to admonition, suspension, or expulsion from the Association as provided by the Constitution and Bylaws. The term "member (s)" i s used in the code. The Di s c i p l i n a r y Rules of the Code apply, however, only to the classes of membership spec i f i e d i n A r t i c l e 3, Section 4, of the Constitution of the ACM. CANON 1 An ACM member s h a l l act at a l l times with i n t e g r i t y . E t h i c a l Considerations EC1.1 An ACM member s h a l l properly qualify himself when expressing opinion outside his areas of competence. A member i s encouraged to express his opinion on subjects within his areas of competence. EC1.2 An ACM member s h a l l preface any partisan statements about information procesing by indicating c l e a r l y on whose behalf they are made. EC1.3 An ACM member s h a l l act f a i t h f u l l y on behalf of his employers or c l i e n t s . 1 As o r i g i n a l l y appearing i n [67], having been accepted by the Council of the ACM . [72] APPENDIX II 88 D i s c i p l i n a r y Rules DR1.1.1 An ACM member s h a l l not in t e n t i o n a l l y misrepresent his qual i f i c a t o n s or credentials to present or prospective employers or c l i e n t s . DR1.1.2 An ACM member s h a l l not deliberately make f a l s e or deceptive statements as to the present or expected state of a f f a i r s i n any aspect of the c a p a b i l i t y , delivery, or use of information processing systems. DR1.2.1 An ACM member s h a l l not i n t e n t i o n a l l y conceal or misrepresent on whose behalf any partisan statements are made. DR1.3.1 An ACM member actinq or employed as a consultant s h a l l , p r i o r to accepting information from a prospective c l i e n t , inform the prospective c l i e n t of a l l factors of which the member i s aware which may a f f e c t the proper performance of the task. DR1.3.2 An ACM member s h a l l disclose any in t e r e s t of which he i s aware which does or may c o n f l i c t with his duty to a present or prospective employer or c l i e n t . DR1.3.3 An ACM member s h a l l not use any c o n f i d e n t i a l information from any employer or c l i e n t , past or present, without prior permission. CANON 2 An ACM member should s t r i v e to increase his competence and the competence and prestige of his profession. E t h i c a l Considerations EC2.1 An ACM member i s encouraged to extend public knowledge, understanding, and appreciation of information processing, and to oppose any f a l s e or deceptive statements r e l a t i n g to information processing of which he i s aware. EC2.2 An ACM member s h a l l not use his professional credentials to misrepresent h i s competence. EC2.3 An ACM member s h a l l undertake only those assignments and commitments for which he i s q u a l i f i e d . EC2.4 An ACM member s h a l l s t r i v e to design and develop systems that adequately perform the intended functions and that s a t i s f y his employer's or c l i e n t ' s operational needs. EC2.5 An ACM member should maintain and increase his competence through a program of continuing education encompassing the techniques, technical standards and practices in his f i e l d s of professional a c t i v i t y . EC2.6 An ACM member should provide opportunity and encouragement for professional development and advancement of both professionals and those aspiring to be professionals. D i s c i p l i n a r y Rules DR2.2.1 An ACM member s h a l l not use his professional credentials to misrepresent h i s competence. DR2.3.1 An ACM member s h a l l not undertake professional assignments without adeguate preparation in the circumstances. DR2.3.2 An ACM member s h a l l not undertake professional assignments for which he knows or should know he i s not competent or cannot become adequately competent without requiring the assistance of a professional who i s competent to APPENDIX II 89 perform the assignment. DR2.4.1 An ACM member s h a l l not represent that a product of his work w i l l perform i t s function adequately and w i l l meet the receiver's operational needs when he knows or should know that the product i s d e f i c i e n t . CANON 3 An ACM member s h a l l accept r e s p o n s i b i l i t y for his work. Et h i c a l Considerations EC3.1 An ACM member s h a l l accept only those assignments for which there i s reasonable expectancy f o r meeting reguirements or sp e c i f i c a t i o n s , and s h a l l perform his assignments i n a professional manner. Disc i p l i n a r y Rules DR3.1.1 An ACM member s h a l l not neglect any professional assignment which has been accepted. DR3.1.2 An ACM member s h a l l keep his employer or c l i e n t properly informed on the progress of his assignments. DR3.1.3 An ACM member s h a l l not attempt to exonerate himself from, or to l i m i t , h i s l i a b i l i t y to hi s c l i e n t s for his personal malpractice. DR3.1.4 An ACM member s h a l l indicate to his employer or c l i e n t the conseguences to be expected i f his professional judgement i s overruled. CANON 4 An ACM member s h a l l act with professional r e s p o n s i b i l i t y . E t h i c a l Considerations EC4.1 An ACM member s h a l l not use his membership i n ACM improperly for professional advantage or to misrepresent the authority of his statements. EC4.2 An ACM member s h a l l conduct professional a c t i v i t i e s on a high plane. EC4.3 An ACM member i s encouraged to uphold and improve the professional standards of the Association through p a r t i c i p a t i o n i n t h e i r formulation, establishment, and enforcement. Di s c i p l i n a r y Rules DR4.1.1 An ACM member s h a l l not speak on behalf of the Association or any of i t s subgroups without proper authority. DR4.1.2 An ACM member s h a l l not knowingly misrepresent the p o l i c i e s and views of the Association or any of i t s subgroups. DR4.1.3 An ACM member s h a l l preface partisan statements about information processing by indicating c l e a r l y on whose behalf they are made. DR4.2.1 An ACM member s h a l l not maliciously injure the professional reputation of any other person. DB4.2.2 An ACM member s h a l l not use the services of or h i s membership i n the Association to gain unfair advantage. APPENDIX I I 90 DR4.2.3 An ACM member s h a l l take care that c r e d i t f or work i s given to whom credi t i s properly due. CANON 5 An ACM member should use his s p e c i a l knowledge and s k i l l s for the advancement of human welfare. E t h i c a l Considerations EC5.1 An ACM member should consider the health, privacy, and general welfare of the public in the performance of his work. EC5.2 An ACM member, whenever dealing with data concerning i n d i v i d u a l s , s h a l l always consider the p r i n c i p l e of the in d i v i d u a l ' s privacy and seek the following: -To minimize the data col l e c t e d . -To l i m i t authorized access to the data. -To provide proper security for the data. -To determine the required retention period of the data. -To ensure proper disposal of the data. Disciplinary Rules DR5.2.1 An ACM member s h a l l express his professional opinions to his employers or c l i e n t s regarding any adverse consequences to the public which might result from work proposed to him. 91 APPENDIX III The B r i t i s h Computer Society Code of Conduct * Section I Forward by the President In point of d e t a i l , case law and doctrines of e t h i c a l behaviour vary from one professional i n s t i t u t i o n to another. These differences, however, are s u p e r f i c i a l and r e f l e c t no more than the d i f f e r e n t environments i n which d i f f e r e n t professions operate and the d i f f e r e n t temptations they represent. Underlying them a l l however i s a common code concerned to promote trust and confidence in i n t e g r i t y and upright dealing: t r u s t and confidence between a professional man and his c l i e n t : between one professional man and another; and between the profession as a whole and the public. Trust and confidence cannot be established on a basis of mere wishful thinking. We do not trust our neighbours just because i t would be nice to f e e l that they were trustworthy. Trust between men i s established only by the p r a c t i c a l experience they have of working together and finding one another trustworthy in the event. It i s the duty of every professional man to act as a focus for the growth of t h i s t r u s t rather than the reverse, namely as a focus for i t s d i s s i p a t i o n . I t follows that conduct calculated to create t r u s t i s of i t s nature e t h i c a l and conduct erosive of trust and confidence i s what may be c a l l e d unethical. 1 O r i g i n a l l y appearing in [ 9 4 ] and published with the following subheading: "Approved by the Council - 17 February 1971. "With the papers for the Annual General Meeting was included the proposed Code of Conduct with various notes. Members were asked to submit comments, a reguest which was repeated i n the November issue of the B u l l e t i n (page 374). "No comments have been received on the Code of Conduct and only six members wrote about the d i s c i p l i n a r y structure. The Council has therefore adopted the Code of Conduct which i s published below. It w i l l be reviewed annually to ensure that i t keeps i n step with developments i n the computer profession." APPENDIX II I 92 The basic question which e t h i c a l procedures before Council have to s e t t l e i s whether a member, the subject of a complaint, has caused himself to be distrusted or not as a re s u l t of the conduct complained of. From t h i s point of view there are certain commonly accepted c r i t e r i a of ubiquitous occurrence i n a l l professions: that the professional man should be single minded i n the service of h i s employer or c l i e n t ; that i f he i s a consultant he should not attempt to serve c l i e n t s whose inte r e s t s are incompatible without proper disclosure; that disclosure of i n t e r e s t or c o n f l i c t of i n t e r e s t , p a r t i c u l a r l y f i n a n c i a l i n t e r e s t , should be f u l l , frank and immediate; that his disclosures to professional colleagues and to the Society should s i m i l a r l y be f u l l , frank, and immediate; and that no advantage should be taken of the Society or professional colleagues by breach of any commonly understood code of behaviour; that a l l dealings should be open and nothing should be s u r r e p t i t i o u s . If these general principles and t h e i r application are borne i n mind the Society w i l l be working to the common ide a l of a l l professional bodies, and case law differences between one profession and another w i l l be placed in t h e i r proper perspective. Section I I I Introduction A member of the BCS i s enjoined to at t a i n in his work the high standards appropriate to a professional body. He i s expected to combat ignorance about his technology wherever he finds i t and i n p a r t i c u l a r i n those areas where application of his technology appears to have dubious s o c i a l merit. Subject to the c o n f i d e n t i a l relationship between himself and his c l i e n t he i s expected to transmit the benefit of information which he acguires during the practice of his profession, as a r e s u l t of his technical knowledge, to illuminate any s i t u a t i o n which may harm or seriously a f f e c t a t h i r d party. I t i s his s p e c i a l r e s p o n s i b i l i t y to keep himself f u l l y aware of relevant development i n his technology. He i s expected to express an opinion on a subject i n his f i e l d only when i t i s founded on an adequate knowledge and honest conviction and w i l l properly qu a l i f y himself when expressing an opinion outside of his professional competence. A member of the BCS i s expected to apply the same high standard of behaviour in his s o c i a l l i f e as i s demanded of him i n his professional a c t i v i t i e s in so f a r as these i n t e r a c t . APPENDIX III 93 Confidence i s at the root of the v a l i d i t y of the q u a l i f i c a t i o n s of the Society and conduct which i n any way undermines that confidence (e.g. a gross breach of a c o n f i d e n t i a l relationship) i s of deep concern to the Society. P r i n c i p l e s A professional member of the BCS 1. S i l l behave at a l l times with i n t e g r i t y . He w i l l not knowingly lay claims to a l e v e l of competence that he does not possess and he w i l l at a l l times exercise competence at least to the l e v e l he claims. 2. W i l l act with complete discretion when entrusted with c o n f i d e n t i a l information. 3. W i l l act with s t r i c t i m p a r t i a l i t y when purporting to give independent advice and must disclose any relevant i n t e r e s t . 4. Will accept f u l l r e s p o n s i b i l i t y for any work which he undertakes and w i l l construct and deliver that which he purports to d e l i v e r . 5. W i l l not seek personal advantage to the detriment of the Society. Section III Notes for Guidance 1. Introduction 1.1 At the Extra-ordinary General Meeting on 25 March 1968, c e r t a i n amendments to the A r t i c l e s of the Association were adopted to implement proposals for the Society to become a professional body. 1.2 A learned judge recently stated that among the essentials of professional a c t i v i t y are: a) a high standard of s k i l l and knowledge b) a c o n f i d e n t i a l r e l a t i o n s h i p with c l i e n t s c) public reliance upon the standards of i t s p r a c t i t i o n e r s d) the observance of an e t h i c a l code 1.3 To meet the f i r s t requirement, the Society has introduced i t s examinations. I t i s recognised that whilst examinations do not constitute a guarantee of professional competence, they indicate that those who pass them have attained a recognised l e v e l of professional education. 1.4 To meet the l a s t requirement and to complete the steps necessary for f u l l professional status, the Society must now adopt a suitable e t h i c a l code and the Council recommends the APPENDIX II I 94 adoption of the P r i n c i p l e s with Notes for Guidance set out below. 1.5 The code does not deal s p e c i f i c a l l y with the e f f e c t of computer based systems on basic human rights but the Society i s very concerned about t h i s subject, on which i t already has a standing committee which i s to submit evidence to a Government Committe on Privacy, and two S p e c i a l i s t Groups on the subject. 1.6 Whereas the P r i n c i p l e s of the Code of Conduct are of a basic and generalised nature, the Notes for Guidance, which follow i t , are more detailed, [and] from time to time they w i l l be developed to accomodate changes i n the computing environment and with the growth of professionalism within the Society. Their purpose i s to be i l l u s t r a t i v e of the p r i n c i p l e s , to a s s i s t members i n applying the l a t t e r , and to guide the investigating committees. 1.7 The A r t i c l e s of the Association of the Society do not d i f f e r e n t i a t e between professional and non-gualified members, and the Notes for Guidance therefore apply to a l l grades of membership. 1.8 A professional worker exercises not only the s k i l l s which he has learned i n his formal education and t r a i n i n g , but also mature professional judgement developed from the use of those s k i l l s , i n the varying situations of his day-to-day working l i f e . 1.9 The l e v e l of a member's professional objectives w i l l be dependent on, amongst other things, his s e n i o r i t y , h i s position, and his type of work. For example, consultants carry s p e c i a l professional obligations: A senior executive i n charge of a major computer application or computer project i s responsible for the accuracy of the information produced by the i n s t a l l a t i o n and for ensuring that those for whom i t i s prepared are f u l l y aware of i t s l i m i t a t i o n s i n r e l a t i o n to the purpose for which they intend to use i t ; he cannot, however, be held responsible i f i t i s used f o r a purpose of which he i s unaware or for which i t was not intended. The r e s p o n s i b i l i t y of senior systems analysts and programmers i s also heightened because th e i r work i s so l i t t l e understood by others and f a i l u r e s can have serious conseguences. 1.10 I t must, however, be borne in mind that the more r e s p o n s i b i l i t y a member c a r r i e s , the higher w i l l be the standard that i s expected of him, and the more rigorously may the Society's sanctions have to be applied. In the interest of the public, the highest standard w i l l be expected of those i n public practice who by the nature of their work accept personal r e s p o n s i b i l i t y f o r what they undertake. 1.11 The Society has no l e g a l standing as between a member and his employer, whether an i n d i v i d u a l or a company. I t s remedy l i e s i n giving, where appropriate, the f u l l e s t support for a stand taken by a member who loses his job, or i s i n danger of APPENDIX III 95 doing so, and of censuring the employer who seeks to place the member i n a position which could cause him to v i o l a t e the et h i c a l code of his profession. 1.12 The Society cannot consider a complaint against a member where that member's conduct i s the subject of legal proceedings; the Society has no power to take evidence on oath, nor compel the production of documents. In these circumstances a view expressed by any member in his o f f i c i a l capacity on behalf of the Society could improperly influence the course of j u s t i c e . The complaint could only be considered when the l e g a l action i s completed, or i t i s established that no l e g a l proceedings w i l l take place. This does not prevent a member appearing in court as an 'expert witness*. 1.13 For the purpose of the Code of Conduct and these Notes f o r Guidance, an I n s t i t u t i o n a l Member i s regarded as being on the same footing as an A f f i l i a t e . 1.14 There can be no question of the Code of Ethics [ s i c ] being controlled by a small unrepresentative group. Provisions w i l l be made for a number of members of the Investigation Committee to r e t i r e each year. Members of the Discip l i n a r y and Appeals Committees w i l l be s p e c i f i c a l l y appointed by the Council for each case to ensure that no member of any of the three committees serves on either of the other committees for that case. Further, the Chairmen of the Di s c i p l i n a r y and Appeals Committees w i l l be advised by lawyers retained by the Society. 1.15 The Council w i l l set a panel of advisors whom members can consult i n s t r i c t confidence. For those subject to the provisions of the • O f f i c i a l Secrets Act' the Society w i l l f i n d a member subject to the same Act, whom these members may be able to consult. 1.16 Members who f e e l that they need guidance are welcome to consult the Secretary-General of the Society; the matter w i l l be treated i n s t r i c t confidence and there i s some authority for suggesting that any such communication made i n good f a i t h would be protected by q u a l i f i e d p r i v i l e g e . 2. Normal Business A c t i v i t i e s 2.1 A member should so order his conduct as to uphold the professional standards of the Society, and a s s i s t the establishment of such standards. 2.2 A member should act in whatever capacity he may be engaged, i n a manner based on trust and good f a i t h towards his employers and c l i e n t s , and towards others with whom i s work i s . connected and towards other members of the Society. 2.3 A member should at a l l times exercise his s k i l l , to the best of his a b i l i t y , i n the legitimate interests of his employers and APPENDIX III 96 c l i e n t s . 2.4 A member has an obligation to preserve his professional o b j e c t i v i t y and i m p a r t i a l i t y , and to minimise the influence of personal prejudice i n the presentation of his work to others, i n b r i e f , there must be no hidden bias; i t should however be borne in mind that the position of a member who approaches a customer or c l i e n t as a representative of, for example, a manufacturer, i s already apparent to that customer or c l i e n t . 2.5 A member should not deliberately make f a l s e or exaggerated statements as to the state of a f f a i r s existing or expected, regarding any aspect of the construction or use of computers. 2.6 A member should not disclose, or permit to be disclosed, or use to his own advantage, any conf i d e n t i a l information r e l a t i n g to the a f f a i r s of his present or previous employers or c l i e n t s , without their p r i o r permission. 2.7 A member should not hold, assume or consciously accept a position i n which his inte r e s t s do or are l i k e l y to c o n f l i c t with his duty unless that i n t e r e s t has been disclosed in advance. 2.8 A member acting or employed as a consultant should declare to c l i e n t s , before accepting i n s t r u c t i o n s , a l l in t e r e s t s which may a f f e c t the proper performance of his function for which he has accepted i n s t r u c t i o n s . For example: a) a directorship or c o n t r o l l i n g i n t e r e s t i n any business which i s i n competition with his c l i e n t s ; b) any f i n a n c i a l i n t e r e s t i n any goods or services recommended to c l i e n t s ; c) a personal rel a t i o n s h i p with any person i n a c l i e n t ' s employ who might be influenced or d i r e c t l y affected, by his advice. 2.9 A member acting as a consultant should not i n v i t e , or permit the issue of an i n v i t a t i o n to, any employee of a c l i e n t to consider alternative employment, without prior consent of the c l i e n t with whom he i s in d i r e c t relationship (this does not apply to advertisement in the press). for this purpose a consultant means any member or firm whose advice i s sought for a fee by a c l i e n t on any aspect of computing. 2.10 A member must, when undertaking any consultancy work, provide a written agreement c l e a r l y s t a t i n g the basis or amount of remuneration, before undertaking the assignment. he i s expected not to structure his fees i n any way as to a f f e c t h is im p a r t i a l i t y ; examples which have i n the past been regarded as suspect by other professions include f e e - s p l i t t i n g , and many other cases of payment by r e s u l t s . Fee s p l i t t i n g and payment by res u l t s can be regarded as unethical because the r e l a t i v e readiness of one or another to APPENDIX III 97 pay an introductory fee might bias the judgement of the member making the introduction. S i m i l a r l y , payment by r e s u l t s might make i t d i f f i c u l t for a member impartially to recommend the best course in any given circumstances. 2.11 It i s recognised that the concept of property applied to computer programs and systems i s currently not f u l l y protected by law and that, i n p a r t i c u l a r . Patent and Copyright law are inadeguate i n t h i s area. The absence of adequate l e g a l protection and increasing value of the property vested i n computer programs and systems emphasises the importance of the confidence placed i n members of the Society. Any act which diminishes that confidence w i l l place a member at r i s k of d i s c i p l i n a r y action. 2.12 Members should have regard to the e f f e c t of computer based systems, i n so f a r as these are known to them, on the basic human rights of individuals whether within the organisation, i t s customer or supplier or among the general public. Where i t i s possible that decisions can be made within a computer based system which could adversely a f f e c t the s o c i a l security, work or career of an i n d i v i d u a l , t h i s decision should in each case be confirmed by a responsible executive who w i l l remain accountable f o r that decision. 2.13 A l l advertising for which a member i s responsible s h a l l conform to the general provisions of the B r i t i s h Code of Advertising Practice, namely i t s h a l l be l e g a l , decent, honest and t r u t h f u l . In p a r t i c u l a r : a) advertisements should not contain any description, claim or i l l u s t r a t i o n which i s misleading about the product or service advertised, or about i t s s u i t a b i l i t y for the purpose recommended; b) advertisements should not contain any reference which i s l i k e l y to lead the public to assume that the product or service has some special quality or property which cannot be established; c) advertisements should not misuse s c i e n t i f i c terms, s t a t i s t i c s , or quotations; in p a r t i c u l a r , claims should not appear to have a s c i e n t i f i c basis they do not possess, nor s t a t i s t i c s with limited v a l i d i t y be presented so as to imply they are universally true. 3. A c t i v i t i e s on Behalf of the Society 3.1 No member s h a l l bring the Society into disrepute by personal behaviour or acts when acknowledged or known to be a representative of the Society. 3.2 No member s h a l l misrepresent the views of the Society nor represent that the views of a segment or group of the Society constitutes the views of the Society as a whole. 3.3 Any member when acting or speaking on behalf of the Society APPENDIX III 98 sha l l , i f faced with a confl ict of interests, declare his position. No member shall serve his own pecuniary interests or those of the company which normally employs him when purporting to act in an independent manner as a representative of the Society, save as permitted by the Society following a f u l l disclosure of a l l the facts. 

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