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Professional codes of ethics : a study of the judicial viability of the codes of ethics of medicine,… Brown, Rosemary 1965

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PROFESSIONAL. CODES OB1 ETHICS 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 E t h i c s of Medicine, S o c i a l Work, and L i b r a r i a n s h i p by Rosemary Brown Walter Paul F r i t z Hoffmann P a t r i c i a McLean Humphrey Douglas Terrence Thompson Thesis Submitted i n P a r t i a l F u l f i l m e n t of the Requirements f o r the Degree of MASTER OF SOCIAL WORK i n the School of S o c i a l Work Accepted as conforming to the standard r e q u i r e d f o r the degree of Master of S o c i a l Work School of S o c i a l Work I965 The U n i v e r s i t y of B r i t i s h Columbia In presenting t h i s thesis i n p a r t i a l f u l f i l m e n t of the requirements f o r an advanced degree at the University of B r i t i s h Columbia, I agree that the Li b r a r y s h a l l make i t f r e e l y a v a i l a b l e for reference and study. I further agree that permission f o r extensive copying of th i s thesis for s c h olarly purposes may be granted by the Head of my Department or by his representatives. I t i s understood that copying or pu b l i c a t i o n of t h i s thesis for f i n a n c i a l gain s h a l l not be allowed without my written permission. School of Social Work The U n i v e r s i t y of B r i t i s h Columbia, Vancouver 8, Canada. i i i A b s t r a c t T r a d i t i o n a l l y , one of the major c h a r a c t e r i s t i c s of e s t a b l i s h e d p r o f e s s i o n s such as medicine and law has been the possession of a Code of E t h i c s . The l a s t three decades have seen the f o r m u l a t i o n of Codes of E t h i c s by many new pr o f e s s i o n s and semi-professions as w e l l as by many of the s e r v i c e occupations. I n view of the intense concern of these p r o f e s s i o n s , semi-professions and s e r v i c e occupa/cions w i t h the formation of codes of e t h i c s , we set out to examine the codes of three p r o f e s s i o n s to a s c e r t a i n t h e i r f u n c t i o n a l s i g n i f i c a n c e both to the pr o f e s s i o n s them-selves and to the p u b l i c . The r a t i o n a l e f o r the choice of' the three pro-f e s s i o n s of Medicine, S o c i a l Work, and L i b r a r i a n s h i p l a y i n t h e i r being p r o f e s s i o n s whose codes of e t h i c s were i n d i f f e r e n t stages of development. A t h e o r e t i c a l framework formulated i n the f i r s t chapter was used i n the f o l l o w i n g three chapters to examine the j u d i c i a l v i a b i l i t y of the codes of e t h i c s of these prof essions. As main fe a t u r e s of t h i s a n a l y s i s , Xf'ec considered the f o r m u l a t i o n , promulgation, a d m i n i s t r a t i o n , review and r e v i s i o n procedures, j u r i s d i c t i o n , and i m p l i c a t i o n s f o r s o c i a l p o l i c y of the codes. On the b a s i s of the a n a l y s i s and d i s c u s s i o n of the codes of e t h i c s s t u d i e d we drew the c o n c l u s i o n that many of the e x i s t i n g codes are, to a great extent, deplor-ably n o n - s p e c i f i c and even r h e t o r i c a l . I t would t h e r e f o r e seem to be d e s i r a b l e t h a t some measures should be taken to improve the j u d i c i a l v i a b i l i t y of these Codes; and we have made a number of recommendations c a l c u l a t e d to achieve t h i s end . Acknowl ed gment s G r a t e f u l acknowledgment i s made to Mr. Adrian-Marriage, a s s i s t a n t p r o f e s s o r of the School of S o c i a l Work, who supervised t h i s t h e s i s , and whose imaginative suggestions and c r i t i c a l a p p r a i s a l made t h i s study p o s s i b l e . We a l s o wish to acknowledge the f o l l o w i n g people whose a s s i s t a n c e was i n v a l u a b l e ; Mrs. L o i s Bewley, President of the B r i t i s h Columbia L i b r a r y A s s o c i a t i o n ; Miss Eleanor Bradley, I n s t r u c t o r of Pr e v e n t a t i v e Medicine and S o c i a l Work, C h i l d Study Centre, U n i v e r s i t y of B r i t i s h Columbia; Dr. W i l l i a m C. Gibson, Head of the Department of H i s t o r y of Medicine and Science, U n i v e r s i t y of B r i t i s h Columbia; the l a t e Dr. Lynn. Gunn, R e g i s t r a r of the College of P h y s i c i a n s and Surgeons of B r i t i s h Columbia; Mr. Ronald Hawkes, Pre s i d e n t of the B r i t i s h Columbia A s s o c i a t i o n of S o c i a l Workers; the l a t e Dr. Kasper Naegele, Dean of A r t s , U n i v e r s i t y of B r i t i s h Columbia; Dr. Samuel R o t h s t e i n , D i r e c t o r afid P r o f e s s o r of the School of L i b r a r i a n s h i p , U n i v e r s i t y of B r i t i s h Columbia; and Dr. Hildegarde Spaulding, L i b r a r i a n , Woodward L i b r a r y , U n i v e r s i t y of B r i t i s h Columbia. TABLE OF CONTENTS CHAPTER PAGE I . THE FUNCTION OF THE CODE OF ETHICS IK THE ORGANIZATION OF THE PROFESSIONS 1 I n t r o d u c t i o n of the problem s t u d i e d . P r o f e s s i o n a l development i n i n d u s t r i a l s o c i e t y . General c o n t r o l mechanisms. Occupational o r g a n i z a t i o n and c o n t r o l . P r i n c i p l e s of p r o f e s s i o n a l e t h i c s . O b l i g a t i o n s and r e l a t i o n s h i p s of the p r o f e s s i o n a l person. Cont r o l s of s o c i e t y and the c o n t r o l f u n c t i o n of the code of e t h i c s . The working code of e t h i c s . I I . THE PROFESSION OF MEDICINE. 55 I n t r o d u c t i o n . The h i s t o r i c a l background of Medical e t h i c s , i-ormulation of the Code of E t h i c s . A d m i n i s t r a t i o n and pro-mulgation of the Code of E t h i c s . Imple-mentation of the Code of E t h i c s . Pro-v i s i o n s f o r review and r e v i s i o n . I m p l i -c a t i o n s f o r S o c i a l p o l i c y . I I I . THE PROFESSION OF SOCIAL WORK 91 B r i e f h i s t o r y of the p r o f e s s i o n , h i s t o r y of the Canadian A s s o c i a t i o n of S o c i a l Workers, h i s t o r y of the B r i t i s h Columbia A s s o c i a t i o n of S o c i a l Workers. Formu-l a t i o n of the Code of E t h i c s . D e s c r i p t i o n and c r i t i c a l a n a l y s i s of the contents of the Code of E t h i c s , p r i n c i p l e s and r u l e s of conduct. Promulgation of the Code of E t h i c s . Review and r e v i s i o n . A d m i n i s t r a -t i o n ; p r o c e d u r a l , i n s t i t u t i o n a l , j u r i s -d i c t i o n a l d i f f i c u l t i e s . I m p l i c a t i o n s of the Code of E t h i c s on s o c i a l p o l i c y . Conclusions. IV. THE PROFESSION OF LIBRARIANS HIP l6k L i b r a r y a s s o c i a t i o n s . C e r t i f i c a t i o n . Codes of E t h i c s . The L i b r a r y B i l l of R i g h t s . The Freedom To Read. Other Canadian statements of p r o f e s s i o n a l r e s p o n s i b i l i t y ; The L i b r a r i a n ' s p r o f e s s i o n a l Credo. Pro-f e s s i o n a l conduct as seen by the I n s t i t u t e of P r o f e s s i o n a l L i b r a r i a n s of Ontario. Summary. CHAPTER PAGE V. CONCLUSIONS AND RECOMMENDATIONS FOR IMPROVING TEE USEFULNESS OF PROFESSIONAL CODES OF ETHICS 191 The p r o t e c t i v e f u n c t i o n of Codes of E t h i c s . The c o n c i l i a t i o n of e t h i c a l p r i n c i p l e s and questions of s o c i a l p o l i c y . The r i g h t s of the p u b l i c . The r i g h t s of the p r o f e s s i o n a l s . Contents of Codes of E t h i c s . Review of Codes of E t h i c s . Adherence to requirements of due process. Separation of i s s u e s of e t h i c s and com-petence. R e s p o n s i b i l i t i e s of educators. APPENDICES: A. S o c i a l Work Codes of E t h i c s of 1938, 1956, and 1964 202 B. The American L i b r a r y A s s o c i a t i o n Code of E t h i c s , the L i b r a r y B i l l of R i g h t s , the Freedom to Read, the L i b r a r i a n ' s Pro-f e s s i o n a l Credo, and some statements of p r o f e s s i o n a l conduct f o r l i b r a r i a n s i s s u e d by the I n s t i t u t e of P r o f e s s i o n a l L i b r a r i a n s of Ontario 212 BIBLIOGRAPHY 238 P r o f e s s i o n a l Codes of E t h i c s 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 E t h i c s of Medicine, S o c i a l Work, and L i b r a r i a n s h i p CHAPTER I THE FUNCTION OF THE CODE OF ETHICS IN THE ORGANIZATION OF THE PROFESSIONS i n t r o d u c t i o n P r o f e s s i o n s may be seen as subgroups of a s o c i e t y . As such, they are i n f l u e n c e d by the s o c i a l system, and i t , i n t u r n , i s i n f l u e n c e d by them. I n contemporary i n d u s t r i a l s o c i e t i e s i n p a r t i c u l a r , the p r o f e s s i o n s are, without doubt, of the outmost s t r u c t u r a l s i g n i f i c a n c e . * The simultaneous development of p r o f e s s i o n a l i s m and i n d u s t r i a l i s m i n recent h i s t o r y almost c e r t a i n l y a r i s e s from a c r i t i c a l f u n c t i o n a l 2 r e l a t i o n s h i p between the two. This f a c t , coupled w i t h the i n f l u e n c e which p r o f e s s i o n s have on the w e l l being of a s o c i e t y , has st i m u l a t e d a powerful and understandable i n t e r -e s t i n the sub j e c t . The present study w i l l focus on codes of e t h i c s as p a r t of the process of p r o f e s s i o n a l i z a t i o n . Such codes are seen as a w r i t t e n f o r m a l i z a t i o n of past d e c i s i o n s a r r i v e d at f o r the r e g u l a t i o n of the behaviour of present day pro-1 T a l c o t t Parsons, Essays I n S o c i o l o g i c a l Thsory, rev.ed., Glencoe, I l l i n o i s , Free P r e s s , 19 5^ and 19^9. Chap.II, "Pro-f e s s i o n s and S o c i a l S t r u c t u r e " . 2 i b i d . , p.34. Only the p r o f e s s i o n of law was w e l l d e v e l -oped i n the Roman Empire. But i n no other s o c i e t y have there been so many p r o f e s s i o n s so h i g h l y developed as I n our i n d u s t r i a l s o c i e t y . 2. f e s s i o n a l persons, and a l s o as a guide f o r the f u t u r e con-duct of the, business of the p r o f e s s i o n . S o c i o l o g i s t s have l o n g been concerned w i t h the f u n c t i o n s of p r o f e s s i o n s because of t h e i r "key r o l e " i n s o c i e t y . The f a c t , however, th a t up to three hundred years ago there were but three p r o f e s s i o n s - law, the c l e r g y and medicine - has made i t exceedingly d i f f i c u l t to render an account of the other and newer p r o f e s s i o n s . No c l e a r d i s -t i n c t i o n has been s u c c e s s f u l l y made between what i s "essent-i a l " and what i s mere t r a d i t i o n a l p a t t e r n . Much of the s o c i o l o g i c a l a n a l y s i s has concentrated on a p r i o r i d e f i n i t i o n s . I n too few cases have e m p i r i c a l l y based t y p o l o g i e s been used. Thus, many of the problems and i s s u e s discussed i n the r e -l e v a n t l i t e r a t u r e of s o c i a l science are u n c e r t a i n l y s t a t e d or a l t o g e t h e r spurious. Probably the only way to avoid these dangers of academic question-begging i s by addressing oneself to h i g h l y s p e c i f i c and m a n i f e s t l y consequential problems, and by de-f e r r i n g the development of ambitious c l a s s i f i c a t o r y schemes u n t i l c onvincing s o l u t i o n s are a v a i l a b l e f o r those problems. I t i s i n t h i s v e i n that we have attempted to d e a l w i t h the matter of p r o f e s s i o n a l codes of e t h i c s . Thus we are con-cerned w i t h such questions as: Has a given p r o f e s s i o n a code of e t h i c s ? Why d i d one p r o f e s s i o n develop a code w h i l e others d i d not? Are there means other than a code of e t h i c s to f o r m a l i z e c o n t r o l w i t h i n an o r g a n i z a t i o n or a s s o c i a t i o n of p r o f e s s i o n a l persons? What j u d i c i a l mechanisms are em-3 . ployed to enforce adherence to the code of e t h i c s ? The main problem to "be stud i e d i n t h i s t h e s i s i s the o p e r a b i l i t y of codes of e t h i c s . The choice to study the p r o f e s s i o n s of medicine, s o c i a l work, and l i b r a r i a n s h i p was a d e l i b e r a t e one. The 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 of medicine have s e l f c o n t r o l i n the p r o f e s s i o n a l sphere by t h e i r author-i t y to l i c e n c e p r a c t i t i o n e r s . The c o n t r o l mechanisms are i n s t i t u t i o n a l i z e d . S o c i a l work has e s t a b l i s h e d n a t i o n a l l y and l o c a l l y 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 . However the p r o f e s s i o n has no a u t h o r i t y over the r i g h t to p r a c t i c e . The c o n t r o l to enforce adherence to the code of e t h i c s l a c k s l e g a l sanctions. The p r o f e s s i o n of l i b r a r i a n s h i p has e s t a b l i s h e d a n a t i o n a l o r g a n i z a t i o n Just r e c e n t l y . A p r o v i n c i a l o r g a n i z a t i o n has not yet been e s t a b l i s h e d i n B r i t i s h Columbia. No w r i t t e n code of e t h i c s has been agreed upon. But statements of p o l i c y and proper conduct e x i s t which c o n t a i n many fe a t u r e s f r e q u e n t l y found i n codes of e t h i c s . I n summary then we have chosen medicine because i t possesses l e g a l sanctions to c o n t r o l ad-herance t o the code of e t h i c s . L i b r a r i a n s h i p has been i n -cluded i n the study because i t has not y e t c o d i f i e d i t s p r i n -c i p l e s and standards of p r a c t i c e . F i n a l l y s o c i a l work i s p a r t of t h i s study because i t i s the p r o f e s s i o n of main con-cern to the w r i t e r s . I t a l s o appears to be between l i b r a r i a n -s h i p and medicine i n the process of i n s t i t u t i o n a l i z a t i o n of the code of e t h i c s , as a mechanism to c o n t r o l the members of the p r o f e s s i o n a l o r g a n i z a t i o n . The f i r s t chapter i s an attempt to develop a frame-4 work f o r the d i s c u s s i o n and a n a l y s i s of the o p e r a b i l l t y of codes of e t h i c s . The f u n c t i o n of codes i n the o r g a n i z a t i o n of the p r o f e s s i o n s i s the theme of t h i s chapter. Chapters two, t h r e e , and four d e a l w i t h the cod^es of e t h i c s of med-i c i n e , s o c i a l work, and l i b r a r i a n s h i p r e s p e c t i v e l y . I n each chapter w i l l be discussed and c r i t i c a l l y analysed the oper-a b i l l t y of the code of e t h i c s or I t s e q u i v a l e n t . Because of the d i f f e r e n c e s i n the 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 of the pro-f e s s i o n s chosen, the emphasis s h i f t s i n each chapter. I n medicine we s h a l l emphasize the adoption of mechanisms of c o n t r o l to guide and d i r e c t the members of the p r o f e s s i o n i n a f a s t changing world. I n the chapter on s o c i a l work the emphasis w i l l be on the i n s t i t u t i o n a l i z a t i o n of admin-i s t r a t i v e and J u d i c i a l procedures. A t t e n t i o n w i l l be p a i d to the d i f f i c u l t i e s encountered by the B r i t i s h Columbia A s s o c i a t i o n of S o c i a l Workers. I n the chapter on l i b r a r i a n -s h i p the emphasis w i l l be on the d i s c u s s i o n and a n a l y s i s of " p o l i c y statements" and "statements of proper conduct". I n the f i f t h and f i n a l chapter we s h a l l s t a t e which f e a t u r e s are important i n rendering a code of e t h i c s operable i . e . what c o n s t i t u t e s a working code of e t h i c s . P r o f e s s i o n a l Development i n I n d u s t r i a l S o c i e t y A s o c i e t y i s a group of human beings cooperating i n the p u r s u i t of many of t h e i r i n t e r e s t s . 1 I t may a l s o be descr i b e d as a complex network of I n t e r r e l a t i o n s h i p s between 1 Henry P r a t t F a i r c h i l d , D i c t i o n a r y of Sociology, Paterson, N.J., L i t t l e f i e l d , Adams & Co., I n c . , 1962. men. A c e r t a i n behaviour p a t t e r n grows out of t h i s r e l a t i o n -s h i p . I n f a m i l i e s and i n sm a l l groups the i n d i v i d u a l i s p a r t i c u l a r l y s e n s i t i v e to the a c t i o n s and gestures of h i s i n t i m a t e a s s o c i a t e s , and t h i s leads g e n e r a l l y t o a degree of s e l f r e s t r a i n t . Thus, one may say that w i t h i n the sm a l l 2 group a h i g h degree of i n f o r m a l c o n t r o l e x i s t s . P e r p e t u a t i o n of the i n t e r r e l a t i o n s h i p leads to conventional forms of be-haviour, which w i l l make i t appear to be "normal" t o the group. Such behaviour p a t t e r n s become an i n s t i t u t i o n . An i n s t i t u t i o n may be described b r i e f l y as a net-work of r e l a t i v e l y continuous or permanent interhuman pro-cesses and r e l a t i o n s h i p s . These i n i t i a t e and maintain con-n e c t i o n s between persons and groups w i t h i n a p l u r a l i t y p a t t e r n f o r the purpose of p r e s e r v i n g the l a t t e r or otherwise s e r v i n g i t s i n t e r e s t s . ^ C o n t r o l over i n s t i t u t i o n s d i f f e r s . I n small groups we f i n d a high degree of i n f o r m a l sanctions on be-havi o u r , w h i l e i n "mass" s o c i e t y i n a d d i t i o n many formal sanctions e x i s t which i n v o l v e recognized r u l e s , formal pro-cedures f o r t h e i r a p p l i c a t i o n and a s t r u c t u r e c o n s i s t i n g of persons a c t i n g i n o f f i c e . The highest degree of i n s t i t u t i o n a l , i.e. formal c o n t r o l i s the law. I t i s i n t e r p r e t e d by the 1 GeorgeA. Lundberg, Clarence C. Schrag, and Otto N. Larson, Sociology, rev. ed., New York, Harper & Br o t h e r s , 195** & 1958. 2 Informal c o n t r o l i s a l s o found i n crowds, aggregates, audiences, e t c . 3 Leopold Von Wiese, and Howard Becker, I n s t i t u t i o n a l -i z a t i o n c i t e d i n A l f r e d McClung Lee, ed., Readings i n sociology New York, Barnes & Nobles I n c . , 195l» P« 335. 6. courts and executed by p o l i c e powers. The f a m i l y of e a r l y a g r i c u l t u r a l s o c i e t y pro-created, nurished and s o c i a l i z e d i t s o f f s p r i n g s to the degree t h a t they could take over t h e i r r o l e as a d u l t s i n s o c i e t y . There were only a few other i n s t i t u t i o n s . A p l u r a l i t y of i n -s t i t u t i o n s developed when more r e l a t i o n s h i p s occurred outside the f a m i l y . This s t a t e e x i s t s i n i n d u s t r i a l s o c i e t y . Here many s p e c i a l i n s t i t u t i o n s take over r o l e s formerly performed by the f a m i l y . Such s p e c i a l i z e d i n s t i t u t i o n s are education (general and v o c a t i o n a l ) , occupations, h e a l t h and we l f a r e s e r v i c e s , l i b r a r i e s , e t c . A l l these s p e c i a l t i e s support and complement the f a m i l y i n s t i t u t i o n , but o f t e n they are a l s o competing w i t h the fa m i l y i n s t i t u t i o n f o r a c e r t a i n amount of i n f l u e n c e over or l o y a l t y from the i n d i v i d u a l . 1 I n the economic f i e l d s p e c i a l i z a t i o n has a l s o e v o l -ved. I n the e a r l y a g r i c u l t u r a l s o c i e t y the f a m i l y was the economic u n i t of prod u c t i o n and consumption. I n the i n d u s t -r i a l s o c i e t y the f a m i l y i s reduced to a u n i t of consumption. The a c t i v i t y of production has become a complex p a t t e r n of i n t e r r e l a t e d , h i g h l y s p e c i a l i z e d i n s t i t u t i o n s . The separation between occupation and k i n s h i p i s g r e a t l y i n c r e a s e d and f r e -quently complete. The c o n t r o l which was c o l l e c t i v e i n the fa m i l y has now become f o r m a l i z e d i n many areas of l i v i n g . 1 For example, a man may devote a l l h i s time to education and ne g l e c t f a m i l y r e l a t i o n s h i p s . 2 Theodore Caplow, The Sociology of Work, New York, McGraw-H i l l Book Company, 1954 and 1964, Chapter I I . 7. Increased production gave man more l e i s u r e time, some of which he used t o f i n d new s o l u t i o n s to h i s problems. I n t h i s process more and more knowledge was accumulated.^ This knowledge and incre a s e d numbers of educated people lead, t o i n c r e a s e d s c i e n t i f i c d i s c o v e r i e s . Most f r e q u e n t l y , the i n i t i a l i n t e r e s t i n science was based on the d e s i r e to solve p r a c t i c a l problems. The search f o r p r a c t i c a l s o l u t i o n s o f t e n s t i m u l a t e d f u r t h e r study which l e d a c c i d e n t a l l y to pure s c i e n t i f i c research. T h i s , i n t u r n , o f t e n l e d to the development of new p r o f e s s i o n s , as was the case w i t h chemistry. On the one hand, new i n v e n t i o n s l e a d to the develop-ment of new s k i l l s which give b i r t h to new p r o f e s s i o n s . On the other hand, increased employment i n the f i e l d of science leads to new i n v e n t i o n s and adds to the a v a i l a b l e knowledge. The p a t t e r n i s interdependent and d i f f e r s w i t h i n a wide range. The important p o i n t to be made here i s tha t changes i n one area s t i m u l a t e changes i n others. The search f o r knowledge has become a way of l i f e , i t has become i n s t i t u t i o n -a l i z e d as science. I n science man uses a r a t i o n a l approach t o solve h i s problems i n s t e a d of depending on t r a d i t i o n a l approaches or on t r i a l and e r r o r methods. T h i s r a t i o n a l i s t i c approach i s t y p i c a l f o r i n d u s t r i a l man. As the cost of research i n c r e a s e s and the number of s p e c i a l i s t s m u l t i p l i e s , only l a r g e o r g a n i z a t i o n s can a f f o r d to support s c i e n t i f i c research. Large s c a l e pro-1 A.M. Carr-Saunders and P.A. Wilson, The P r o f e s s i o n s , Oxford, At the Clarendon P r e s s , 1933, P« 29^-297. 8. d u c t i o n w i t h the use of power machinery, wide markets, and s p e c i a l i z e d working f o r c e s w i t h i n t r i c a t e d i v i s i o n s of labour are needed to apply science. U r b a n i z a t i o n f a c i l i t a t e s market-i n g and provides s e r v i c e s f o r the l a r g e labour f o r c e and t h e i r f a m i l i e s . The urban cen t r e s , as w e l l as l a r g e econ-omic e n t e r p r i s e s , need an e f f i c i e n t system of c o o r d i n a t i o n and a d m i n i s t r a t i o n , a bureaucracy, which i s another s i g n i f i -cant c h a r a c t e r i s t i c of i n d u s t r i a l i s m . Automation i s speeding up the trend to bigness. The great o r g a n i z a t i o n s become more e f f i c i e n t by i n c r e a s e d d i v i s i o n of la b o u r , i . e . ever i n c r e a s i n g s p e c i a l i z a t i o n and i n c r e a s i n g mechanization as w e l l as in c r e a s e d use of power. I t i s expected that many new p r o f e s s i o n a l occupations w i l l develop, and o l d s k i l l s w i l l be upgraded to p r o f e s s i o n a l v o c a t i o n s . Bureaucracy w i l l i n c r e a s e i n complexity i n order to a dminister and coordinate the ever l a r g e r o r g a n i z a t i o n s of s p e c i a l i s t s . A great number of men w i l l be s h i f t e d from manual 2 to b r a i n work and from pro d u c t i o n to s e r v i c e occupations. Such s e r v i c e p r o f e s s i o n s as medicine, s o c i a l work, l i b r a r i a n -s h i p , education, e t c . , w i l l have to i n c r e a s e t h e i r s e r v i c e s to keep up w i t h the demands of a more a f f l u e n t s o c i e t y . I n 1 F a i r c h i l d , op_. c i t . , Other major f e a t u r e s of an i n d u s t r i a l s o c i e t y are h i g h l y developed communication and t r a n s p o r t a t i o n systems. 2 Harold L. Wilensky and Charles N. Lebeaux, I n d u s t r i a l  S o c i e t y and S o c i a l Welfare, New York, R u s s e l l Sage Foundation, 1958, p. 99. 9. such a s o c i e t y a greater number of people ask f o r more f r e -quent and a greater v a r i e t y of s e r v i c e s . Because working hours are reduced, more time i s a v a i l a b l e t o enjoy the amenities provided by these s e r v i c e s . Many of these were r e s t r i c t e d to the p r i v i l e g e d members i n a l e s s i n d u s t r i a l i z e d s o c i e t y . Other s e r v i c e s can only be provided by an i n d u s t r i a l -i z e d s o c i e t y . The above are a few reasons why the number of p r o f e s s i o n s , as w e l l as the number of people engaged i n pro-f e s s i o n s , i s i n c r e a s i n g . S p e c i a l i t i e s evolve i n most of the p r o f e s s i o n s . As the d i v i s i o n of labour w i l l experience great a c c e l e r a t i o n w i t h automation so w i l l the process of p r o f e s s i o n -a l i z a t i o n . A One of the best known cases of s p e c i a l i s m s develop-i n g from a s i n g l e p r o f e s s i o n i s t h a t of the medical p r a c t i t i o n -er of the l a t e Nineteenth Century. The o f f i c e of the general p h y s i c i a n , which served "as a c l i n i c , medical sehool, surgery, and laboratory,, i s today but one among many i n s t i t u t i o n s con-2 cerned w i t h h e a l i n g . " The Boyal Co l l e g e of P h y s i c i a n s and 3 Surgeons p r e s e n t l y recognizes t h i r t y specialtisms.-^ I n a d d i -1 A s h i f t to more s e r v i c e s and b e t t e r q u a l i t y of s e r v i c e s i s p r e s e n t l y observed i n the U.S.S.R. a l s o . This could be an i n d i c a t i o n that such changes are due to the p a r t i c u l a r stage of i n d u s t r i a l i z a t i o n r a t h e r than any p a r t i c u l a r p o l i t i c a l philosophy. Time (Canada ed.), Feb. 12, 19^5, 23-26. R u s s i a Borrowing from the C a p i t a l i s t s . 2 A l f r e d McClung Lee, ed. P r i n c i p l e s of Sociology, New York; Barnes & Nobles, I n c . , 1946 & I960, p. 231. 3 The Royal Bank" of Canada Monthly L e t t e r , V o l . 46, No.2, Feb. 1965, "Careers i n Health S e r v i c e . A l s o W i l e n s k i & . Lebeaux, op_. c i t . , Chap. IV. 10. t i o n , a u x i l i a r y p r o f e s s i o n s , such as X-ray and l a b o r a t o r y t e c h n i c i a n s , p h y s i o t h e r a p i s t s , e t c . , are engaged i n h e a l i n g a c t i v i t i e s . T e c h nical p r o f e s s i o n s , such as engineering, show the most r a p i d development of s p e c i a l i z a t i o n . I n summary, we f i n d i n i n d u s t r i a l s o c i e t y a g r e a t e r number of p r o f e s s i o n s w i t h a higher degree of s p e c i a l i z a t i o n w i t h i n each p r o f e s s i o n than i n any previous s o c i e t y . The number of p r o f e s s i o n a l people i n c r e a s e s not only because there i s a greater v a r i e t y of occupations but a l s o because there i s a greater demand f o r t h e i r s e r v i c e s 1.2 i n an a f f l u e n t s o c i e t y . The r a p i d i n c r e a s e i n the number of p r o f e s s i o n s and the i n c r e a s e i n the absolute number of p r o f e s s i o n a l 3 people may warrant s p e c i a l a t t e n t i o n . However, i t i s not the mere number of p r o f e s s i o n a l people which lends them importance i n an i n d u s t r i a l s o c i e t y . I n f a c t , the number of p r o f e s s i o n a l s remains r e l a t i v e l y s m all i n comparison 1 S e r v i c e s are a l s o i n c r e a s e d i n n o n - p r o f e s s i o n a l s e r v i c e f i e l d s . Since these do not d i r e c t l y concern the subject of t h i s study, they have been excluded from the d i s c u s s i o n . 2 E. Wight Bakke, C l a r k K e r r , and Charles W. Anrod, Unions, Management and the P u b l i c , 2nd. ed., New York, Harcourt, Brase & World, I n c . , 1948, I960, p. 9 0 . We f i n d here a s t a t i s t i c a l l y documented account of the t r e n d i n durable goods manufacturing. " P r o f e s s i o n a l and managerial groups now (1958) form 19 .5$ of the labour f o r c e . " P r o j e c t i o n s t o the p e r i o d from 1956 to 1965 are f o r a 22$ i n c r e a s e of t h i s trend. 3 T a l c o t t Parsons, S t r u c t u r e and Process i n Modern S o c i e t i e s , Glencoe, I l l i n o i s , The Free Press ,~T9o0~TP• 288. There seems to be l i t t l e doubt that the major trend of s o c i e t y i s towards an i n c r e a s i n g l y important r o l e f o r the p r o f e s s i o n s g e n e r a l l y . 11. w i t h the t o t a l number of people i n the labour f o r c e . P r o f e s s i o n s are important i n an i n d u s t r i a l s o c i e t y because i t s e f f i c i e n t f u n c t i o n i n g depends l a r g e l y on the smooth f u n c t i o n i n g of the p r o f e s s i o n s . The p r o f e s s i o n s are the c r e a t o r s and stewards of s c i e n t i f i c knowledge and p r a c t i c e . This knowledge must be a p p l i e d , communicated and p e r f e c t e d . I t i s i n such f u n c t i o n s as these t h a t the impor-tance of the p r o f e s s i o n s i n s o c i e t y g e n e r a l l y l i e s ; and they account f o r a considerable p a r t of the I n t e r e s t the s o c i a l s c i e n t i s t has i n the subject - not l e a s t , that aspect of the subject which deals w i t h the o r g a n i z a t i o n of c o n t r o l of the p r o f e s s i o n s . General C o n t r o l Mechanisms of S o c i e t i e s I n t h i s study the main emphasis i s on codes of e t h i c s thought of as a c o n t r o l mechanism. But before t h i s mechanism i s considered, i t may be a d v i s a b l e to review b r i e f l y some of the general forms of s o c i a l c o n t r o l . F i r s t , c o n t r o l s i n non-occupational f i e l d s , second, c o n t r o l s i n o c c u p a t i o n a l f i e l d s , and t h i r d , c o n t r o l s s p e c i f i c to pro-f e s s i o n a l occupations w i l l be examined. For purposes of 1 I b i d . , pp. 285-286. 2 I t may be argued here th a t garbage c o l l e c t i o n i s as important. Although t h i s i s t r u e , a p r o f e s s i o n a l person may f u n c t i o n w e l l as a garbage c o l l e c t o r , i f need be, w h i l e a garbage c o l l e c t o r would f i n d i t more d i f f i c u l t to f u n c t i o n i n any of the p r o f e s s i o n s . 3 Carr-Saunders Sc. Wilson, op. c i t . , p. 499. 12. convenience, t h i s review i s set out i n the form of a s t y l i z e d account of the s o c i a l i z a t i o n process from childhood to the p u r s u i t of a p r o f e s s i o n a l career. A c h i l d growing up i n h i s f a m i l y i s s o c i a l i z e d by i t ; t hat i s a c h i l d l e a r n s t o f e e l l o v e and l o y a l t y to h i s f a m i l y , h i s primary group. He i n t e r n a l i z e s the important values and a t t i t u d e s and w i l l then consider them h i s own. I f the f a m i l y i s w e l l i n t e g r a t e d w i t h the community, the values and a t t i t u d e s vary but l i t t l e . However, the c h i l d has t o inc o r p o r a t e the d i f f e r e n c e i n a t t i t u d e and values which are appropriate f o r the f a m i l y (the i n s i d e r s ) as com-pared to the a t t i t u d e s and values a p p r o p r i a t e l y taken t o -wards other members of the community (the o u t s i d e r s ) . Cer-t a i n members of the community, such as uncles and cousins, expect to be r e l a t e d to and w i l l r e l a t e to the c h i l d i n a manner appropriate to t h e i r f a m i l y r e l a t i o n s h i p w i t h the c h i l d . These r e l a t i v e s w i l l at times be considered " i n s i d e r s " , at other times " o u t s i d e r s " . Then there are people such as neighbours, f a m i l y f r i e n d s and c l e r g y , who r e q u i r e d i f f e r -e n t i a l r e l a t i o n s h i p s . To desc r i b e the d i f f e r e n t s t r u c t u r e s of r e l a t i o n s h i p s between people s o c i o l o g i s t s f r e q u e n t l y use 1 Lundberg, Schrag, and Larsen, o£. c i t . , p. 226. S i m i l a r accounts are found i n most f a m i l y and general sociology textbooks. The i d e a l , uncomplicated case i s sketched here w i t h the understanding that i t e x i s t s i n the a b s t r a c t only. 13-the concept o f " r o l e " . U t i l i z i n g t h i s concept, one may s t a t e that the c h i l d l e a r n s t o take appropriate r o l e s . I n time he a l s o l e a r n s how other people w i l l r e c i p r o c a t e when he ac t s a c e r t a i n r o l e towards them. This a n t i c i p a t i o n i n f l u e n c e s h i s own r o l e performance. The process of s o c i a l i z a t i o n , or l e a r n i n g to take r o l e s , i s guided at f i r s t by the f a m i l y , l a t e r by the community, and f i n a l l y by the s o c i e t y at l a r g e , and perhaps by other s o c i e t i e s . Many groups and i n s t i t u t i o n s , besides the f a m i l y , p a r t i c i p a t e i n t h i s process. The more important ones are the school, church, peer group, s o c i a l agency, p r o f e s s i o n a l people and economic i n s t i t u t i o n s . I n a d d i t i o n every other person or group the c h i l d meets, hears or reads about or comes i n contact w i t h by any of h i s senses p a r t i c i p a t e s i n s o c i a l i z a t i o n . A person i s s o c i a l i z e d by the s o c i e t y and i t s t o t a l c u l t u r e . I f he wishes to succeed i n h i s c u l t u r e , he must 1 Henry Maas, Concepts and Methods i n S o c i a l Work Research, c i t e d i n Cora Kasius, New D i r e c t i o n s i n S o c i a l Work, New York, Harper & Brothers, 1954, pp. 229-230. Role i s the i n s t i t u t i o n -a l i z e d group e x p e c t a t i o n as to the behaviour, a t t i t u d e , and other a t t r i b u t e s f o r the occupant of a given p o s i t i o n i n a s o c i a l system. 2 Werner Boehm, "Role, then describes the a c t i v i t i e s and t a s k s which an i n d i v i d u a l i s expected to perform by v i r t u e of h i s membership i n s o c i a l groups and h i s p a r t i c i p a t i o n i n s o c i a l i n s t i t u t i o n s . " c i t e d i n H a r l e i g h B. Trecker, New Under-standings of A d m i n i s t r a t i o n , New York, A s s o c i a t i o n P r e s s , 1961. 3 The concept of " r o l e " i s borrowed from the stage where a person plays the r o l e p r e s c r i b e d according to the s c r i p t of the p l a y . But r e a l l i f e i s not a stage and no s c r i p t e x i s t s . The term may t h e r e f o r e l e n d i t s e l f to the f a m i l i a r e r r o r s and f a l l a c i e s of analogy. I n s p i t e of these and other s h o r t -Ik. l e a r n how other people perceive h i s r o l e i n any given s i t u -a t i o n . Much of t h i s l e a r n i n g process occurs by t r i a l and e r r o r . Furthermore, man has le a r n e d to accumulate and t r a n s -mit knowledge and customs developed by h i s f o r e f a t h e r s to h i s o f f s p r i n g by the w r i t t e n and spoken work. Although the f a m i l y remains the major s o c i a l i z i n g agent, other i n s t i t u t i o n s take t h i s f u n c t i o n i n s p e c i a l f i e l d s . The school i s one of these s p e c i a l i z e d agencies. I t has the formal f u n c t i o n of t r a n s m i t t i n g general knowledge as w e l l as b a s i c methods of l e a r n i n g necessary t o acquire s p e c i f i c knowledge, which i s needed f o r p r o f e s s i o n a l a c c u l t u r a t i o n . The c h i l d g e n e r a l l y lea.rns more about h i s c u l t u r e than h i s parents have ever known since knowledge i s i n c r e a s i n g r a p i d l y and parents u s u a l l y l e a r n s e l e c t i v e l y according to t h e i r own s p e c i a l i n t e r e s t s a f t e r they leave the formal education process. Thus, part of the c h i l d ' s s e l f concept i s d e r i v e d not from h i s f a m i l y ' s a u t h o r i t y but from the a u t h o r i t y of s p e c i a l i s t s , g e n e r a l l y p r o f e s s i o n a l people. Teachers are probably the f i r s t p r o f e s s i o n a l people w i t h whom he has a prolonged r e l a t i o n s h i p . They acquaint him w i t h the a t t i t u d e s and behaviour of p r o f e s s i o n a l persons. He w i l l become acquainted w i t h the teacher's p r o f e s s i o n a l r o l e and the many other r o l e s a teacher may take. A success-i o n of teachers w i l l make the c h i l d aware of the f a c t t h a t a l l teachers are somewhat a l i k e i n t h e i r ways of doing t h i n g s comings, however, the r o l e concept w i l l be used here because no b e t t e r means of communication was a v a i l a b l e . 15-and d i s c h a r g i n g t h e i r d u t i e s . He a l s o l e a r n s t h a t each per-son, w h i l e t a k i n g the r o l e of a teacher, has some e s o t e r i c knowledge as w e l l as i d i o s y n c r a t i c a t t i t u d e s and values which the c h i l d must somehow consider when i n t e r a c t i n g w i t h each teacher i n h i s r o l e of student. He a l s o l e a r n s to com-pete w i t h h i s peers. He becomes aware t h a t there are formal 1 and i n f o r m a l r u l e s which govern each r o l e performance. . By the time the p u p i l graduates from high school he has le a r n e d to d i s t i n g u i s h between the s p e c i f i c a u t h o r i t y of p r o f e s s i o n a l people and the general a u t h o r i t y of h i s par-ents. He has had some contact w i t h the economic as w e l l as w i t h the occupational s t r u c t u r e of society.. I n h i s r o l e as a customer, he has learned some b a s i c f a c t s about the economy. Taking a sparetime job may have taught the youth something of the r e l a t i o n s h i p between the e f f o r t expended and i t s remuneration. I f he l i v e s i n a well-to-do f a m i l y , he has had some contact w i t h employees. I n any case, he w i l l have taken some r o l e i n the occupational f i e l d or had contact w i t h people i n such r o l e s . Reading i n newspapers about s t r i k e s and men being dismissed f o r Inappropriate r o l e performances, he has le a r n e d something about c o n t r o l mechanisms. He knows that straw-b e r r i e s are cheapest when i n season and that shops s e l l 1 Anselm Strauss, ed. The S o c i a l Psychology of George Herbert Mead, Chicago, The U n i v e r s i t y of Chicago Press (Phoenix Books), 1934 and 1956, e s p e c i a l l y P a r t Pour, F i v e and S i x , which de a l w i t h "Mind, S e l f and Society* 5. 16. s i m i l a r merchandise at v a r y i n g p r i c e s . The youth a l s o knows which soda f o u n t a i n makes the "best sundaes or f l o a t s and gives i t h i s patronage. I n general, he l e a r n s that there i s com-p e t i t i o n i n the business world f o r the patronage of the cus-tomer. Some of t h i s competion i s f o r money i n h i s pocket, other competition i s f o r h i s long time patronage. He knows, too, t h a t men working f o r wages must s a t i s f y t h e i r employ-ers or they r i s k to l o s e t h e i r jobs. A l l these f a c t s are hazed by i n t e r v e n t i o n of cooperatives, trade unions, a s s o c i -a t i o n s , o r g a n i z a t i o n s , s p e c i a l i n t e r e s t groups, etc. The youth knows he has to pay the grocer and he has learned to ask the garage man how much the r e p a i r b i l l on h i s b i c y c l e , motor c y c l e or car w i l l be. He has a l s o learned the c o n t r o l money has over the purchase of goods and s e r v i c e s . His contacts w i t h p r o f e s s i o n a l men have given him a d i f f e r e n t k i n d of experience. His parents d i d not ask the doctor f o r the p r i c e of h i s tonsilectomy. The money was probably not p a i d d i r e c t l y upon s e r v i c e . Nlor is. the youth l i k e l y to have observed h i s parents shopping around f o r the best tonsilectomy or haggling over the p r i c e of i t . The doctor may have asked him questions about the r e g u l a r -i t y of h i s s t o o l , u r i n a r y d i f f i c u l t i e s , sexual i n t e r c o u r s e , serious c o n f l i c t s w i t h parents or s i b l i n g s and/or other very personal questions. The doctor a l s o may have given orders about h i s food, school attendance, e t c . A l l t h i s was done by the a u t h o r i t y vested i n h i s r o l e as a doctor. As such 17 . he has p a r t i a l l y c o n t r o l l e d the l i f e s t y l e of the f a m i l y , per-haps even changed the r o l e s of fa m i l y members, f o r i n s t a n c e , the f a t h e r ' s from the r o l e of head of the f a m i l y to that of p a t i e n t . I n sh o r t , the p r o f e s s i o n a l person has i n h i s r o l e as h e a l t h preserver great a u t h o r i t y to d i r e c t r o l e performance of other members i n s o c i e t y . Our h i g h school graduate probably had contact w i t h other p r o f e s s i o n a l people, such as d e n t i s t s , pharmacists, l i b r a r i a n s , nurses, s o c i a l workers, and a score of others. The formal knowledge of the f u n c t i o n s of these p r o f e s s i o n a l people helped him to r e l a t e to them. I n appropriate r o l e performance on h i s p a r t brought some measure of c o e r c i o n or enticement to conform. A l l these p r o f e s s i o n a l people have had a c e r t a i n degree of c o n t r o l over h i s behaviour. During the process of s o c i a l i z a t i o n , a person l e a r n s the r u l e s of approved, t o l e r a t e d and disapproved i n t e r -a c t i o n w i t h other members of the s o c i e t y . He i s taught the d i f f e r e n t degrees of power one r o l e c a r r i e r has over another. He a l s o l e a r n s the punishment which i s to be expected f o r i n a p p r o p r i a t e r o l e performance. Press r e p o r t s d e a l f r e q u e n t l y w i t h d octors' a c t i v i t i e s , u s u a l l y p assing judgment on the appropriate r o l e performance of the p r o f e s s i o n a l s i n v o l v e d . The r o l e performance of lawyers i s a l s o widely discussed by our mass media. S o c i a l workers and l i b r a r i a n s are l e s s p u b l i c i z e d . However, a student can hardly graduate from highschool without coming i n contact w i t h l i b r a r i a n s and thus 18. having some intermeshlng of r o l e s w i t h some of them. S o c i a l workers, i n our s o c i e t y , have contact w i t h a youth only i f he runs i n t o d i f f i c u l t i e s w i t h the c o n t r o l s of s o c i e t y or i f h i s f a m i l y had a breakdown i n s o c i a l f u n c t i o n i n g . One may s t a t e then t h a t the acquaintance w i t h some of the p r o f e s s i o n a l r o l e s i s a c e r t a i n t y f o r any high school graduate. However there are p r o f e s s i o n s of which he may never have heard. I t i s l i k e l y t hat he w i l l choose f o r him-s e l f a p r o f e s s i o n w i t h which he i s acquainted. At the pro-f e s s i o n a l school the fu t u r e member has continuous contact w i t h a u t h o r i t i e s of the p r o f e s s i o n i n question. He a l s o observes the r o l e i n t e r a c t i o n of colleagues. I n medicine, and other p r o f e s s i o n s , he works as an i n t e r n where h i s a c c u l t u r a t i o n to h i s p r o f e s s i o n i s c l o s e l y observed and i n -f l u e n c e d by h i s f u t u r e c o l l e a g u e s . He a l s o l e a r n s h i s r o l e i n i n t e r a c t i o n w i t h a s s o c i a t e p r o f e s s i o n a l and non-profession-a l people, p a r t i c u l a r l y h i s p a t i e n t s or c l i e n t s , r e s p e c t i v e l y . The s o c i a l worker goes through a p r o f e s s i o n a l a c c u l t u r a t i o n d u r i n g h i s f i e l d placement. I n most cases he i s supervised l o n g a f t e r h i s p r o f e s s i o n a l t r a i n i n g i s completed. 1 T h i s may be taken as a t r u i s m i n a s o c i e t y w i t h a r e s i d u a l w e l f a r e system (see Wilensky and Lebeaux, op. o i t . , Chap.IV.). 2 P r o f e s s i o n a l p r a c t i c e s i n B r i t i s h Columbia are the b a s i s f o r these statements. Some of these p r o f e s s i o n s r e q u i r e two t o s i x or more years of u n i v e r s i t y t r a i n i n g . L i b r a r i a n s h i p and s o c i a l work r e q u i r e two years of p r o f e s s i o n a l school a f t e r the undergraduate degree w h i l e medicine r e q u i r e s four years of p r o f e s s i o n a l school a f t e r two to fo u r years of p r e p a r a t i o n i n a p r e s c r i b e d sequence of u n i v e r s i t y t r a i n i n g . 1.9 I n summary, a pr o s p e c t i v e member of a l l p r o f e s s i o n s i s given an opportunity to i n t e r n a l i z e the values and a t t i t u d e s of f u t u r e colleagues. He l e a r n s p a r t l y through the l o n g p e r i o d of a s s o c i a t i o n during t r a i n i n g and f r e q u e n t l y by some system of i n t e r n s h i p under p r o f e s s i o n a l guidance, but a l s o by formal i n s t r u c t i o n . The l a t t e r f r e q u e n t l y i n c l u d e s l e c t u r e s on the code of e t h i c s . The r o l e s l e a r n e d by an i n d i v i d u a l i n the course of s o c i a l i z a t i o n have c e r t a i n unique c h a r a c t e r i s t i c s . They are l e a r n e d by i n f o r m a l c o n t r o l i n the f a m i l y i n s t i t u t i o n . I n i t , r o l e s are a s c r i b e d by t r a d i t i o n , and so i s the power. The i n e f f i c i e n t r o l e performer i s not n e c e s s a r i l y removed from h i s occupation nor i s income r e l a t e d t o the work done. Sex, age, and b i o l o g i c a l a f f i l i a t i o n are major f a c t o r s of 2 the d i v i s i o n of r o l e s i n the f a m i l y . I n general one may consider the behaviour i n a f a m i l y as " c o l l e c t i v e behaviour", w h i l e behaviour of oc c u p a t i o n a l groups c o n s i s t s of "the con-3 scious f u l f i l l i n g of f o r m a l l y d e f i n e d o f f i c e s . 1 Caplow, op. c l t , . , Chap. I I , espec. p. 248/9. • However, even i n the most t r a d i t i o n a l s o c i e t y where men are f o r m a l l y g i v e n a l l power of c o n t r o l we f i n d q u i t e f r e q u e n t l y the r e a l e f f e c t i v e c o n t r o l i s I n f o r m a l l y i n the hand of an o l d e r woman. 2 Broadly speaking, there i s no secto r of -our s o c i e t y where the dominant p a t t e r n s stand i n sharper c o n t r a s t s to those of the occupational world than the f a m i l y . 3 E.C. Hughes, " I n s t i t u t i o n a l O f f i c e and the Person", American J o u r n a l of Sociology, v o l . 43 (November 1937)» pp. 404-413. 20. To the degree that the f a m i l y l o s e s more and more of i t s productive f u n c t i o n s i n the process of i n d u s t r i a l -i z a t i o n , the production a c t i v i t i e s "become l i m i t e d to q u a l i f -i e d a d u l t s . The r o l e s of work a c t i v i t y , general l i v i n g and play become more d i s t i n c t 1 , as do the r o l e s of non-productive members of s o c i e t y , such as pensioners, the unemployed, c h i l d r e n , e t c . Personal r e l a t i o n s h i p s remain e s s e n t i a l i n the o r g a n i z a t i o n of the f a m i l y , the c l i q u e , the sch o o l , the church, and the neighbourhood. The occupational r o l e s under-go a process of r a t i o n a l i z a t i o n , whereby the i n f o r m a l c o n t r o l i s s u b s t i t u t e d by s p e c i f i c a t i o n s of how, when, and by whom work should be done. This s t a n d a r d i z a t i o n i s l a r g e l y con-2 t r o l l e d by occupational o r g a n i z a t i o n s . The d i v i s i o n of labour has l e d to a c t i v i t i e s which ar e , on the one hand, more mechanical, but which, on the other hand, r e g u l a t e much l e s s of the t o t a l complexity of r o l e s of each i n d i v i d u a l i . e . o c cupational o r g a n i z a t i o n s r e g u l a t e s p e c i f i c r o l e behaviour r e l a t e d to the occupation. While g u i l d s of the middle ages had t o t a l c o n t r o l over t h e i r 1 Theodore Caplow, op_. c i t . , p.23. 2 I b i d . , p.24. Caplow s t a t e s t h a t the i n f o r m a l o r g a n i z a t i o n e x i s t s as "a marginal and almost f u r t i v e adjunct to the o f f i c i a l scheme of o r g a n i z a t i o n " . The strong i n f o r m a l organ-i z a t i o n may " s o f t e n the impact of r a t i o n a l i z a t i o n . " 3 Robert K. Merton, S o c i a l Theory and S o c i a l S t r u c t u r e , rev.' ed., Glencoe, The Free P r e s s , 1949 and 1957s Chap. V I I , "Reference Groups and S o c i a l S t r u c t u r e " . Merton used the expression " r o l e - s e t " f o r any given complexity of r o l e s . 21. members. The apprentice became a member of h i s master's i f a m i l y . Whatever l i f e a c t i v i t y any g u i l d member or employee engaged i n was re g u l a t e d c o l l e c t i v e l y by the g u i l d . The member of a p r o f e s s i o n a l a s s o c i a t i o n i n i n d u s t r i a l s o c i e t y has, i n c o n t r a s t to the g u i l d member, a gre a t e r range of choice i n r e c r e a t i o n , marriage, a s s o c i a t i o n , i . e . non-occupa-2 t i o n a l r o l e s . One may s t a t e t h a t i n d u s t r i a l i z a t i o n l e d to a f o r m a l i z a t i o n of the occupational r o l e . The p r i v a t e l i f e and the choice of occupations became l e s s dependent upon the accident of b i r t h . The occupational r o l e s became a v a i l a b l e t o almost anybody who could f i l l the f o r m a l l y s p e c i f i e d r o l e . F o r m a l i z a t i o n was necessary because one s p e c i a l i s t became dependent upon the f u n c t i o n i n g of another s p e c i a l i s t . Unless a c e r t a i n standard of f u n c t i o n could be a n t i c i p a t e d from any member i n a given occupational r o l e , a l l others would have to adjust to each person and. h i s i d i o s y n c r a c i e s . Due to f o r m a l i z a t i o n of norms or standards of performance i t i s p o s s i b l e to expect a r o l e performance from any member of a p r o f e s s i o n a l group to be much l i k e that of another member i n a l l aspects r e l a t e d to the f i e l d of t h a t p r o f e s s i o n . I f these groups c o n t r o l a l l members who possess the knowledge 1 Caplow, op_. c i t . , p. 25. 2 Bernard E. B l i s h e n and others (ed.) Canadian S o c i e t y : S o c i a l P e r s p e c t i v e s , rev. ed., Toronto, MacMillan Company of Canada, 1964, p. 9 . Weber saw a modern s o c i e t y as a d i f f e r -e n t i a t i o n of a s e r i e s of domains. Among the domains he would count k i n s h i p , r e l i g i o n , the economy, the p o l i t y , and the l e g a l system. I n i n d u s t r i a l s o c i e t y there i s a separation of domains as k i n s h i p , economy and p o l i t i c s from various forms of " p r i v a t e l i f e " , i n c l u d i n g p r i v a t e economic e n t e r p r i s e s . The d i f f e r e n c e i s a matter of degree. 22. and s k i l l of that p a r t i c u l a r p r o f e s s i o n , the r o l e performance can not be judged by o u t s i d e r s . Because of t h i s f a c t , pro-f e s s i o n a l a s s o c i a t i o n s c l a i m to need and have f r e q u e n t l y obtained s e l f c o n t r o l over t h e i r members' r o l e performance. Occupational O r g a n i z a t i o n and C o n t r o l I n d i v i d u a l s c a r r y i n g s i m i l a r r o l e - s e t s f i n d them-selves f r e q u e n t l y confronted w i t h s i m i l a r problems and they are l i k e l y to develop many s i m i l a r i n t e r e s t s . This f a c t u n d e r l i e s the formation of many o r g a n i z a t i o n s . Members of a p r o f e s s i o n f i n d i t necessary to a s s o c i a t e i n order to cope w i t h the power s t r u c t u r e more e f f e c t i v e l y than each • i i n d i v i d u a l would be able to do on h i s own. The formation of p r o f e s s i o n a l a s s o c i a t i o n s , and a s s o c i a t i o n s i n general, 2 i s p a r t of man's attempt to r e g u l a t e h i s s o c i a l l i f e . 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 may be seen as s t a b i l i z i n g elements of the i n d u s t r i a l s o c i e t y . "They i n h e r i t , preserve, and hand on a t r a d i t i o n . " ^ A s s o c i a t i o n s i n f l u e n c e each other and become more a l i k e w i t h i n c r e a s e d frequency of contact between t h e i r members. I n order to understand 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 , i t may be u s e f u l to examine other a s s o c i a t i o n s and o r g a n i z a t i o n s , as w e l l as the h i s t o r i c a l development of 1 Robert K. Merton, S o c i a l Theory and S o c i a l S t r u c t u r e , op. c i t . , p. 378. 2 Carr-Saunders, Wilson, op_. c i t . , p. 495. Such f e l l o w ships were formerly b u i l t up around r e l i g i o n and l o c a l i t y . P r e s e n t l y o p p o r t u n i t i e s to a s s o c i a t e are g r e a t l y enlarged and l e a d to a great v a r i e t y of a s s o c i a t i o n s . 3 I b i d . , p. 497. 23-o c c u p a t i o n a l o r g a n i z a t i o n s i n general. I t i s hoped to f i n d i n the present o r g a n i z a t i o n s v e s t i g e s which are d e r i v e d from e a r l i e r stages of t h e i r development and can he under-stood more e a s i l y from the h i s t o r i c a l p o i n t of view. An occupational a s s o c i a t i o n may f u n c t i o n as a mechanism of c o n t r o l e i t h e r f o r i t s members, or f o r the p u b l i c , or f o r both. I n the F i f t e e n t h Century, the powers given t o v o c a t i o n a l c o r p o r a t i o n s were extensive. The s t a t e had an i n t e r e s t to i n s u r e competence of p r a c t i t i o n e r s and honesty i n d e a l i n g w i t h t h e i r c l i e n t s and. " i n f e r i o r s " . Since c e n t r a l a d m i n i s t r a t i o n was not developed y e t , the con-t r o l was delegated, i n p a r t , to c o r p o r a t i o n s . The s t a t e t r e a t e d occupational groups as a l l other c o r p o r a t i o n s . They 2 had to d i s c i p l i n e t h e i r members and supervise them. The occupations which would l a t e r evolve as teaching, l e g a l , medical and e c c l a s i a s t i c a l p r o f e s s i o n s , were at t h a t time not very d i s t i n c t . P r o f e s s i o n a l s were churchmen w i t h very few exceptions. The l e g a l and medical p r a c t i t i o n e r s were s p e c i a l i s t s , w h i l e there was l i t t l e d i s t i n c t i o n between the c l e r g y and teachers. I n the e a r l y Middle Ages almost a l l p r o f e s s i o n a l men took orders, l a t e r many became s e c u l a r 1 W i l l i a m P.D. Wightman, "The Growth of S c i e n t i f i c Ideas", c i t e d i n K a r l Menninger The V i t a l Balance, New York, The V i k i n g Press, 1963, I n t r o d u c t i o n . "Every standpoint i s what i t i s by v i r t u e of i t s o r i g i n from the past and i t s urge t o -wards the f u t u r e . " 2 Carr-Saunders and Wilson, op_. c i t . , p. 305, pp. 289-307. The machinery was clumsy. The o r g a n i z a t i o n „hierarchical as t h a t of a l l other corporations of the time. 24. members of the church. Henceforth the church l o s t gradually-most of i t s i n f l u e n c e over the p r o f e s s i o n a l s . The s t a t e g r a d u a l l y ceased to intervene i n accordance w i t h the p h i l -osophy of lal'ss'ez f a i r e . The l a t t e r became the dominant philosophy. C o n t r a c t u a l l y organized s o c i e t y was the i d e a l of the time. A l l p r o f e s s i o n s - d i v i n i t y , law and phy s i c s -were p r a c t i c e d by gentlemen. x The eighteenth and e a r l y Nineteenth Century was the age of patronage. P r o f e s s i o n a l s worked f o r patrons, wealthy men, o f f i c e h o l d e r s , and organ-i z a t i o n s . The l o y a l t y to 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 was weakened by the patronage system. New t e c h n i c a l and s c i e n t i f i c d i s c o v e r i e s s t i m u l a t e d study groups. Out of these new a s s o c i a t i o n s developed. Some of. these' were formed around v o c a t i o n a l i n t e r e s t s . T i t l e s , such as engineer, chemist, e t c . , were given to p r o f i c i e n t members of these study groups. The a s s o c i a t i o n s l i m i t e d membership by s e t t i n g standards f o r admission. They set the goal to aim at„ and f r e q u e n t l y d i d o b t a i n higher standards. The members then a s p i r e d to be known as competent and honourable. Next, they proceeded to e l i m i n a t e m a l p r a c t i c e , thus guaranteeing to the p u b l i c and c l i e n t s the competence of the a s s o c i a t e s . Methods f o r t e s t s of competence evolved from t h i s - p r a c t i c e . T h i s l e d ev e n t u a l l y to the f o r m u l a t i o n of codes. These s t a t e d the i d e a l s , standards and the s p e c i f i c f i e l d of competence. The codes o u t l i n e d the expected 1 I b i d . , p. 295. There was some dispute about r e c o g n i t i o n of the p r o f e s s i o n a l man as "gentleman". 25. r o l e s of members. A major reason why a p p l i c a t i o n f o r cha r t e r was made was t o o b t a i n p r e s t i g e . Once cha r t e r was granted, a monopoly e x i s t e d and emphasis s h i f t e d to the p r o t e c t i o n of m a t e r i a l i n t e r e s t s of the members. With higher remuneration a higher s t a t u s was achieved. Members of a s s o c i a t i o n s r e a l -i z e d very e a r l y the importance of education and formed c l o s e r e l a t i o n s h i p s w i t h educational s p e c i a l i s t s . Because the pro-f e s s i o n s were e x c l u s i v e r e p o s i t o r i e s of s p e c i a l knowledge and experience, they were asked f o r advice and help by govern' ment and p r i v a t e bodies. They, i n t u r n , o f f e r e d advice i n t h e i r own sphere to help formulate p o l i c i e s . The p r o f e s s i o n -a l a s s o c i a t i o n s now proclaimed as t h e i r proper realm of a c t i v i t y the guarantee to the p u b l i c of the competence and honour of t h e i r members, p r o t e c t i o n of m a t e r i a l i n t e r e s t s f o r t h e i r a s s o c i a t e s , p a r t i c i p a t i o n i n p u b l i c a c t i v i t i e s and en-largement of knowledge by r e t a i n i n g the study f u n c t i o n s . These a s s o c i a t i o n s had no h i e r a r c h i c a l structure." A l l members were of equal s t a t u s and had, i f not a s i n g l e , at l e a s t c l o s e l y r e l a t e d aims, v i z . s i m i l a r v o c a t i o n a l i n -t e r e s t s . T h i s stood i n sharp c o n t r a s t to the s i t u a t i o n i n the Middle Ages when the g u i l d s c o n t r o l l e d the t o t a l r o l e -set of t h e i r members. The s t a t e had l i t t l e , i f any, c o n t r o l .1 over the nettf p r o f e s s i o n a l a s s o c i a t i o n s . 1 The Nineteenth Century was the age of l a i s s e z f a i r e , when f r e e competition was thought to be the best of a l l con-t r o l mechanisms. 26. Need f o r some c o n t r o l became evident, and the s t a t e developed a r e g i s t e r f o r some p r o f e s s i o n s . By the Nineteenth Century the s t a t e had become an employer of l a r g e numbers of p r o f e s s i o n a l people. I t set up examinations to avoid favour-i t i s m i n the c i v i l s e r v i c e . Slowly, the s t a t e proceeded to e s t a b l i s h - r e g i s t e r s f o r most p r o f e s s i o n s . Many of these pro-f e s s i o n s organized a s s o c i a t i o n s which had a v a r i e t y of con-t r o l s over t h e i r members. But the s t a t e d i d leave the c o n t r o l l a r g e l y to the p r o f e s s i o n s according to t h e . p r e v a i l i n g p h i l -osophy of the time. The s t a t e employed the a s s o c i a t i o n s as c o n t r o l mechanisms by e i t h e r g r a n t i n g the r i g h t to r e g i s t e r ( l i c e n s e ) and/or by gran t i n g an' a s s o c i a t i o n c h a r t e r . Thus, the a s s o c i -a t i o n s became c o n t r o l organs of the s t a t e . The p r o f e s s i o n a l a s s o c i a t i o n s that f a i l e d to o b t a i n t h i s c o n t r o l over t h e i r members, l o s t the power to exclude members from p r o f e s s i o n a l p r a c t i c e . They could then no longer guarantee the competence and honour of a l l t h e i r members. Unless, the p r o f e s s i o n had i n d i r e c t i n f l u e n c e through the p a r t i c i p a t i o n of i t s members on the c o n t r o l committee set up by the government. The degree of c o n t r o l over i n d i v i d u a l members v a r i e s amongst the 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 . The w e l l i n t e g r a t e d p r o f e s s i o n a l groups, such a.s medicine and law have a great v a r i e t y of r e g u l a t i o n s . These r e g u l a t i o n s guarantee the p u b l i c a c e r t a i n standard of f u n c t i o n i n g of the individua.1 p r a c t i t i o n e r s . They a l s o assure the p u b l i c t h a t the p r a c t i t -i o n e r ' s moral i s as high as tha t expected from most c i t i -2?. 1 zens.~ By v o l u n t a r i l y r e g u l a t i n g c e r t a i n r o l e behaviour, the p r a c t i t i o n e r obtains the freedom to carry out h i s r o l e i n a manner and norm a r r i v e d at by confreres who understand the p r i n c i p l e s and share the values. The s o c i e t y i s r e -l i e v e d of th;e n e c e s s i t y to formulate laws which r e g u l a t e the s e r v i c e of the p r o f e s s i o n s . 3 Laws would be cumbersome as they would have to be a p p l i c a b l e t o the whole s o c i e t y . Changes of such laws might be more dependent on the s o c i e t y at l a r g e as on the needs of the p a r t i c u l a r p r o f e s s i o n and i t s f u n c t i o n f o r s o c i e t y . Although a c e r t a i n degree of s e l f c o n t r o l has been granted to many p r o f e s s i o n a l organ-i z a t i o n s , laws may be imposed i f t h i s i s necessary. I n any case, a l l p r o f e s s i o n a l men are subject to the laws of s o c i e t y i n t h e i r r o l e s as c i t i z e n s . The p r o f e s s i o n s are organized f o r the performance of d u t i e s . T h i s i s i n c o n t r a s t to the economic sphere where o r g a n i z a t i o n i s g e n e r a l l y f o r r i g h t s , mainly pecuniary r i g h t s . " Tawney proposes to organize i n d u s t r y i n a s i m i l a r 1 Carr-Saunders and Wilson, op_. c i t . , p. 39'5« But not n e c e s s a r i l y higher than th a t of other c i t i z e n s . 2 R.M. Tawney, The A c q u i s i t i v e S o c i e t y , London, C o l l i n s The Fontana L i b r a r y , 1921 & 1961, p. 89. The object of r u l e s " . . . i s to Impose on the p r o f e s s i o n i t s e l f the o b l i g a t i o n of m a i n t a i n i n g the q u a l i t y of the s e r v i c e , and to prevent i t s common purpose being f r u s t r a t e d through the undue i n f l u e n c e of the motive of pecuniary gain upon the n e c e s s i t i e s or c u p i d i t y of the i n d i v i d u a l . " 3 ' P eter H. B l a u , Bureaucracy i n Modern S o c i e t y , New -York, Random House, 1956, p. 62. Occupational groups that develop own d i s c i p l i n e can most r e a d i l y enforce i t . 28. manner to that of the p r o f e s s i o n s , by g i v i n g the o r g a n i z a t i o n of i t s managers freedom from the cumbersome r e s t r i c t i o n s im-posed by the r u l e s of general law. S e l f r e g u l a t i o n would enable the managers to use t h e i r p r o f e s s i o n a l s k i l l s i n the s e r v i c e of s o c i e t y , w h i l e , at present, they serve mainly to produce pecuniary p r o f i t s which i s not n e c e s s a r i l y i n the i n t e r e s t of s e r v i c e f o r the s o c i e t y . 2 Taeusch has proposed to p r o f e s s i o n a l i z e business. T h i s , Taeusch thought, would f r e e the economic sphere from s t a t e c o n t r o l by s u b s t i t u t i n g i n t e r n a l c o n t r o l s s i m i l a r to those used i n the c l a s s i c a l p r o f e s s i o n s . Durkheim and Park go even f u r t h e r . They suggest t h a t p r o f e s s i o n a l s.nd other o c c u p a t i o n a l o r g a n i z a t i o n s may become the basic p o l i t i c a l u n i t s of i n d u s t r i a l s o c i e t i e s . ^ These authors' reasoning appears to be that i n d u s t r i a l s o c i e t i e s must delegate some measures of c o n t r o l t o the i n d i v i d u a l groups which are the r e p o s i t o r i e s of knowledge, s k i l l , and competence i n a cer-t a i n f i e l d . This would in c r e a s e the freedom of i n d i v i d u a l p r a c t i t i o n e r s and c i t i z e n s to f o l l o w t h e i r v o c a t i o n as they 1 Tawney, l o c p i t . "The d i f f e r e n c e between i n d u s t r y as i t e x i s t s today and a p r o f e s s i o n i s , then, simple and unmistakable. The former i s organized f o r the p r o t e c t i o n of r i g h t s , mainly r i g h t s to pecuniary gain. The l a t t e r i s organized, imperfect-l y indeed, but none the l e s s genuinely, f o r the performance of d u t i e s . 2 C a r l F. Taeusch, P r o f e s s i o n a l and Business E t h i c s , Hew York, Henry H o l t and Company, 1926, passim. 3 Caplow, op. c i t . , p. 102. Caplow used i n h i s a n a l y s i s the c o l l e c t i v e "occupational o r g a n i z a t i o n s " . 29. j may f e e l l e s s r e s t r i c t e d even when very s t r i c t c o n t r o l s e x i s t , i f these c o i n c i d e w i t h and enforce t h e i r own value system. These proposals sound reasonable when co n s i d e r i n g the 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 of the Twenties. Today, many pr o f e s s i o n s have become l a r g e bureaucracies w i t h a l l the dilemmas of such. The p a r t i c u l a r dilemma of bureaucracies i s that they are i n nature anathema to democratic i d e a l s and i n d i v i d u a l i s t i c p h i l o s o p h i e s . More w i l l be s a i d about t h i s f u r t h e r on. P r i n c i p l e s of P r o f e s s i o n a l E t h i c s Every member of a p r o f e s s i o n i s a c i t i z e n of h i s s o c i e t y and, as such, he has the r i g h t s and d u t i e s of a c i t i z e n . Because of the s p e c i a l knowledge and s k i l l s which the p r o f e s s i o n a l person possesses, he has a d e f i n i t e commit-2 ment to a s o c i a l f u n c t i o n or r o l e i n h i s community. He f i n d s h i s reward of adhering to customary standards i n the . 3 approval of h i s f e l l o w c i t i z e n s . He works w i t h the proper a u t h o r i t i e s to enable the p u b l i c to u t i l i z e h i s s e r v i c e s . The f u l f i l l m e n t of h i s o b l i g a t i o n towards the p u b l i c should z_ .  1 B l a u , op. c i t . , p. 22. E f f i c i e n c y versus democracy. Bureaucracy must be avoided at a l l cost i n a democracy. The l a t t e r must be based on f r e e expression of o p i n i o n . This freedom i s more or l e s s severely r e s t r i c t e d , i n a h i e r a r c h i c a l . o r g a n i z a t i o n as a bureaucracy. 2 Carr-Saunders & Wilson, op_. c i t . , p. 421. quote F. B u l l o c k . "The p h y s i c i a n i s not compelled by law to attend, to any case t o which he may be c a l l e d , but he must remember t h a t , having accepted a p u b l i c c a l l i n g , he must as a r u l e have good reasons f o r M s r e f u s a l . " 3 Tawney, op_. c i t . , p. 154. 30. be determined by h i s p r o f e s s i o n a l conscience r a t h e r than by adherence to the l e t t e r of the law.* The p r o f e s s i o n a l person employs s p e c i a l knowledge to a s s i s t i n the i n t e r p r e t a t i o n and fo r m u l a t i o n of law and p u b l i c p o l i c y as i t r e l a t e s to h i s f i e l d of competence. He makes known the view of h i s pro-2 f e s s i o n but does not formulate p o l i c y . I n t h i s , he ought to put the p u b l i c good before the advantages to himself and h i s p r o f e s s i o n . A p r o f e s s i o n a l person has the duty to def i n e and i n t e r p r e t h i s r o l e to the p u b l i c and share h i s knowledge, i f t h i s w i l l f u r t h e r the advancement of the s o c i e t y . This apparently a l t r u i s t i c behaviour may i n c i d e n t a l l y provide the p r o f e s s i o n a l man w i t h a l a r g e c l i e n t e l e and thus b r i n g him considerable p r o f i t . C o n t r i b u t i o n s to the w e l f a r e of s o c i e t y may a l s o b r i n g him such non-pecuniary rewards as p u b l i c o f f i c e , honourable mention i n mass media, and l a s t , but not l e a s t , i t may give him the esteem of h i s colleagues and a f e e l i n g of p r i d e i n having c o n t r i b u t e d to the t^elfare of h i s community. Although the s e r v i c e i d e a l i s p a r t of the pro-f e s s i o n a l creed, i t can a l s o be found i n business. While i n the l a t t e r the p r o f i t motive i s taken as a mea-sure of success, the p r o f e s s i o n a l person would not be considered s u c c e s s f u l 1 Taeusch, op_. c i t . , pp. 17? and 318. Taeusch i n t e r p r e t s Socrates i n reference to p u b l i c s e r v i c e : A man should be guided by h i s conscience only i n what he c o n t r i b u t e s towards the common good of h i s s o c i e t y . His s e r v i c e s should go be-yond s e l f - i n t e r e s t . 2 Carr-Saunders and Wilson, o£. c i t . , p. 485. When he p a r t i c i p a t e s i n f o r m u l a t i n g of p o l i c y he has a r o l e i n a governmental o r g a n i z a t i o n . P r o f e s s i o n a l groups or i n d i v i d u a l s give t h e i r expert opinions but do not decide what should be implemented i . e . decide p o l i c y . 31. j u s t f o r making high p r o f i t s . 1 Tawney contemplates the p r o c e s s i o n a l ! z a t i o n of i n d u s t r y by separating the r o l e s of c a p i t a l owners and man-agers i n i n d u s t r y . The managers* a s s o c i a t i o n s would c o n t r o l the performance of t h e i r peers. Instead of being c o n t r o l l e d by the p r o f i t motive, they would serve i n d u s t r y w i t h the goal of producing most e f f i c i e n t l y the goods and s e r v i c e s needed by s o c i e t y . The c a p i t a l owners would be recompensed f o r the use of t h e i r c a p i t a l only. P r o f e s s i o n a l i z a t i o n as a r e o r g a n i z a t i o n of s o c i e t y has been envisaged before by Durkheim and Park. Caplow sees p r o f e s s i o n a l s o c i e t i e s t u r n -'s i n g i n t o major s o c i a l i n s t i t u t i o n s . The i m p l i c a t i o n i s that these organized p r o f e s s i o n a l people, who a l l f o l l o w the ser-v i c e i d e a l and are to a h i g h degree s e l f - c o n t r o l l e d may be 4 employed as c o n t r o l s of s o c i e t y . These are l o g i c a l pro-p o s a l s . However, s o c i a l i n s t i t u t i o n s are "sacred cows". And l o g i c i s f r e q u e n t l y a poor second even when such i n s t i t -u t i o n s are obviously m a l f u n c t i o n i n g . Another reason to 1 T a l c o t t Parsons, Essays i n S o c i o l o g i c a l Theory, op. c i t . , p. 44. The author compares f u n c t i o n i n g of business and pro-f e s s i o n s . He concludes t h a t both have e s s e n t i a l l y s i m i l a r g o a l s , i . e . o b j e c t i v e achievement and r e c o g n i t i o n . But the means d i f f e r . S o c i e t y sanctions p u r s u i t of s e l f - i n t e r e s t by business men but not by p r o f e s s i o n a l people. 2 Tawney, op_. c i t . , passim. 3 Caplow, op_. c i t . , p. 140. 4 Bertram M. Beck, "Wanted Now: S o c i a l Work A s s o c i a t e s " , The "Social Welfare Forum, N a t i o n a l Conference on S o c i a l Wel-f a r e , 1963, p. 198. P r o f e s s i o n a l behaviour i s c o n t r o l l e d to a h i g h degree by the use of i n t e r n a l i z e d values and knowledge. Th i s d i f f e r s from b u r e a u c r a t i c c o n t r o l which u t i l i z e s p o l i c y , r u l e s and r e g u l a t i o n s . 32. examine such proposals c r i t i c a l l y i s the b u r e a u c r a t i z a t i o n of present day 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 . One might expect considerable r e s i s t a n c e from the p u b l i c towards such i n s t i t -u t i o n a l changes. However, i f the c o n t r o l of s o c i e t y by pro-f e s s i o n a l a s s o c i a t i o n s spreads g r a d u a l l y such an e v o l u t i o n might be acceptable to an i n d u s t r i a l s o c i e t y . O b l i g a t i o n s and R e l a t i o n s h i p s of the P r o f e s s i o n a l Person The p r o f e s s i o n a l person i s g e n e r a l l y forbidden to s o l i c i t c l i e n t s . ! H i s c l i e n t s are expected to ask f o r the s e r v i c e s , except under s t i p u l a t e d circumstances and i n cases of emergency.2»^ The p r o f e s s i o n a l person should provide s e r v i c e s when p u b l i c o p i n i o n demands such s e r v i c e , even i f the i n d i v i d u a l c l i e n t d i d not v o l u n t a r i l y ask f o r i t . How-ever, i n most cases, there i s freedom of choice, and t h i s determines certain rights and o b l i g a t i o n s of the contracting p a r t i e s . One of these i s t h a t the p r o f e s s i o n a l man w i l l serve u n t i l he i s r e l e a s e d or has advised h i s c l i e n t , t h e f a m i l y and/or f r i e n d s t h a t he wishes to be re l e a s e d from s e r -1 H.H. Perlman, S o c i a l Casework. Chicago, The U n i v e r s i t y of Chicago P r e s s , 1957, p. 185. The c l i e n t "must want some hel p or change and must reach out w i t h some p a r t of himself ...". S o c i a l workers have engaged i n s o l i c i t i n g c l i e n t s i n the "hard to reach" programs though. However, they have done so as agents of bureaucracies r a t h e r than as f r e e lance pro-f e s s i o n a l s . 2 Taeusch, pj>. c i t . , p. 181 and p.. 384. 3 W i l l a r d L. Sperry, The E t h i c a l B a s i s of Medical P r a c t i c e , New York, Pa u l B. Hoeber, 1950, pp. 82-83. I t i s s t a t e d here t h a t the m i n i s t r y i s f o r c e d to a d v e r t i s e by the fina n c e committee " to f i l l the pews". 33. v i c e . Any danger to the c l i e n t or p a t i e n t and to h i s s o c i a l environment has to be made known. Care should be taken to avoid any a c t i v i t y which may be against the best i n t e r e s t of the c l i e n t . Intimate communications are to be kept con-f i d e n t i a l . However, only lawyers, doctors and clergymen can promise t h e i r c l i e n t s f u l l c o n f i d e n t i a l i t y . T h i s i s e s t a b l i s h e d l e g a l l y by precedent. E x c e p t i o n a l circumstances are s p e c i f i e d when even these p r o f e s s i o n a l s may be supoenaed. A l l other p r o f e s s i o n s may be f o r c e d by law to r e v e a l com-munications when i t i s i n the i n t e r e s t of any court to ask f o r such r e v e l a t i o n . The p r o f e s s i o n s , which are p r o t e c t e d by law ag a i n s t r e v e a l i n g c o n f i d e n t i a l communications, are l i a b l e , under the law, to adhere to t h i s r u l e . Common law based upon w e l l e s t a b l i s h e d customs, p r o t e c t s c l i e n t s from misuse of i n f o r m a t i o n . Merton s t a t e s that the p r o f e s s i o n a l p o i n t of view i s , "You can't get se c r e t s i f you don't keep them." To serve h i s c l i e n t , the p r o f e s s i o n a l person needs f u l l i n f o r m a t i o n . He guarantees h i s c l i e n t p r o t e c t i o n by h i s d e d i c a t i o n to s e r v i c e and t r u s t a s c r i b e d to h i s p r o f e s -s i o n a l group. The p r o f e s s i o n a l group enforces c o n f i d e n t i a l -i t y by consensus I n f o r m a l l y and by the a d m i n i s t r a t i o n of the p r o f e s s i o n ' s code of e t h i c s , f o r m a l l y . Frequently, p r o f e s s i o n a l people w i l l c o n s ult colleagues or s u p e r i o r s , thereby r e v e a l i n g c o n f i d e n t i a l i n -formation. U n f o r t u n a t e l y , the l i n e between gossip and pro-1 Robert K. Merton, Codes of E t h i c s , manuscript, p.24. 34. f e s s i o n a l l y u s e f u l c o n s u l t a t i o n i s d i f f i c u l t to draw. Re-l a t i o n s h i p s "become p a r t i c u l a r l y s t r a i n e d when c o n f l i c t s be-tween the c l i e n t ' s i n t e r e s t and tha t of the p r o f e s s i o n a l person or the p u b l i c become apparent. S o c i a l workers exper-ience r e g u l a r i l y the s i t u a t i o n where c l i e n t s confide i n them a breach of the law and/or welfare s t a t u t e s . As an employee of the agency and steward of s o c i a l w e l f a r e programs, the 2 p r o f e s s i o n a l worker must decide which r o l e he i s to take. The i n d i v i d u a l p r o f e s s i o n a l obtains guidance h e r e i n from the o r g a n i z a t i o n of h i s p r o f e s s i o n . Several codes of e t h i c s attempt to def i n e the p r i o r i t y of l o y a l t y . The codes f r e q u e n t l y i n c l u d e the f o l l o x f i n g : ^  (a) the c l i e n t as against the community;^ 1 I b i d . , p. 27. 2 Sperry, op_. c i t . , pp. 97-9 8, notes the important general area of c o n f l i c t i n g l o y a l t i e s . "Most of our moral choices, and those are by f a r the most d i f f i c u l t , have to be made i n the presence of d i v i d e d l o y a l t i e s . My br o t h e r - i n - l a w , the l a t e P r o f e s s o r Charles A. Bennett, taught the general under-graduate course i n e t h i c s at Ya l e . He used to say, 'We s e l -dom are given a c l e a r moral choice between b l a c k and xfhite. Most of our choices have to be made between shades of gray.' His theory then was t h a t , once we have chosen the l i g h t e r shade of gray, we must go ahead on the b a s i s t h a t i t i s f o r us pure white, and a c t without compunction or r e g r e t . We have here an inst a n c e of p r e c i s e l y t h a t b a f f l i n g c o n t r a s t be-tween the e m p i r i c a l f a c t of r e l a t i v i t y and the t h e o r e t i c a l n e c e s s i t y of absoluteness i n moral matters which we have pre-v i o u s l y n o t i c e d . " 3 The codes of e t h i c s do not n e c e s s a r i l y i n c l u d e a l l areas l i s t e d here, nor i s t h i s l i s t complete. The order of p r i o r -i t y changes from p r o f e s s i o n to p r o f e s s i o n . 4 R.M. Maclver, "The S o c i a l S i g n i f i c a n c e of P r o f e s s i o n a l E t h i c s " , Annals of the American Academy of P o l i t i c a l and (b) the c l i e n t as against another membsr of the pro-f e s s i o n ; (c) one p r o f e s s i o n a l person as a g a i n s t another; (d) one c l i e n t as against another 1; and (e) the c l i e n t as against the o r g a n i z a t i o n the pro-f e s s i o n a l person i s working w i t h . P r i o r i t i e s d i f f e r i n each p r o f e s s i o n . The con-f l i c t s g e n e r a l l y become more emotionally loaded when de-c i s i o n s are made from a p r o f e s s i o n a l p o i n t of view which i s i n c o n f l i c t w i t h g e n e r a l l y approved p r i n c i p l e s and morals of the s o c i e t y . R e l a t i o n s h i p s between colleagues and other pro-f e s s i o n a l people are i n f o r m a l l y and/or f o r m a l l y e s t a b l i s h e d by the p r o f e s s i o n a l a s s o c i a t i o n . Codes of e t h i c s may s t i p -u l a t e r e l a t i o n s h i p s w i t h other p r o f e s s i o n a l persons, e i t h e r recommending, p e r m i t t i n g or p r o h i b i t i n g such r e l a t i o n s i n 2 more or l e s s c l e a r l y d e f i n e d s i t u a t i o n s . One s t i p u l a t i o n S o c i a l Science, 101, (1922), p. 10. "Perhaps the l e a s t s a t i s -f a c t o r y r e c o n c i l i a t i o n i s t h a t r e l a t i n g the i n t e r e s t of the c l i e n t to the i n t e r e s t of the p u b l i c , not merely i n the con-s i d e r a t i o n of the p a r t i c u l a r cases as they a r i s e but s t i l l more i n the adaptation of the s e r v i c e to the needs of the p u b l i c as a whole as d i s t i n c t from those of the i n d i v i d u a l c l i e n t s . Thus the medical p r o f e s s i o n has i n c u r r e d to many minds a seri o u s l i a b i l i t y , i n s p i t e of the devotion of i t s s e r v i c e to the a c t u a l p a t i e n t s , by i t s f a i l u r e f o r so long to apply the preventive s i d e of medicine, i n p a r t i c u l a r to suggest ways and means f o r the prevention of the needless l o s s of l i f e and h e a l t h and happiness caused by the general medical ignorance and h e l p l e s s n e s s of the poor." 1 Merton, Code of E t h i c s , pp. c i t . , p. 31. 2 Taeusch, o_p_. c i t . , p. 1?6. The d i r e c t i o n s i n most codes are r a t h e r general - r a r e l y are precedents e s t a b l i s h e d . 36. found i n most p r o f e s s i o n s i s the l i m i t a t i o n of competition between i n d i v i d u a l members.* Although p r o f e s s i o n a l people have f o r a l o n g time recommended competition as the only e f f e c t i v e r e g u l a t o r of the economic f i e l d of which occupations are a p a r t , they have thought such mechanism i n o p e r a t i v e f o r the p r o f e s s i o n s themselves. I t i s considered h i g h l y un-e t h i c a l f o r p r o f e s s i o n a l people to compete f o r c l i e n t s by other means than the p r a c t i t i o n e r ' s r e p u t a t i o n f o r q u a l i t y "of s e r v i c e and personal i n t e g r i t y . C r i t i c i s m of colleagues to persons not belonging t o the same p r o f e s s i o n i s considered as one of the great taboos i n a l l p r o f e s s i o n s . I f a c e r t a i n member of a pro-f e s s i o n deserves to be exposed f o r the sake of the p r o f e s s i o n ' s r e p u t a t i o n , he should be reported to the a s s o c i a t i o n but never should an i n d i v i d u a l colleague pass judgment to "out-s i d e r s " . The d i s c i p l i n i n g of wayward members to preserve the r e p u t a t i o n of the p r o f e s s i o n , i s the task of the p r o f e s s i o n a l a s s o c i a t i o n . To " o u t s i d e r s " the p r o f e s s i o n presents a c l o s e d f r o n t of s o l i d a r i t y . However, w i t h i n every p r o f e s s i o n there are d i s s i d e n t s , who may become organized i n schools. I f these schools i n f l u e n c e a m a j o r i t y of members, the a t t i t u d e and values of the whole o r g a n i z a t i o n may change. To pre-1 I b i d . , pp. 56, 120, 189. I n the case of p h y s i c i a n s , i t i s c l e a r l y s t a t e d t h a t no doctor should a t t e n d a p a t i e n t who i s under the care of another doctor. The d i f f i c u l t y i s that he may not know t h i s , unless the p a t i e n t t e l l s him. Even s o c i a l c a l l s are to be avoided and, i f made, no p r o f e s s i o n a l i n f o r m a t i o n should be communicated. Mo comments about another physican should be made. 37. serve consensus and maintain the confidence of c l i e n t s , every organized p r o f e s s i o n has some r e g u l a t i o n d e a l i n g w i t h d i f f e r -ences of o p i n i o n between colleagues. Only experts are a l l e g -ed to be competent and, t h e r e f o r e , able to judge other ex-1 2 p e r t s . » Hence, l a y persons are not given c o n t r o l over pro-f e s s i o n a l a f f a i r s . The p r o f e s s i o n a l - c l i e n t r e l a t i o n s h i p i s d i s t i n c t from the non-professional r e l a t i o n s h i p . The k i n d of r e l a t i o n -s h i p e x i s t i n g ' i s inherent i n the k i n d of s e r v i c e the pro-f e s s i o n a l person provides. I t may not be r e s t r i c t e d to pro-f e s s i o n a l occupations. But i n these the c l i e n t subordinates h i m s e l f to p r o f e s s i o n a l a u t h o r i t y . He i s thought to be incapa,ble of judging the q u a l i t y and quantity of s e r v i c e s needed and provided. I n the n o n - p r o f e s s i o n a l , economic r e l a t i o n s h i p s , i n comparison, "the customer determines what s e r v i c e s and/or commodities he wants".^ The business slogan "the customer i s always r i g h t " expresses the r e l a t i o n s h i p i n •the market economy. I n r e a l i t y the above dichotomy describes the extremes which are p o s s i b l e . More probable i s the r e -l a t i o n s h i p of the p r o f e s s i o n a l person w i t h h i s c l i e n t i n which the l a t t e r has a c e r t a i n degree of choice. For one, he may or may not continue to p a t r o n i z e the p r o f e s s i o n a l per-1 Robert Sommer, Expe r t l a n d , Garden C i t y , N.Y. Doubleday and Company, 19&3, p. 19. 2 Merton, S o c i a l Theory and S o c i a l S t r u c t u r e , op. c i t . , p. 27. Experts "have examined p e r s o n a l i t i e s of t h i e v e s , hobos,, s a l e s - l a d i e s . ..but they are. r e l u c t a n t to examine t h e i r own." 3 Ernest Greenwood, " A t t r i b u t e s of a P r o f e s s i o n " , i n S o c i a l Work, v o l . 2, no. 3 , ( J u l y 1957)> p. 48. 38. son. He may a l s o present h i s case i n such a manner t h a t the p r o f e s s i o n a l person i s fo r c e d to t r a n s f e r the c l i e n t to a colleague. I n the case of an engineer or a r c h i t e c t , the c l i e n t may i n f l u e n c e the s e r v i c e to q u i t e a considerable de-gree. He may ask th a t a road be rerouted because he, the c l i e n t , wishes i t t h i s way, or he may ask th a t the b u i l d i n g be d i s c o n t i n u e d because he, the c l i e n t , has run out of money. I n the non-professional s e r v i c e i n d u s t r y a mechanic may ask and o b t a i n a u t h o r i t y to r e p a i r an engine or a t a i l o r t o make a c e r t a i n s u i t . I n both cases, the customer may have s u f f i c i e n t knowledge to judge what has to be done, but r a r e l y does he know how i t should.be done, and the non-pro-f e s s i o n a l workman has to be given a u t h o r i t y to use h i s s k i l l and knowledge to do-the job. Comparing these r e l a t i o n s h i p s , one appears to be f o r c e d to the c o n c l u s i o n that there i s a continuum i n the occu p a t i o n a l f i e l d from p r o f e s s i o n a l to non-professional occupations when judged according to the q u a l i t y of r e l a t i o n -al s h i p . I t seems to be f a l l a c i o u s , t h e r e f o r e , to d i v i d e occupations i n t o p r o f e s s i o n s and non-professions f o r t h i s and other reasons. C o n t r o l s of Society and the C o n t r o l F u n c t i o n of the Code of E t h i c s Controls i n any given s o c i e t y vary from i n f o r m a l 1 I b i d . , p. 46. ,5The occupational c l a s s i f i c a t i o n by the U.S. Census Bureau i s p r e c i s e l y such a continiuum. , ! 39. to formal and may be applied, d i r e c t l y or i n d i r e c t l y . Gener-a l l y a combination of a l l kinds of c o n t r o l s e x i s t s together.* The f u n c t i o n of the c o n t r o l s i s the r e g u l a t i o n of the s o c i e t y . The c o n t r o l s may c o n s i s t of consensus of good p r a c t i c e s . On p the other hand., they may be f o r m a l l y c o d i f i e d i n the law. I n most i n s t a n c e s , any v a r i a t i o n between these two poles i s operating. The f u n c t i o n of any c o n t r o l mechanism depends, on the o p e r a t i o n a l l e v e l , to a very l a r g e degree on i n f o r m a l c o n t r o l s . This a p p l i e s to the most e f f i c i e n t l y administered, laws as w e l l as to folkways. Informal c o n t r o l s may be very s t r i c t , when they are a p p l i e d to a homogeneous group. Yet they may be r e a d i l y accepted, since they represent values and a t t i t u d e s which have evolved from t h i s group. Each member has i n t e r n a l i z e d these values and a t t i t u d e s and considers them h i s own.^ The i n f o r m a l c o n t r o l c o n s i s t s mainly i n degrees of i s o l a t i o n of the nonconformist member from the group. The maximal punish' 1 Caplow, op. c i t . , p. 105. 2 Parsons, S t r u c t u r e and Process i n Modern S o c i e t y , op. c i t . , p. 65 . 3 Caplow, op. c i t . , p. 120. "...the members of t i g h t l y organized occupational h i e r a r c h i e s are u s u a l l y l e s s aware of c o e r c i o n than those who work i n mobile environments." P r o f e s s i o n s are u s u a l l y thought to o f f e r more "freedom" than f a c t o r y work. I n p r a c t i c e , the o b j e c t i o n to r e g u l a t i o n s i s overcome by: 1. long p e r i o d of t r a i n i n g which led. to i n t e r -n a l i z a t i o n of p r o f e s s i o n a l c u l t u r e , 2. great i d e n t i f i c a t i o n of i n d i v i d u a l to r u l e s e t t i n g agency, 3 . more uniform r u l e s f o r a l l members and impersonal v a l i d i t y of r u l e s , 4 . the r u l e s l i m i t i n f l u e n c e of " o u t s i d e r s " . This i s p r e f e r r e d even when t y r a n n i c a l r u l e s of " i n s i d e r s " e x i s t . 40 ment i s t o t a l i s o l a t i o n , i . e . expulsion from the group. The p o s i t i v e i n c e n t i v e i s the pleasure d e r i v e d from being w i t h others who are " l i k e o n e s e l f " , i . e . members of a homogeneous „ group. These p o s i t i v e c o n t r o l mechanisms are f r e q u e n t l y , omitted i n the study of f u n c t i o n s of s o c i e t i e s . I n d u s t r i a l s o c i e t y i s made up of many homogeneous groups, each at variance w i t h the values and a t t i t u d e s of some or a l l other groups. The r e g u l a t o r y mechanisms of such a heterogeneous complex has evolved i n most cases from the common values and a t t i t u d e s h e l d by these groups. The law may be seen as a c o d i f i c a t i o n of r u l e s and r e g u l a t i o n s as they evolve and are p r a c t i c e d i n everyday l i f e . However,' not a l l laws are d e r i v e d from such common p r a c t i c e . Some laws are superimposed by power groups. One important f u n c t i o n of law i s to secure u n i f o r m i t y of c o n t r o l s . I t s main ad-vantage of being u n i v e r s a l i s a l s o i t s main disadvantage namely the r e s t r i c t i o n of an i n d i v i d u a l ' s freedom of choice f o r the sake of a l l of s o c i e t y . These c o n t r o l s , f o r m a l i z e d i n the law, are r e l a t i v e l y r a r e l y enforced by the cou r t s . They operate because many i n d i v i d u a l s are aware that these - . 2 c o n t r o l s e x i s t . C o n t r o l s are fr e q u e n t l y considered, as r i g h t s and d u t i e s . However, i f law i s superimposed, on a s o c i e t y by a power group, i t needs constant v i g i l a n c e to 1 Benjamin N. Cardozo, The Nature of the J u d i c i a l Process, New Haven, Yal e U n i v e r s i t y P r e s s , 1921, p. 112.. "One of the most fundamental s o c i a l i n t e r e s t s i s that law s h a l l be un-i f o r m and i m p a r t i a l . " 2 I b i d . , p. 128. 41. enforce i t , and, i n most cases, i t i s only accepted very g r a d u a l l y , i f ever, by the subjugated.. This i s the case when s o c i e t i e s are r u l e d by men whose a t t i t u d e s and values d i f f e r from those of the m a j o r i t y of the s o c i e t y . I f the laws c o n f l i c t w i t h the values and. a t t i t u d e s of the subjugated, people, the l a t t e r may f e e l o v e r l y c o n t r o l l e d and o b s t r u c t the c o n t r o l s c o d i f i e d i n the law. Laws which are not based on s o c i a l j u s t i c e 1 may need constant enforcement by court d e c i s i o n s because they are i n c o n f l i c t w i t h the a t t i t u d e s and values of many members of the s o c i e t y . They i n t e r f e r e a l s o w i t h the freedom of con-2 t r a c t which i s p a r t of the ideology of our c u l t u r e . However co e r c i v e c o n t r o l s may seem to be from the viewpoint of an outside observer, men appear to be w i l l i n g to t o l e r a t e s t r i c t c o n t r o l s i f they are of a "homegrown" v a r i e t and f e e l f r e e i n s p i t e of them. Men object g e n e r a l l y to non-acculturated values and a t t i t u d e s and. render laws based on these i n e f f e c t -1 I b i d . , p. 66. "The f i n a l cause of law i s the welfare of s o c i e t y . The r u l e t h a t misses i t s aim cannot permanently j u s t i f y i t s e x i s t e n c e . ' E t h i c a l c o n s i d e r a t i o n s can no more be excluded from the a d m i n i s t r a t i o n of j u s t i c e which i s the end and purpose of a l l c i v i l laws than one can exclude the v i t a l a i r from h i s room and l i v e , ' L o g i c and h i s t o r y and. customs have t h e i r p l a c e . We w i l l shape the law to conform to them when we may; but only w i t h i n bounds. The end which the law serves w i l l dominate them a l l " . Quote by D i l l o n , Harvard Law" Review, 731,733. 2 "Ibid., p. 126. "...a s t a t u t e , t i l l construed, i s not r e a l law". One such s t a t u t e i s The "Canadian B i l l of R i g h t s " . I t has never been a p p l i e d i n any court of law (by January 19.65) a n<l appears to exemplify the p o i n t t h a t superimposed law does not serve as a formal s o c i a l c o n t r o l . I t i s d i f f i c u l t to assess how much i t i n f l u e n c e s the s o c i e t y i n f o r m a l l y . 42. i v e even though these laws may e x e r c i s e only m i l d c o n t r o l s . Laws "become inoperable a l s o when they are not a p p l i e d by the 1 c o u r t s . Then they e x i s t i n l e t t e r only. To be f u n c t i o n a l , the law must be a p p l i e d to and serve, or be thought to serve, the i n t e r e s t s of i t s s u b j e c t s . I n the i n t e r e s t of s o c i e t y , the law supports s o c i a l i n s t i t u t i o n s which can inadequately c o n t r o l groups and/or s e c t i o n s of s o c i e t y . The law grants them a c e r t a i n automomy to c o n t r o l t h e i r f u n c t i o n i n g as i t i s germane to the author-i t y thought to be appropriate by s o c i e t y . I n t e r n a l c o n t r o l of a group enables each member to p a r t i c i p a t e i n f o r m u l a t i n g p o l i c i e s as w e l l as c o n t r o l s , to carry out these p o l i c i e s . The o r g a n i z a t i o n s or groups, which are granted, s e l f c o n t r o l over c e r t a i n aspects of t h e i r sphere of i n t e r e s t , become 2 thus mechanisms of c o n t r o l f o r the s o c i e t y . I n the case 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 , they are mediators between the i n d i v i d u a l p r o f e s s i o n a l person and. the s o c i e t y a t l a r g e . The a u t h o r i t y granted to 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 i s subject to the norms of the l a r g e r s o c i e t y . With the gr a n t i n g of a l i c e n c e , charter or any other s i g n of recog-n i t i o n , c e r t a i n r i g h t s and o b l i g a t i o n s are given to profession' a l a s s o c i a t i o n s . The c h a r t e r or l i c e n c e gives the p r o f e s s i o n -1 I b i d . , p. 66. "The f i n a l cause of law i s the welfare of s o c i e t y . The law t h a t misses i t s aim cannot permanently j u s t i f y i t s existence." The end which the law serves w i l l dominate l o g i c , h i s t o r y and custom." 2 Parsons, S t r u c t u r e and Process i n Modern S o c i e t y , op. c i t . p. 64. 43.. a l o r g a n i z a t i o n a monopoly i n a s p e c i f i c f i e l d of knowledge and t e c h n i c a l s k i l l . 1 The reason f o r g r a n t i n g such a monopoly i s to make the p r o f e s s i o n the c o n t r o l organ of i t s own members. I t i s claimed that the law i s a very cumbersome c o n t r o l of pro-f e s s i o n s . Moreover most law-makers do not know the subject matter w e l l enough^ to make these laws operable. Therefore, i t appears to be the most l o g i c a l s o l u t i o n to give p r o f e s s i o n -a l a s s o c i a t i o n s the power to r u l e themselves, i n the hope tha t they w i l l thus f u l f i l l t h e i r f u n c t i o n f o r s o c i e t y more adequately. One .should remember here that l o g i c , custom and h i s t o r y are a l l c o n t r i b u t i n g f a c t o r s which l e d to the d e v e l -opment of s e l f r e g u l a t i n g p r o f e s s i o n a l a s s o c i a t i o n s . The p r o f e s s i o n s u s u a l l y have c o n t r o l s ^ which "pro-t e c t o u t s i d e r s from incompetence and abuse". There are other c o n t r o l s designed to safeguard the "socioeconomic p o s i t i o n of i n s i d e r s . " ^ The most important c o n t r o l s are found i n the code of e t h i c s . Other c o n t r o l s are found i n "bylaws, admini-1 Emile Durkheim, P r o f e s s i o n a l E t h i c s and C i v i c Morals, Trans. C o r n e l i a B r o o k f i e l d , London, Houtledge and Kegan Paul.:.. L t d . , 1957, p. 39. "Occupational l e g i s l a t i o n could hardly be other than an a p p l i c a t i o n i n p a r t i c u l a r of the law i n general, j u s t as p r o f e s s i o n a l e t h i c s can only be a s p e c i a l form of c ommon moral!ty." 2 Carr-Saunders and Wilson, op. c i t . , p. 395. "The l e g a l safeguard t h e r e f o r e i s both clumsy and incomplete.." 3 Greenwood, op_. c i t . , p. 48-49. There are formal and. i n f o r m a l c o n t r o l s sanctioned by s o c i e t y . 4 Caplow, op_. c i t . , p. 113. 44. s t r a t i v e r e g u l a t i o n s , l i c e n s i n g r u l e s , s t a t u t e s , t e c h n i c a l manuals and customs."-The code of e t h i c s of a p r o f e s s i o n may be compared w i t h the s t a t u t o r y law of a s o c i e t y . To be f u n c t i o n a l , the code must serve the s o c i e t y and the p r o f e s s i o n . G e n e r a l l y , a code which in c o r p o r a t e s the values, a t t i t u d e s and i d e a l s of the p r o f e s s i o n i s most l i k e l y to be e f f e c t i v e f o r i n t e r -p n a l c o n t r o l . The code must at l e a s t not be i n o p p o s i t i o n to the morals of s o c i e t y and p r e f e r a b l y support them. The m o d i f i c a t i o n of e t h i c s defines w i t h great p r e c i s i o n the i d e a l s and sentiments of the profession.-^ But the code does not a u t o m a t i c a l l y i n t r o j e c t these i d e a l s and sentiments i n t o the p r o f e s s i o n . They must evolve from w i t h i n the group. The degree of e f f e c t i v e c o n t r o l depends l a r g e l y on the degree of consensus achieved w i t h i n the p r o f e s s i o n . I t a l s o depends on such f a c t s as the monopoly over the sphere of competence and knowledge. D i s c i p l i n e can only be main-t a i n e d , i f the code has i t s r o o t s i n the o p i n i o n of the m a j o r i t y of the members of the p r o f e s s i o n a l a s s o c i a t i o n . Pre 1 I b i d . , p. 114. 2 Durkheim, op_. c i t . , pp. 7-8. " I n general, a l l t h i n g s being equal, the greater the streng t h of the group s t r u c t u r e , the more numerous are the moral r u l e s appropriate to i t and the greater the a u t h o r i t y they have over t h e i r members." The b e t t e r the o r g a n i z a t i o n of the p r o f e s s i o n a l group, the more developed, and the more advanced i n oper a t i o n w i l l be the p r o f e s s i o n a l e t h i c . 3 rb'i'&"» - P. 28. 45. e l s e wording alone i s no guarantee f o r the e f f e c t i v e n e s s of a code, nor i s a guarantee f o r the e f f e c t i v e n e s s to be found i n extensive p o l i c e powers e x e r c i s e d by the p r o f e s s i o n a l o r g a n i z a t i o n or the s o c i e t y . The evolvement of the code out of the p r o f e s s i o n a l c u l t u r e i s a major c o n s i d e r a t i o n i n p r e d i c t i n g i t s e f f e c t i v e -ness. I n an a n a l y s i s of the c o n t r o l mechanisms of a pro-f e s s i o n a l a s s o c i a t i o n , t h e r e f o r e , the development of the code of e t h i c s needs to be examined. Another important consider-a t i o n i s the a c t u a l a p p l i c a b i l i t y to i n d i v i d u a l cases of the i d e a l s expressed i n the code. I n law, t h i s i s g e n e r a l l y 1 achieved by precedents. The l a t t e r are used as examples of the i n t e r p r e t a t i o n of p a r t i c u l a r s i t u a t i o n s . I t i s not the task of a code to be s p e c i f i c to a p a r t i c u l a r case. A code ought to s t a t e not only r u l e s f o r the present, but a l s o 2 p r i n c i p l e s f o r the f u t u r e . I n t e r p r e t a t i o n of codes must be based on the "intended" meaning.-^ Therefore, the k i n d of a d m i n i s t r a t i o n of the code of e t h i c s must be examined when a n a l y s i n g i t as a mechanism of c o n t r o l . I n i t s code of e t h i c s a p r o f e s s i o n attempts to s t a t e the general p r i n c i p l e s of m o r a l i t y i n terms of i t s 1 The secrecy of p r o f e s s i o n a l a s s o c i a t i o n s i n regard to e t h i c a l questions may be s e r i o u s o b s t a c l e to the accumulation of a s u b s t a n t i a l number of cases to be used as precedents. 2 Cardozo, op. c i t . , p. 83-84. T h i s viewpoint i s express-ed by the author" iTTTeference to c o n s t i t u t i o n s . 3 I b i d . . p. 70. Quote of K i s s : "The general framework f u r n i s h e d by the s t a t u t e i s to be f i l l e d i n f o r each case by means of i n t e r p r e t a t i o n , t h a t i s , by f o l l o w i n g out the p r i n -c i p l e s of the s t a t u t e . 46 s p e c i a l i n t e r e s t s . Many of the important s p e c i f i c a t i o n s are found i n the w r i t t e n code. I n a d d i t i o n , there e x i s t s an u n w r i t t e n code. 2 The c o n t r o l mechanisms employed to en-f o r c e the code - w r i t t e n as w e l l as u n w r i t t e n - depend l a r g e l y on the k i n d 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 t h a t e x i s t s . Where the members meet f r e q u e n t l y i n fa c e - t o - f a c e contact most con-t r o l s w i l l be embedded i n the p r o f e s s i o n a l folkways. Enforce-ment of the w r i t t e n and u n w r i t t e n code i s l i k e l y to be i n -formal although f r e q u e n t l y very s t r i c t . - ^ Even i n 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 w i t h very l a r g e memberships f a c e - t o - f a c e groups e x i s t and c o n t r o l over conformity to the code i s ex e r c i s e d by folkways. The l a r g e number of members make i t p h y s i c a l l y i m p o s s i b l e f o r a l l members to meet. C l i q u e s , schools, and r e g i o n a l groups may e x i s t and form a p l u r a l i t y w i t h i n the p r o f e s s i o n a l o r g a n i z a t i o n . The c o l l e c t i v e con-t r o l of f a c e - t o - f a c e groups are supported by i n s t i t u t i o n a l procedures. As i n mass s o c i e t y , the a d m i n i s t r a t i o n frequent-l y becomes a bureaucracy. I t s s t r u c t u r e and procedures are 1 Merton, Code of E t h i c s , op. c i t . , p. 7. 2 Caplow, o_p_. c i t . , p. 114. Some a d d i t i o n a l r u l e s are considered to be s e l f - e v i d e n t , e.g. o b l i g a t i o n of a. lawyer to defend a pauper. Other r u l e s are regarded as "not e n t i r e -l y l e g i t i m a t e " , e.g. understanding of p h y s i c i a n s not to t e s t i f y a g a i n s t each other i n ma l p r a c t i c e s u i t s . F i n a l l y there are r u l e s of l o c a l a p p l i c a t i o n , e.g. su b t l e r u l e s governing a r c h i t e c t u r a l p l a g i a r i s m . For the given reasons the r u l e s are not l a i d dox^n i n a w r i t t e n code. 3 I b i d . , p. 124-130. Caplow looks at the f i r m c o n t r o l which e x i s t s when fa c e - t o - f a c e I n t e r a c t i o n of p r o f e s s i o n a l s i s i n t e n s e . Conformity expected by these small groups i s comparable to that expected from g u i l d members. 47. f o r m a l l y organized and u n i v e r s a l l y a p p l i e d to a l l members. Most p r o f e s s i o n s adopted t h i s k i n d of o r g a n i z a t i o n . There w i l l ha.ve to be procedures f o r appointing a, committee on e t h i c s which may formulate and/or change the w r i t t e n code which i s then presented to the general meeting of members f o r adoption. This committee, or a s p e c i a l one, may be appointed to hear and/or i n v e s t i g a t e complaints. F r e -quently, the executives of the a s s o c i a t i o n appoint a committee on e t h i c s . Another p o s s i b i l i t y i s to hear complaints at general meetings. The r e g i s t r a t i o n committee may a l s o act as e t h i c s committee. Whatever the mode of appointment, every e f f i c i e n t l y organized a s s o c i a t i o n has some means of i n v e s t i -g a t i n g complaints. A f t e r i n v e s t i g a t i o n of a complaint, the committee presents the accused w i t h i t s f i n d i n g s . Judgment and sentence may f o l l o w a formal hearing. (The f u n c t i o n s of judge and prosecutor should not be u n i t e d i n one person.) Appeal- procedures may be s t i p u l a t e d . I n some pr o f e s s i o n s the appeal has to be directed, to the j u d i c i a r y i n s t i t u t i o n which made the o r i g i n a l judgment. I n many p r o f e s s i o n s appeals to courts of law are only p o s s i b l e w i t h regard to procedures and not wi t h regard to the subject matter. The j u r i s d i c t i o n of the p r o f e s s i o n a l t r i b u n a l i s l i m i t e d to the a u t h o r i t y given to the a s s o c i a t i o n and. ought not be exceeded. W i t h i n t h i s j u r i s d i c t i o n , the p r o f e s s i o n u s u a l l y has absolute 1 Carr-Sauhders and Wilson, op_. c i t . , pp. 404-418. 48. powers as f a r as the subject matter i s concerned. The max-imum sentence i n many 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 i s ex p u l s i o n from the p r o f e s s i o n . There are s i g n i f i c a n t d e v i a t i o n s from the j u d i c i a l process of general law. I n c e r t a i n s t i p u l a t e d cases, some pr o f e s s i o n s permit appeals to other than p r o f e s s i o n a l author-i t i e s . This i s p a r t i c u l a r l y important i n the case of the r e g i s t e r e d p r o f e s s i o n s which have the r i g h t to l i c e n s e p r a c t i t i o n e r s and thereby a l s o the r i g h t to exclude a member from p r o f e s s i o n a l p r a c t i c e . However, appeal i s g e n e r a l l y r e s t r i c t e d as to procedure. The j u r i s d i c t i o n of each p r o f e s s i o n v a r i e s . The p r o f e s s i o n a l t r i b u n a l may have the power to expel a member 2 f o r "any felo n y or misdemeanour, however t r i v i a l " . This power i s r a r e l y used, save where there i s a grave offence and/or the offence i s committed i n connection w i t h p r o f e s -s i o n a l d u t i e s . The judgments of p r o f e s s i o n a l t r i b u n a l s may a l s o be considered from a h i s t o r i c a l p o i n t of view. I f we study t h i s view, we f i n d that the o l d e r p r o f e s s i o n s have evolved from the church. Prom these r o o t s the a l t r u i s t i c v alues of the pr o f e s s i o n s d e r i v e . H i s t o r i c a l l y a l l p r o f e s -sions- a s p i r e d to have "gentlemen'! as t h e i r members. These and other h i s t o r i c a l r o o t s can s t i l l be t r a c e d i n the con-duct g e n e r a l l y expected of p r o f e s s i o n a l people. The pro-1 I b i d . , p. 418. 2 I b i d . 49. f e s s i o n a l o r g a n i z a t i o n s have many feat u r e s i n common since they have many common r o o t s , l o s t of the new p r o f e s s i o n s look to the e s t a b l i s h e d ones f o r models, and, i n f a c t , r e -semble these very c l o s e l y . I n summary then, the main d i s t i n c t i o n to be made i s between codes of e t h i c s which are mere statements of the a s p i r a t i o n s of the p r o f e s s i o n s and codes which are a c t u a l l y working codes of e t h i c s . An operable code must provide measures to punish e f f e c t i v e l y v i o l a t o r s of the p r o f e s s i o n a l e t h i c s . The mere f a c t that a w r i t t e n code e x i s t s cannot be taken as proof of o p e r a b i l i t y . The sta,ge of development of a working code may be the mark of the development of a p r o f e s s i o n a l group. The more complete the development of the working code i s , the greater i s the l i k e l i h o o d of the existence of a cohesive occupational group w i t h t r a d i t i o n s , w i t h a sense of d e f i n i t e s k i l l s and knowledge, and w e l l de-1 f i n e d s e r v i c e f u n c t i o n s i n the s o c i e t y . I t i s character-i s t i c f o r such a p r o f e s s i o n to have c o n t r o l over admission to the p r o f e s s i o n . This i n c l u d e s c o n t r o l of education, standard f o r entrance, and l i c e n s i n g r i g h t s . I n short, a f u l l y developed p r o f e s s i o n a l s o ha,s a w e l l developed work-i n g code of e t h i c s . The Working Code of E t h i c s p The o p e r a b i l i t y of the codes of e t h i c s i s the 1 Merton, Codes of E t h i c s , op. c i t . , p. 72. 2 The p r a c t i c a l o p e r a b i l i t y of a given code i s assumed to 50. main problem to be studi e d i n t h i s t h e s i s . For t h i s reason, i t may be of b e n e f i t to examine c e r t a i n c h a r a c t e r i s t i c f e atures that have been e l i c i t e d by other research. I t i s hoped to analyse, as f a r as p o s s i b l e , these f e a t u r e s i n the codes of e t h i c s of s o c i a l work, medicine and l i b r a r i a n s h i p i n the f o l l o w i n g three chapters. Landis has analysed twelve codes. I n h i s o p i n i o n , Codes are s t i l l , to a great extent, even i n the older o r g a n i z a t i o n s among lawyers and doctors, formulations of vague i d e a l i s m , l a r g e l y evidences of w i s h f u l t h i n k i n g . The tasks of developing standards have not yet been approa.ched. w i t h t h o r -oughness and w i t h regard f o r the f a c t o r s that enter i n t o group c o n t r o l . 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 , I n a d d i t i o n to being addicted to f o r m u l a t i o n of vague i d e a l i s m , are a l s o sometimes l a r g e o r g a n i -z a t i o n s , w i t h i n f r e q u e n t contacts between members, and are tmsuited f o r e s t a b l i s h i n g c o n t r o l s . 1 On the ba.sis of h i s survey, Landis i d e n t i f i e s a number of s p e c i f i c problems f o r the teaching p r o f e s s i o n . He p o i n t s out that most teachers are c i v i l servants. This a l s o a p p l i e s , although not to the same extent, to s o c i a l workers and l i b r a r i a n s . Another s p e c i a l s i t u a t i o n i s that many teachers are unmarried, young women who teach only a few years. This r e s u l t s i n a high turnover. S i m i l a r c o n d i t i o n s 2 e x i s t i n s o c i a l work and l i b r a r i a n s h i p . I t has g e n e r a l l y be a matter of degree. We do not intend, to suggest that the d i f f e r e n t codes f a l l i n t o one or another of two mutually ex-c l u s i v e categories of "operable" and "non-operable". 1 Benson I . L a n d i s , P r o f e s s i o n a l Codes, New York C i t y , Teachers' C o l l e g e , Columbia U n i v e r s i t y , 1927, p. 9 3 ' 2 Caplow, o£. c i t . , p. 230. 51. been found d i f f i c u l t to organize occupations predominantly employing women.* Many teachers, s o c i a l workers and l i b r a r -i a n s work i n s i m i l a r p o s i t i o n s as u n t r a i n e d workers. There are no c l e a r cut c r i t e r i a as to who should properly be c a l l e d a teacher, s o c i a l worker or l i b r a r i a n , i . e . a l a c k of standards can be found f r e q u e n t l y . These f a c t o r s e x i s t i n g i n the p r o f e s s i o n s i n f l u e n c e the o p e r a b i l i t y of a code of e t h i c s as a mechanism of c o n t r o l . Landis recommends the c o n s u l t a t i o n of the f o l l o w -i n g c r i t e r i a when a p r o f e s s i o n wishes to e s t a b l i s h a work-i n g code. 1. P r o t e c t i o n of the p r o f e s s i o n , as w e l l as p r o t e c t i o n of the p u b l i c should be f r a n k l y s t a t e d as one of the ob-j e c t i v e s of the code. D i f f e r e n t kinds of p r o t e c t i o n are needed i n each p r o f e s s i o n because of the d i f f e r -ences i n employment, r e l a t i o n s h i p to c l i e n t s , tenure, p o s s i b l e p r o s e c u t i o n i n cases of a c c i d e n t , need f o r con-f i d e n t i a l i t y , e t c . 2. An i n t e g r a t e d o r g a n i z a t i o n must provide adequate machinery, i f a code i s to be operable. Grass root p a r t i c i p a t i o n i s needed. Face-to-face groups enforce codes by p r o f e s s i o n a l gossip and i n f o r m a l d i s c u s s i o n . I n c i t i e s w i t h l a r g e numbers, f a c e - t o - f a c e groups may be e s t a b l i s h e d by d i s t r i c t o r g a n i z a t i o n s , w h i l e i n 1 I b i d . , p. 240. 2 L a n d i s , o£. c i t . , Chap. X I I I . The p o i n t s l i s t e d by Landis are modified here to permit wider a p p l i c a t i o n than to the teaching p r o f e s s i o n only. 52. r u r a l areas they should be c l o s e enough.physically to •i meet f r e q u e n t l y . 3 . A code of s p e c i f i c r u l e s which c l e a r l y defines r e l a t i o n -ships i s needed. The importance of r e l a t i o n s h i p s v a r i e s w i t h the p r o f e s s i o n s . The important r e l a t i o n s h i p s have been discussed i n t h i s chapter under " O b l i g a t i o n s and R e l a t i o n s h i p s of the P r o f e s s i o n a l Person." 4. A v a r i e t y of "cases", p a r t i c u l a r l y "marginal" and "doubt-f u l " cases, should be s t u d i e d and i n v e s t i g a t e d . The i n t e r p r e t a t i o n of l a r g e numbers of cases provides "pre-cedents" which may be used as they are i n law, where they give examples of i n t e r p r e t a t i o n i n s p e c i f i c s i t u -a t i o n s . 2 Blanket d e f i n i t i o n s appear to be inadequate to describe a l l p o s s i b l e s i t u a t i o n s and d e s c r i b e them r e a l i s t i c a l l y . 5. 1.Revision of Code. To be operable, a code must be ad-j u s t e d to changes i n a t t i t u d e s and values of the s o c i e t y as w e l l as of the 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 . To be e f f e c t i v e a code must be continuously e v o l v i n g from the p r o f e s s i o n a l c u l t u r e . W r i t t e n codes have a tendency to become dogmatic and l o s e t h e i r e f f e c t i v e n e s s by the estrangement between the c o d i f i e d p r i n c i p l e s and regu-l a t i o n s and the p r a c t i c e d ones. Mechanisms are needed to i n s u r e r e v i s i o n s . 1 Landis proposes county o r g a n i z a t i o n s . 2 L a n d i s , op, c i t . , p. 98. The American A s s o c i a t i o n of Engineers and the Pennsylvania Education A s s o c i a t i o n assembled cases to be u t i l i z e d as precedents. 53. 6. J u d i c i a r y Matters. E f f e c t i v e c o n t r o l needs a c l e a r l y d efined machinery w i t h powers to i n v e s t i g a t e a l l e g e d v i o l a t i o n s of a code and powers to punish v i o l a t o r s . The t r i a l procedures should be c l e a r l y d e f i n e d as to j u r i s d i c t i o n of the p r o f e s s i o n a l o r g a n i z a t i o n , due process of law and appeals. An important feature here i s that i n a p r o f e s s i o n a l t r i b u n a l the judge and the prosecutor should, never be the same person. Most of the p o i n t s considered above have been discussed, more f u l l y e a r l i e r i n t h i s chapter. I n the f o l l o w -i n g chapters they w i l l be examined w i t h reference to the pr o f e s s i o n s s t u d i e d , v i z . s o c i a l work, medicine and l i b r a r -i a n s h i p . Summary I n the foregoing chapter an attempt has been made to introduce a framework f o r the comparison of c e r t a i n aspects of codes of e t h i c s as they e x i s t i n medicine, s o c i a l work and l i b r a r i a n s h i p . The p r o f e s s i o n a l development i n i n d u s t r i a l s o c i e t y has been b r i e f l y reviewed.. Emphasis has been placed on the changed s o c i a l i z a t i o n processes, p a r t i c u l a r l y the i n t e r n a l i z a t i o n of values and a t t i t u d e s , t h e i r f u n c t i o n as c o n t r o l s , and the changes i n s o c i a l c o n t r o l mecha.nisms due to the i n d u s t r i a l o r g a n i z a t i o n of s o c i e t y . The f u n c t i o n of the p r o f e s s i o n s as s o c i a l c o n t r o l mechanisms has been d i s -54. cussed " b r i e f l y . The occupational o r g a n i z a t i o n of the pr o f e s s i o n s has been reviewed h i s t o r i c a l l y to i d e n t i f y o r i g i n s of values and f u n c t i o n s 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 of our time.' This has been fol l o w e d by a review 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 as s e r v i c e o r i e n t e d s e c t i o n s of s o c i e t y . Next the main p r i n c i p l e s of p r o f e s s i o n a l e t h i c s have been discussed, i . e . s e r v i c e i d e a l , p r o f e s s i o n a l a l t r u i s m , o b l i g a t i o n s , and r e -l a t i o n s h i p s of p r o f e s s i o n a l persons. The f i n a l s e c t i o n of t h i s chapter deals w i t h the c o n t r o l f u n c t i o n s of the p r o f e s s i o n a l codes of e t h i c s . The code i s compared w i t h s t a t u t o r y law i n i t s f u n c t i o n s and procedures of a p p l i c a t i o n . Some emphasis has been placed on the d i s t i n c t i o n between e x i s t i n g codes and working codes. The l a t t e r are considered to be a measure of p r o f e s s i o n a l group cohesiveness. Only an e f f e c t i v e l y employed working code i s thought to enable a. p r o f e s s i o n to f u l f i l l i t s f u n c t i o n of s e l f c o n t r o l and thereby provide maximum s e r v i c e to the s o c i e t y at l a r g e . CHAPTER I I THE PROFESSION OF MEDICINE I n t r o d u c t i o n I t would be very d i f f i c u l t to conceive of a pro-f e s s i o n which was much more e n t h u s i a s t i c about i t s e l f than the medical p r o f e s s i o n . When one asks the question "What i s medicine?" one i s deluged w i t h i d e o l o g i c a l l y - c o l o r e d phrases about the h e a l i n g a r t and i t s d e d i c a t i o n to the w e l l being of mankind. As H a r r i s o n i n h i s b a s i c textbook on medicine pointed out, No greater opportunity, r e s p o n s i b i l i t y or o b l i g a t i o n can f a l l to the l o t of a human being than to become a p h y s i c i a n . I n the care of the s u f f e r i n g he needs t e c h n i c a l s k i l l , s c i e n t i f i c knowledge, and human understanding. He who uses these w i t h courage, w i t h h u m i l i t y and w i t h wisdom w i l l provide a unique s e r v i c e f o r h i s fellowman, and w i l l b u i l d an enduring e d i f i c e of character w i t h -i n h i m s e l f . The p h y s i c i a n should ask of h i s d e s t i n y no more than t h i s , he should be content w i t h no l e s s . 1 The Oxford I n t e r n a t i o n a l d i c t i o n a r y r e f e r s to medicine as the " a r t concerned w i t h the cure, a l l e v i a t i o n , and prevention of disease, and w i t h the r e s t o r a t i o n and p r e s e r v a t i o n of h e a l t h , " and to the p h y s i c i a n as "A h e a l e r , one who cures 1 T.R. H a r r i s o n and other s , ed. P r i n c i p l e s of I n t e r n a l  Medicine, Toronto, McGraw H i l l Co. I n c . , 1954, pT 3. 2 Oxford i n t e r n a t i o n a l D i c t i o n a r y of the E n g l i s h Language, Toronto, Leland P u b l i s h i n g Co. L t d . , 1958, p. 1227. 56. moral, s p i r i t u a l or p h y s i c a l maladies." Joseph F l e t c h e r p o i n t s out the ancient l i n k s of medicine and r e l i g i o n a r i s i n g from the f a c t t h a t the e a r l i e s t medical p r a c t i t i o n e r s were p r i e s t s , so that there was always an aura of mysticism sur-rounding t h e i r h e a l t h g i v i n g a c t i v i t i e s . The aura of r e l i g i o n s t i l l s u r v i v e s today i n that o f t e n the p h y s i c i a n i s regarded as having performed a m i r a c l e i n cu r i n g some p a t i e n t s , and i n t h a t h i s treatment of s e r i o u s l y i l l p a t i e n t s i s o f t e n accompanied by prayers on the p a r t of the p a t i e n t s r e l a t i v e s and f r i e n d s . I n Smithies o p i n i o n , Even today, the tendency of humanity to seek medical a s s i s t a n c e i n times of sickness or i n j u r y has been based upon a deep-lying i n -s t i n c t i n human nature that r e l i e f from s u f f e r i n g i s an obtainable g o a l . J u s t as the supernatural element i n r e l i g i o n appeals to humanity i n i t s moments of dependence and weakness, so, f o r the weary and heavy laden,, the downtrodden of the ear t h , i n the past, medical s u p e r s t i t i o n s were a phase of ances-t r a l f e e l i n g s . 3 However, most w r i t e r s f e e l , l i k e H a r r i s o n , t h a t although medicine as a d i s c i p l i n e u t i l i z e s s c i e n t i f i c methods, and r e l i e s very h e a v i l y on s c i e n t i f i c knowledge, i t remains e s s e n t i a l l y an a r t . An a r t , because the p a t i e n t remains an i n d i v i d u a l and can never be considered i n purely c a t e g o r i c a l terms, and 1 I b i d . , p. 1227. 2 Joseph F l e t c h e r , Morals and Medicine, N. Jersey, P r i n c e -ton Univ. P r e s s , 1954. 3 Frank Smithies, On the o r i g i n and Development of E t h i c s i n Medicine and the i n f l u e n c e of E t h i c a l Formulae upon Medical P r a c t i c e . Reprinted from Annals, of C l i n i c a l Medicine, v o l , 3 #9 (March 1925), p. 574. 57. can never exclude judgement and experience from the competence of i t s p r a c t i t i o n e r s . Medicine i s a l s o an a r t because the p h y s i c i a n cannot work w i t h the cool detachment of the s c i e n t i s t , whose aim i s simply the winning of t r u t h and who i s unconcerned w i t h the p r a c t i c a l outcome of h i s work. On the c o n t r a r y , he must never f o r g e t t h a t h i s p a t i e n t i s another human being l i k e h i m s e l f , and h i s t r a d i t i o n a l o b j e c t i v e s are the prevention and cure of h i s disease and the r e l i e f of h i s s u f f e r i n g whether of h i s body or h i s mind. James Howard Means gives a broader and more p r a c t i -c a l d e s c r i p t i o n of medicine. He sees i t broadly conceived as s e r v i n g , The imperative f u n c t i o n of promoting, pre-s e r v i n g , and r e s t o r i n g the h e a l t h , both of the i n d i v i d u a l and of the community. A l l of i t s personnel, f a c i l i t i e s , and o r g a n i z a t i o n s are but means to these u l t i m a t e o b j e c t i v e s . I t i s one of the great systems of the socia.l organism - comparable to defense, w e l f a r e , conservation, t r a n s p o r t a t i o n , and communi-c a t i o n . 1 He goes on to argue t h a t the p a t t e r n of medical p r a c t i s e i n a country i s p a r t of and i s i n f l u e n c e d by the c u l t u r e , and w i l l depend upon the nature of the country which i t serves. I l l u s t r a t i o n s of t h i s can be seen i n the f a c t t h a t i n a country which tends to be t o t a l i t a r i a n l i k e R u s s i a , The Medical establishment a l s o tends to be t o t a l i t a r i a n . I n Great B r i t a i n which has many s o c i a l i s t i n s t i t u t i o n s one f i n d s s o c i a l i z e d medicine and in.the United States and Canada 1 J . H. Means, Doctors, People and Government, Boston, • L i t t l e Brown and Co., 1953, p. 3« . 58. which are s t i l l l a r g e l y f r e e e n t e r p r i s e c o u n t r i e s , one f i n d s a l a r g e p r i v a t e - e n t e r p r i s e component i n the t o t a l medical establishment. Medicine as seen by the p h y s i c i a n i s a h e a l i n g a r t . To the i n d i v i d u a l i t i s a way to h e a l t h , and i n most s o c i e t i e s i n the p o l i t i c a l l y and i n d u s t r i a l l y advanced parts of the world, the p u r s u i t of h e a l t h i s g e n e r a l l y regarded as a fundamental r i g h t of every c i t i z e n . Under contemporary c o n d i t i o n s only government can ensure t h i s r i g h t to a l l c i t i z e n s . Means sees the p r a c t i c e of medicine as being i n the nature of a p u b l i c u t i l i t y which i s served i n North American l a r g e l y by p r i v a t e e n t e r p r i s e . Because p u b l i c u t i l i t i e s are by t h e i r nature m o n o p o l i s t i c , w h i l e a t the same time t h e i r s e r v i c e s are needed by everybody, some government c o n t r o l of them i s necessary. I n the ca.se of medicine, the most elementary form of government c o n t r o l i s the l i c e n s i n g of p h y s i c i a n s to p r a c t i c e by boards set up by the governments of the s e v e r a l s t a t e s . 1 The act of l i c e n s i n g i s the most b a s i c step which the govern ment takes to p r o t e c t the p u b l i c against incompetent or im-proper p r a c t i t i o n e r s , and i n a l l instances 'has the f u l l support of the p r o f e s s i o n . They accept t h i s as a badge of t h e i r p r o f e s s i o n a l i s m , and see i t as a two way p r o t e c t i o n . Both the p u b l i c and the ranks of the p r o f e s s i o n w i l l be pro-t e c t e d from the incompetent or improper p r a c t i t i o n e r s . The f u n c t i o n of medicine has been s u b - c l a s s i f i e d i n v a r i o u s ways, f o r example preventive medicine versus 1 I b i d . , p. 8. 59. c u r a t i v e medicine, or medicine r e l a t e d to the community as opposed to medicine d e a l i n g w i t h the i n d i v i d u a l . These separations must be judged to be to a considerable extent a r t i f i c i a l , because we have come to accept that the i n d i v i d -u a l i s the concern of the community, and recognize t h a t what he does or what happens to him a f f e c t s and sometimes has repercussions i n the community. As a n a t i o n we have le a r n e d t h a t p u b l i c h e a l t h , p r e v e n t i v e medicine, and c u r a t i v e medi-c i n e cannot be separated one from the other. S i m i l a r l y , no longer can medicine stand alone, as i t once d i d i n s e r v i n g i t s s e v e r a l f u n c t i o n s . The p h y s i c i a n i n the p u r s u i t of h i s a r t has become more dependent on the knowledge and s k i l l s of other d i s c i p l i n e s such as the biochemist, p h y s i c i s t , b i o l o -g i s t , nurse, s o c i a l worker, d i e t i c i a n , medical l i b r a r i a n and many other various t h e r a p i s t s and t e c h n i c i a n s without whom he could not adequately care f o r h i s p a t i e n t s . As the area of the p h y s i c i a n ' s work expands, and h i s f i e l d of ^ r e l a t i o n -ship w i t h other d i s c i p l i n e s expands h i s r e s p o n s i b i l i t i e s expand., and h i s e t h i c a l problems in c r e a s e and become more complicated. The H i s t o r i c a l Background of Medical E t h i c s Medicine i s a p r o f e s s i o n of 'gentlemen', and i n that word: i s i m p l i e d a l l necessary to d e f i n e the q u a l i t i e s of a t r u e p h y s i c i a n : t r a i n i n g , courtesy, sense of duty, honour-able d e a l i n g , f a i r n e s s , s e l f s a c r i f i c e , a l t r u i s m and the sense of always g i v i n g one's p r o f e s s i o n a l and personal best as p a r t of a man's way of l i v i n g . A l l the s t r i n g e n t codes devised could not compel man to act e t h i c a l l y , were there mot en-6o. graved on h i s heart and i n h i s mind a true balance of r i g h t and wrong. E t h i c a l conduct i s i n d i v i d u a l whether purposeful or not... our p r o f e s s i o n w i l l never r i s e above the e t h i c s of i t s - a v e r a g e members, and f o r the average member the surest precepts are age olds the golden r u l e , and. 'to t h i n e own s e l f be t r u e , f o r i t must f o l l o w as the n i g h t the day, thou canst not then be f a l s e to any man.'" 1 Pious mouthings perhaps, an o v e r s i m p l i f i c a t i o n no doubt, but i n the f i n a l a n a l y s i s the c r e a t i o n of such a. type has been the goal of. medical e t h i c a l codes and r u l e s throughout the ages. That they have f a i l e d to r e a l i z e t h e i r goal i s i n d i -cated by the n e c e s s i t y f o r t r i b u n a l s to administer these codes and. f o r p o l i c y making bodies to c o n t i n u a l l y i n t e r p r e t them to the p r a c t i t i o n e r s and to handle breaches of them. These e x t r a things have been required, f o r v a r i o u s reasons. For one, the golden r u l e and general moral precepts that one learned, a t one's mother's knee d i d not envisage the complex and s p e c i a l i z e d , moral problems encountered i n p r o f e s s i o n a l l i f e . . . t h e y only c a r r y one p a r t way towards a s o l u t i o n . Secondly, not everybody has the same mother, and i n the k i n d of c u l t u r a l l y heterogeneous s o c i e t y i n which we are l i k e l y to f i n d such things as p r o f e s s i o n s there w i l l be v a r i a t i o n s i n i n d i v i d u a l moral b e l i e f s , so that codes of e t h i c s are need-ed to make sure that a l l members of the p r o f e s s i o n s s t a r t from the same general p o s i t i o n . T h i r d l y , as circumstances change, these general p o s i t i o n s w i l l need, to be r e i n t e r p r e t e d from time to time e.g. the general p r i n c i p l e "Love they neigh-bour" may remain constant,but the question as to who i s my neigh-1 Smithies, op_. c i t . , p. 599' 6 l . bour w i l l get a d i f f e r e n t a.nswer i n a v i l l a g e from the ansitfer i t w i l l get i n a modern c i t y . F o u r t h l y , even xfhen circum-stances do not change, there w i l l o f t e n be a problem of de-c i d i n g what kinds of behavior do i n f a c t c o n s t i t u t e v i o l a t i o n of a r u l e . For example, i s a doctor who gives a p a t i e n t a drug which he hopes w i l l help her, though he does not know i t w i l l , 8,cting r e s p o n s i b l y ? The f i r s t known code governing medical p r a c t i c e was the "Code of Hammurabi",* discovered i n 1901 as a monu-ment on the A c r o p o l i s of Susa. The Code was drawn up by the government of the time and departure from i t s e d i c t s x^as a v i o l a t i o n of the law as w e l l as being regarded by the medical group as a breach of p r o f e s s i o n a l e t h i c s . T h i s code o u t l i n e s the e a r l i e s t known modes of p r a c t i c e of p h y s i c i a n s , and the r e g u l a t i o n s of p r i v a t e and p u b l i c medical e f f o r t . The s p i r i t was e s s e n t i a l l y that of governmental paternalism. I n the Hammurabic Code, the e t h i c s of p r a c t i c e were e t h i c a l only i n so f a r as improper p r a c t i c e p l a c e d a t defiance the law of the l a n d . I t was only towards the 7 th Century B.C. that E t h i c s began to have s i g n i f i c a n c e as i n f l u e n c i n g the moral r e s p o n s i -b i l i t y of the d o c t o r - p r i e s t s toward t h e i r p a t i e n t s , a f f e c t i n g p r o f e s s i o n a l r e l a t i o n s and l i m i t i n g a c t s of the unscrupulous p r a c t i t i o n e r s . 1 Frank Smithies, on the O r i g i n and Development of E t h i c s i n Medicine and the i n f l u e n c e of E t h i c a l Formulae upon Medical P r a c t i c e , E e p r i n t e d from Annuals of C l i n i c a l Medicine, v o l . 3 #9 (March 1925), p. 577. 62. "The H i p p o c r a t i c Oath" which dates back to about 460 B.C. represents a s o r t of agreement between p h y s i c i a n and p u p i l . I t o u t l i n e s the e t h i c a l burdens imposed upon a youth a t the beginning of h i s a p p r e n t i c e - s h i p to an e s t a b l i s h e d p r a c t i t i o n e r . An a n a l y s i s of the oath r e v e a l s a high moral tone. Sperry says of i t t h a t , "the H i p p o c r a t i c Oath has no 2 p a r a l l e l i n the h i s t o r y of morals." The Oath acknowledged reverence f o r those gods concerned w i t h p r o t e c t i o n , h e a l i n g and h e a l t h ; by c a l l i n g on them as witnesses. I t c a l l s f o r respect f o r one's preceptor and h i s f a m i l y , and acknowledges the f a m i l i a l and f r a t e r n a l aspects of medicine. I t s t a t e s an assumption of r e s p o n s i b i l i t y coupled w i t h maintenance of freedom of a c t i o n . I t renounces c r i m i n a l p r a c t i c e , and ex-h o r t s to c l e a n l i v i n g and r e s t r a i n t from harming those who are exposed to the p h y s i c i a n through p r o f e s s i o n a l contact. I t advises of the e v i l s of gossip r e s p e c t i n g pe.tients and of i n d u l g i n g i n d i s r e p u t a b l e p r a c t i c e s such as c a s t r a t i o n . The H i p p o c r a t i c Oath i s but one s e c t i o n of the much l e s s widely known but more comprehensive H i p p o c r a t i c Law. Smithies p o i n t s out that without any a l t e r a t i o n , the law could be accepted today as o u t l i n i n g the s o c i a l , edu-c a t i o n a l and personal q u a l i t i e s which go i n t o making the i d e a l p h y s i c i a n . For, While the Oath seems a proper and impressive 1 Canadian Medical A s s o c i a t i o n , Code of E t h i c s , as, amended and adopted by the College of P h y s i c i a n s and Surgeons of B r i t i s h Columbia, 1963, p. 16. 2 W.L. Sperry, The E t h i c a l B a s i s of Medical P r a c t i c e , N.I. Paul Holber I n c . , 1952, p. 87. 63. pledge__for d i s p l a y i n one's o f f i c e w a i t i n g room [_ the law _ _ 7 i s something of a per-sonal i n t i m a t e message, to be memorized, by students, and doct.ors, f o r r e c o l l e c t i o n when the lamp i s low and the path seems u n c e r t a i n and devious. 1 I n 1775 P e r c i v a l a p h y s i c i a n of some s t a t u r e i n Great B r i t a i n wrote h i s "Code of P r a c t i c e " f o r the bene-f i t of h i s son who was embarking on a medical p r o f e s s i o n . Although formulated at t h i s date i t was not a c t u a l l y p u b l i s h -ed u n t i l 1827. Dr. P e r c i v a l d i v i d e d the p h y s i c i a n ' s e t h i c a l r e s p o n s i b i l i t i e s i n t o three c a t e g o r i e s . 1. His p r o f e s s i o n -a l conduct i n r e l a t i o n to h o s p i t a l s and other medical c h a r i t i e s . 2. His p r o f e s s i o n a l conduct i n p r i v a t e or gen-e r a l p r a c t i c e , and 3« His conduct to apothecaries. I n h i s d i s c u s s i o n of the p h y s i c i a n ' s conduct i n the h o s p i t a l he s t r e s s e d the p h y s i c i a n ' s sense of duty to the poor and the n e c e s s i t y f o r c o n s i d e r i n g and r e s p e c t i n g t h e i r f e e l i n g s , emotions, p r e j u d i c e s and r e l i g i o u s b e l i e f s . I n d e a l i n g w i t h p r i v a t e p r a c t i c e he placed the s t r e s s on m o r a l i t y , temperance, accuracy of o b s e r v a t i o n , cheerfulness and perseverance. L i k e the author of the H i p p o c r a t i c Oath, he c o u n s e l l e d against g o s s i p i n g about p a t i e n t s and meddling i n t h e i r p r i v a t e a f f a i r s . He discussed the use of c o n s u l t a t i o n s , and echoed the H i p p o c r a t i c Oath again i n h i s advice that p h y s i c i a n s should t r e a t each other w i t h respect. 1 Smithies, Frank, On the O r i g i n and Development of E t h i c s i n Medicine and the i n f l u e n c e o f - E t h i c a l formulae upon Medical P r a c t i c e . Reprinted from Annals of C l i n i c a l Medicine, v o l . 3 #9, March 1925, p. 584. 64. There can be no doubt, but that the H i p p o c r a t i c Oath i n f l u e n c e d Dr. P e r c i v a l i n the development of h i s Code of E t h i c s and, through him, a l l medical codes of E t h i c s developed since t h a t time. Dr. P e r c i v a l ' s code exerted a powerful i n f l u e n c e upon medical p r a c t i c e throughout Europe and North America, and' at a l a t e r p e r i o d when p h y s i c i a n s grouped themselves i n t o medical s o c i e t i e s t h i s code became the cornerstone upon which the s t r u c t u r e of medical organ-i z a t i o n and medical p r a c t i c e was b u i l t . I t was not u n t i l the founding of the American Medical A s s o c i a t i o n i n May 1846 t h a t anything l i k e a uniform n a t i o n a l Code of o r g a n i z a t i o n or of e t h i c s became current i n the United S t a t e s . The p r i n -c i p l e s of the o r i g i n a l , code are b a s i c a l l y those advocated by Dr. P e r c i v a l . , A f t e r the second World War, the world was shocked to l e a r n of the inhuman medical experiments which doctors under the Nazi regime had i n t i i a t e d or p a r t i c i p a t e d i n . This r e s u l t e d i n a p e r i o d of soul searching of a l l people, and a l l doctors everywhere. The World Medical A s s o c i a t i o n condemmed the a t r o c i t i e s which these doctors had perpetrated i n the name of medicine, and i n September 1948 adopted the Declara-t i o n of Geneva. This d e c l a r a t i o n was a restatement ini'.terms of Twentieth Century experiences, of the H i p p o c r a t i c Oath. I t s t a t e d i n one s e c t i o n t h a t , "Under no circumstances i s a doctor permitted to do anything that would weaken the p h y s i c a l or mental r e s i s t a n c e of a human being, except f o r s t r i c t l y t h e r a p e u t i c or p r o p h y l a c t i c i n d i c a t i o n imposed i n 65. i the i n t e r e s t of the p a t i e n t . " The H i p p o c r a t i c Oath had st a t e d , I w i l l use treatment to help the s i c k according to my a b i l i t y and judgement but never w i t h a view to i n j u r y or wrong-doing...I w i l l a b s t a i n from a l l i n t e n t i o n -a l wrongdoing and harm, e s p e c i a l l y from abusing the bodies of man or woman, bond or f r e e . 2 Apparently f o r the doctors of Nazi Germany t h i s s e c t i o n of the oath had become l o s t i n the t r a n s l a t i n g . I n October 1949 the World Medical A s s o c i a t i o n accepted and adopted the I n t e r n a t i o n a l Code of Medical E t h i c s , which again r e f l e c t e d the H i p p o c r a t i c Oath. One of the se c t i o n s of t h i s code s t a t e d , "A doctor must give the necessary treatment i n emergency, unless he i s assured that i t can and w i l l be given by o t h e r s . " ^ The Alabama Society f o r the Healing A r t s found however, th a t t h i s i n no way c o n f l i c t e d w i t h t h e i r s t a t e -ment f o r b i d d i n g the treatment of people i n j u r e d i n the demonstrations i n Selma, Alabama, i n March 1965* "by out of s t a t e doctors even though there were not enough Negro doctors l i c e n s e d to p r a c t i c e i n Alabama who were a v a i l a b l e to t r e a t the host of i n j u r e d demonstrators. The Society of the Healing A r t s n o t i f i e d the many Negro and White doctors who entered Selma that i f they p r a c t i c e d any medicine while 1 Canadian Medical A s s o c i a t i o n , Code of E t h i c s , as amended and adopted by the College of P h y s i c i a n s and Surgeons of B r i t i s h Columbia, 1963, p. 18. 2 I b i d . , p. 16. 3 I b i d . , p. 2. 66. they were there, even of an emergency nature, they would be breaking the law, and would be prosecuted a c c o r d i n g l y . The D e c l a r a t i o n of Geneva of 19^8 deals even more broadly w i t h the i s s u e s of Medical E t h i c s . I t does not l a y down a l i s t of laws concerning what the p h y s i c i a n may or may not do, but o u t l i n e s c o n s i d e r a t i o n s which are humane and b a s i c to the p r a c t i c e of medicine such as, I w i l l p r a c t i c e my p r o f e s s i o n w i t h conscience and d i g n i t y . . . . I w i l l m aintain by a l l the means i n my power, the honour and noble t r a -d i t i o n of the medical profession....1 w i l l m aintain the utmost respect f o r human l i f e , from the time of conception; even under t h r e a t I w i l l not use my medical knowledge contrary to the laws of humanity...,/ and i t c l o s e s j / I w i l l make these promises solemnly, f r e e l y and upon my honour. 1 There can be no doubt but that the goals set up by t h i s code are honourable and i d e a l i s t i c , where they break down, when they do, i s i n the personal i n t e r p r e t a t i o n . Every p h y s i c i a n b r i n g s to the i n t e r p r e t a t i o n of the Code of E t h i c s the sum t o t a l of h i s hopes, h i s f e a r s , h i s p r e j u d i c e s , h i s mores, h i s c u l t u r a l h e r i t a g e and h i s s i g n i f i c a n t l i f e experiences. Thus a morally i n s e n s i t i v e and obtuse p h y s i c i a n can take a code and make nonsense of i t ; t h i s i s why we need morally s e n s i t i v e and. i n t e l l i g e n t doctors. But that i s not enough, we a l s o need i n t e r p r e t a t i o n s of the " I d e a l s " which w i l l s t a t e c l e a r l y how we may recognize moral obtuseness. At, the Annual meeting of the American Medical A s s o c i a t i o n i n Chicago, i n June, 195&? a r e v i s e d statement 1 I b i d . , p. 18. 67. of pr-inciples of medical e t h i c s was accepted with.the f o l l o w -i n g preamble. These p r i n c i p l e s are intended to serve p h y s i c i a n s , i n d i v i d u a l l y or c o l l e c t i v e l y , as a guide to e t h i c a l conduct. They are not laws;'rather they are standards by which a p h y s i c i a n may determine the p r o p r i e t y of h i s own conduct. They are intended to aid. p h y s i c i a n s i n t h e i r r e l a t i o n s h i p s w i t h p a t i e n t s , w i t h colleagues, w i t h members of a l l i e d p r o f e s s i o n s , and w i t h the p u b l i c , to maintain under God, as they have through the ages, the highest moral standards. 1 The code has ten s e c t i o n s , and deals p r i m a r i l y w i t h the three areas o u t l i n e d i n P e r c i v a l ' s code; namely the p h y s i c i a n ' s o b l i g a t i o n to h i s p a t i e n t s , h i s colleagues, and. h i s community. The Canadian Medical A s s o c i a t i o n was e s t a b l i s h e d i n 1867, the year of Confederation. At t h i s time there were already established, medical s o c i e t i e s i n the provinces of Nova S c o t i a , Quebec and. Ontario. These s o c i e t i e s were more concerned. a.bout weeding out the quacks i n t h e i r midst, and about i n t r o d u c i n g improved medical l e g i s l a t i o n f o r the con-t r o l of u n q u a l i f i e d p r a c t i t i o n e r s , than they were about med-i c a l e t h i c s . However, at the semi-annual meeting of the College of P h y s i c i a n s and Surgeons of Lower Canada, h e l d at Montreal on May 12, 1867 Dr. Marsden of Quebec made the f o l l o w i n g statement: In consequence of the important changes that are about to ta.ke pla.ce i n t h i s great and growing country under confederation, and i n view of the b e n e f i c i a l i n f l u e n c e which the 1 A b s t r a c t proceedings of the House of Delegates of the American Medical A s s o c i a t i o n , at the Annual Meeting i n Chicago, I l l i n o i s , June 11-15, 1956. American Medical A s s o c ' J o u r n a l , v o l . 162 (Sept. 1956), p. 505. 68. American Medical A s s o c i a t i o n e x e r c i s e s on the medical e t h i c s of the U n i t e d States of America, your delegate would r e s p e c t f u l l y o f f e r a suggestion that the formation of a Canadian Medical A s s o c i a t i o n to c o n s i s t of a l l members of the p r o f e s s i o n i n good standing i n the Dominion of Canada, i s worthy of serious c o n s i d e r a t i o n and. a c t i o n of t h i s C o l l e g e . 1 At the f i r s t r e g u l a r meeting of the A s s o c i a t i o n i n Sept. 1868, a Code of Medical e t h i c s was drawn up, c o n s i s t i n g of The d u t i e s of p h y s i c i a n s to t h e i r p a t i e n t s , and of the o b l i g a t i o n s of p a t i e n t s to t h e i r p h y s i c i a n s ; d u t i e s f o r the support of the p r o f e s s i o n a l c h a r a c t e r , p r o f e s s i o n a l s e r -v i c e s of p h y s i c i a n s to each other, of the d u t i e s of p h y s i c i a n s regarding various o f f i c e s , of the d.uties of p h y s i c i a n s i n r e -gard to c o n s u l t a t i o n s , of the d.uties of p h y s i c i a n s i n the case of i n t e r f e r e n c e , of d i f f e r e n c e s betx-jeen p h y s i c i a n s , and. of pecuniary acknowledgements. 2 This code of e t h i c s r e f l e c t s the i n f l u e n c e of P e r c i v a l ' s Cod.e and of the H i p p o c r a t i c Oath. As wa.s common w i t h much e t h i c a l thought of the day, the code made no mention of the p h y s i c i a n ' s r e s p o n s i b i l i t y to s o c i e t y . The Medical Act of B r i t i s h Columbia became law i n 1886, and Dr. I s r a e l Powell was elected, the f i r s t p r e s i d e n t of the Medical Council of B r i t i s h Columbia. The Act of 1886 was amended i n 1898 and an e n t i r e l y new Act was passed i n 1909. I n 1912 the Province passed, the necessary enabling l e g i s l a t i o n to i n c l u d e the Canada Medical Act as a p r e r e q u i s i t e 1 J . J . Haegerty, The Romance of Medicine i n Canada, Toronto, Ryerson Pr e s s , 1940, p. 291. 2 I b i d . , p. 295. 69. f o r l i c e n s i n g i n the province. The Code of E t h i c s which i s used by the p h y s i c i a n s p r a c t i c i n g i n B r i t i s h Columbia i s r e a l l y the Code of E t h i c s of the Canadian Medical A s s o c i a t i o n which was amended and adopted by the College of P h y s i c i a n s and Surgeons i n t h i s province. I t closes w i t h the words, The complete p h y s i c i a n i s not a man apart and cannot content himself w i t h the p r a c t i c e of medicine alone, but should make h i s c o n t r i b u t i o n s , as does any other good c i t i -zen, towards the w e l l - b e i n g and betterment of the community i n which he l i v e s . 1 The Code has come a l o n g way since 1868. Formulation of the Code There i s so much unresolved controversy surround-i n g the whole f i e l d of medical e t h i c s that i t may savour of brashness and f o o l h a r d i n e s s to o f f e r any summary opinions on the subject. However, i n t h i s i n s t a n c e since v a l o r i s more necessary than d i s c r e t i o n i t may be thought both l e g i t i -mate and f e a s i b l e to analyse some of the main p r o v i s i o n s of e x i s t i n g codes of e t h i c s , to v o i c e some of the c r i t i c i s m s t h a t have been l e v e l l e d a t them then t r y to o f f e r some assess, ment of the f o r c e and cogency of those c r i t i c i s m s . 2 A u s t i n F l i n t i n h i s d i s c u s s i o n of the Code of E t h i c s , proposes three main d i v i s i o n s f o r the subject. They 1 Canadian Medical A s s o c i a t i o n , Code of E t h i c s , as amended and adopted by the College of P h y s i c i a n s and Surgeons of B r i t i s h Columbia, 1963, p. 15. 2 A u s t i n F l i n t , Medical Ethics' and E t i q u e t t e , New York, Appleton and Co., 1883. 70. are the d u t i e s of p h y s i c i a n s to t h e i r p a t i e n t s , of p a t i e n t s to t h e i r p h y s i c i a n s , and of p h y s i c i a n s to each other. He makes no mention of the d u t i e s of p h y s i c i a n s to the community. He s t a t e s t h a t P h y s i c i a n s should always "be ready and w i l l i n g to go to the s e r v i c e of p a t i e n t s when c a l l e d . They should v i s i t whenever the need f o r one i s i n d i c a t e d , but should not v i s i t u n n e c e s s a r i l y . They should t r e a t w i t h utmost co n f i d e n t -i a l i t y anything that they l e a r n about t h e i r p a t i e n t i n the process of t r e a t i n g him, and should not indulge i n gossip about them even w i t h t h e i r medical colleagues. He f u r t h e r s t a t e s that p h y s i c i a n s should r e f r a i n from gloomy p r o g n o s t i -c a t i o n s to the p a t i e n t about h i s h e a l t h , and they should never abandon a p a t i e n t j u s t beca.use they ha.ve diagnosed h i s case as hopeless. I t i s a l s o t h e i r r e s p o n s i b i l i t y to make use of c o n s u l t a t i o n whenever they f e e l that i t i s i n the best i n t e r e s t of the p a t i e n t , and they should give the p a t i e n t continued emotional and moral support throughout t h e i r con-t e x t w i t h him. To the p a t i e n t , Dr. F l i n t ' s advice i s that he be very c a r e f u l i n h i s choice of h i s doctor. But having made h i s choice, he should remember t h a t a doctor i s a very busy person 1, and should not be c a l l e d u n n e c e s s a r i l y or f o r t r i v i -a l i t i e s . I n the event that the doctor needs any i n f o r m a t i o n from him, he should answer a l l questions t r u t h f u l l y , and completely, not h i d i n g any of the f a c t s . However, he should s t i c k to d i s c u s s i o n p e r t a i n i n g to h i s i l l n e s s and not allow the v i s i t to degenerate i n t o a f r i e n d l y l i t t l e chat. He 71. should pay h i s b i l l promptly, and i n the event that he i s d i s s a t i s f i e d w i t h the s e r v i c e which he i s r e c e i v i n g , he should dismiss the doctor courteously and promptly. Dr. F l i n t ' s ad-vice to p h y s i c i a n s regarding t h e i r r e l a t i o n s h i p w i t h each other places some emphasis on u n f a i r competition. He suggests that they should not t r y to be-l i t t l e a colleague to a. p a t i e n t , they should not a d v e r t i s e and. they should not gossip about each other. He advises them to obey the law, not to use secret potions on t h e i r p a t i e n t s , and not to charge a fee f o r s e r v i c e to a colleague or h i s f a m i l y . He recommends the use of c o n s u l t a t i o n very h i g h l y , when i n d i c a t e d . The P r i n c i p l e s of Medical e t h i c s which were accepted by the American Medical A s s o c i a t i o n i n 195° d e a l t w i t h three f a c t o r s which were not covered by Dr. F l i n t . These ares s e c t i o n #2 which s t a t e s " P h y s i c i a n s should s t r i v e to improve medical knowledge and s k i l l . " * And s e c t i o n #4 which s t a t e s "the Medical p r o f e s s i o n must be safeguarded a g a i n s t members d e f i c i e n t i n moral character and p r o f e s s i o n -a l competence. . .they should expose without h e s i t a t i o n , i l l e g a l or u n e t h i c a l conduct of f e l l o w members of the pro-2 f e s s i o n . " And f i n a l l y , "The r e s p o n s i b i l i t i e s of the 1 A b s t r a c t proceedings of the House of Delegates of the American Medical A s s o c i a t i o n , at the annual meeting i n Chicago, I l l i n o i s , June 11-15, 1956. American Medical  A s s o c i a t i o n J o u r n a l , v o l . 162 (Sept. 1956), p. 507. 2 l o c . c i t . 72. p h y s i c i a n extend not only to the i n d i v i d u a l but a l s o to s o c i e t y and demands h i s cooperation and p a r t i c i p a t i o n i n a c t i v i t i e s which have as t h e i r o b j e c t i v e the improvement of the h e a l t h and w e l f a r e of the i n d i v i d u a l and the community^-The code of e t h i c s of the B r i t i s h Columbia Medical A s s o c i a t i o n has twenty seven s e c t i o n s , and covers everything from the p h y s i c i a n ' s d u t i e s to h i s p a t i e n t s , to r a d i o broad-c a s t i n g , p a i d advocacy and patent p r e p a r a t i o n s . As; one reads i t one i s reminded that as the preamble to the 195° American Medical A s s o c i a t i o n p r i n c i p l e s of e t h i c s pointed out - these are not laws, these are merely guides to help the p h y s i c i a n s determine the p r o p r i e t y of t h e i r own behavior. E l l i o t t t r a c e s e t h i c s from the word 'ethos* mean-i n g usa.ge, custom or hs,bit, and, i n a p r o f e s s i o n a l sense, "what you ought to do and ought to be." He f u r t h e r p o i n t s out that the most important i n f l u e n c e c o n t r o l l i n g a doctor's conduct i s not the medical a s s o c i a t i o n , but h i s own con-science. This i s a very i n t e r e s t i n g argument i n the l i g h t of the f a c t that Dr. E l l i o t t i s a medical p r a c t i t i o n e r i n South A f r i c a and presumably subscribes to the tenets of a-p a r t h e i d . I f t h i s were i n f a c t so, i t would support the argument that the i d e a l s of the code need c l e a r i n t e r p r e t a t i o n so that there w i l l be no misunderstanding of t h e i r i n t e n t , 1. l o c . c i t . 2 G.A. E l l i o t t , Medical E'thics, Witwatersrand, Johannes-burg, U n i v e r s i t y P r e s s , 1954, p. 5. 73. by any members of the p r o f e s s i o n . I n h i s d i s c u s s i o n of medical e t h i c s Chauncey Leake' separates the two e x i s t i n g e t h i c a l p o s i t i o n s i n t o I d e a l i s m which s t r e s s e s the i n t e r e s t s of humanity, and Hedonism which emphasizes the i n t e r e s t s of the i n d i v i d u a l . He sees the Hedonist as being i n t e r e s t e d e n t i r e l y i n personal pleasure and the i d e a l i s t as being f o r the futherance of the welfare of s o c i e t y . He s t a t e s that the e t h i c a l b a s i s of the p r o f e s s -i o n a l system of e t i q u e t t e Is p r i m a r i l y h e d o n i s t i c , and works towards promoting the d i g n i t y and pecuniary advancement of the i n d i v i d u a l p h y s i c i a n and of the p r o f e s s i o n as a whole. Whereas, the e t h i c a l b a s i s f o r the p r o f e s s i o n ' s a t t i t u d e t o -wards the s i c k and s o c i e t y i s I d e a l i s t i c and d i s p l a y s con-cern f o r the u l t i m a t e w e l f a r e of s o c i e t y . I t i s d i f f i c u l t to compromise these two p o s i t i o n s . Dr. Leake introduces the i d e a of a d i f f e r e n c e between medical e t i q u e t t e and medical e t h i c s . Medical e t i q u e t t e i s concerned w i t h the con-duct of p h y s i c i a n s towards each other, and embodies tenets of p r o f e s s i o n a l courtesy. Medical e t h i c s should be concerned w i t h the u l t i m a t e consequences of the conduct of the p h y s i c i a n toward h i s i n d i v i d u a l p a t i e n t s and toward s o c i e t y as a whole, and i t should i n -clude a c o n s i d e r a t i o n of the w i l l and motive behind t h i s conduct. 1 Dr. Leake throughout a l l of h i s w r i t i n g s on medical e t h i c s , s t r e s s e s the f a c t t h a t confusion e x i s t s concerning the d i f f e r -ence between medical e t h i c s and medical e t i q u e t t e . This con-1 CD. Leake, C l e a r i n g the Confusion i n Medical E t h i c s , Re-p r i n t . Ohio State U n i v e r s i t y Medical J o u r n a l , vol . 2 0 , 1 9 5 7» p . 2 5 . 74. f u s i o n i s most apparent i n the Code of E t h i c s of the B r i t i s h Columbia Medical A s s o c i a t i o n i n which 16 of the l i s t e d 27 s e c t i o n s deal w i t h the e t i q u e t t e of the p h y s i c i a n s ' dealings w i t h each other, and only 7 w i t h the e t h i c s of t h e i r r e l a t i o n -ship and d u t i e s towards t h e i r p a t i e n t s . The development of e t h i c s i n a p h y s i c i a n are the r e s u l t o f , Broadly human, moral, e v o l u t i o n a r y and education-a l i n f l u e n c e s common to a l l of an age and gener-a t i o n . But, ... an added e t h i c a l complexity, one which segregates the p h y s i c i a n i n t o a c l a s s upon which an increased burden i s placed, to t h i s group there are presented not only the u n i v e r s a l e t h i c a l demands of m o r a l i t y and p h i l -osophy ( r e s p o n s i b i l i t y , r a t i o n a l i t y , freedom of i n d i v i d u a l thought and a c t i o n , choice of pleasure and of work, good w i l l , duty, s e r v i c e , s e l f s a c r i f i c e and honesty,) but to each i n d i v -i d u a l p h y s i c i a n ' s e t h i c a l e x i s t e n c e , there i s l i n k e d a l s o c l o s e l y a s p e c i a l opportunity,,and a task, upon which devolve f r e q u e n t l y the choice and occasion of a c t u a l l y c o n t r o l l i n g the p s y c h i c , moral and p h y s i c a l w e l l b e i n g - even the very existance of h i s f e l l o w s , community or n a t i o n . 1 I n other words the p h y s i c i a n has e x t r a p r i v i l e g e s and e x t r a r e s p o n s i b i l i t i e s i n h i s dealings w i t h people. His code of e t h i c s i s b u i l t on the base of e t h i c s which are accepted by a l l the members of s o c i e t y , but because of h i s p e c u l i a r powers a d d i t i o n a l checks and balances have been added to h i s code of e t h i c s to guide h i s use of t h i s power and to safeguard a g a i n s t h i s abuse of i t . As Sperry pointed out, i f we accept Tawney*s 1 Frank Smithies, On t h e . O r i g i n and Development of E t h i c s i n Medicine and the I n f l u e n c e of e t h i c a l Formulae upon Medical P r a c t i c e , Reprinted from, Annuals of C l i n i c a l Medicine, v o l . 3 (March 1925), p. 599-75. d i s t i n c t i o n between trades and the p r o f e s s i o n s , q u i t e apart from concern f o r corporate s e l f defense on the p a r t of i t s members, the hallmark of a p r o f e s s i o n i s i t s i n s i s t e n c e upon moral standards which are higher than those which wotild ob-t a i n i n the world at l a r g e . " I n s h o r t , the p r a c t i s e of medicine asks more, normally, of the p r a c t i t i o n e r s than the community as a whole asks of i t s members."* And w i t h i n the boundaries of any given p r o f e s s i o n , the conscience of the p r o f e s s i o n a l man represents the c r y s t a l l i z e d a t t i t u d e of h i s group, and the usage of h i s group as a x«?hole i s e t h i c a l l y i n advance of the commercial and i n d u s t r i a l world. The d i s -t i n c t i o n between the mores of the p r o f e s s i o n s and of trade have set up a double moral standard i n s o c i e t y . Although t h e o r e t i c a l l y t h i s i s d e p l o r a b l e , i n a c t u a l f a c t , t h i s e x i s -tence of a higher standard, and i t s acceptance by the pro-f e s s i o n s , challenges a l l lower standards round about. The A d m i n i s t r a t i o n arid Promulgation of the Code of E t h i c s As p r i n c i p l e s depart from fundamental e t h i c a l p r i n c i p l e s and encompass r e g u l a t i o n s to govern p a r t i c u l a r conduct, they become a code of laws. 2 This i n f a c t I s what has happened to many p r i n c i p l e s which were formerly found i n codes of e t h i c s . Many of these p r i n -c i p l e s have been removed from the realm of j u r i s d i c t i o n of 1 H.L. Sperry, The E t h i c a l B a s i s of Medical P r a c t i c e , M.Y. Paul B. Hoeber Inc."J 1952, p. 78. 2 A b s t r a c t Proceedings of the House of Delegates of the American Medical A s s o c i a t i o n a t the Annual meeting i n Chicago, I l l i n o i s , June 11-15, 1956. American Medical A s s o c i a t i o n  J o u r n a l , v o l . 162 (Sept. 1956) p. 501. the p r o f e s s i o n s and placed under the j u r i s d i c t i o n of the government. I n most instances the law i s l a i d down i n the form of a medical Act, and the l o c a l c o l l e g e of p h y s i c i a n s and surgeons i s given the power to administer i t . These Acts should not be confused w i t h codes of e t h i c s , although they i n c l u d e items which were f o r m a l l y handled by the code. A v i o l a t i o n of a Medical Act i s a breach of the laws of the province or State which enacted the Act, and i s d e a l t w i t h as w i t h any other v i o l a t i o n of a law. The v i o l a t i o n s of the code of e t h i c s i s u n e t h i c a l , and may be frowned on by s o c i e t y , but i t would not be considered i l l e g a l . V i o l a t i o n s of the Medical A c t , are d e a l t w i t h by the courts i n c o n j u n c t i o n w i t h the College of P h y s i c i a n s a.nd Surgeons and the handling of these v i o l a t i o n s i s c l e a r l y set f o r t h i n the Act. The l i n e between v i o l a t i o n s of the Act, and breaches of the Code of E t h i c s i s so t h i n , tha,t they are both handled by the College of P h y s i c i a n s and Surgeons. The Medical A s s o c i a t i o n tends t o concentrate on economical and educational matters, and leave l i c e n s i n g and e t h i c s to the c o l l e g e . The Medical Act of B r i t i s h Columbia i s a.Statute on the law books of the province. I t s t a t e s that a l l p r a c t i -t i o n e r s i n the province must be l i c e n s e d , and be r e g i s t e r e d members of the College of P h y s i c i a n s and Surgeons i n B r i t i s h Columbia. The College i s r e s p o n s i b l e f o r the keeping of the r e g i s t e r of a l l p h y s i c i a n s p r a c t i c i n g i n B r i t i s h Columbia, the determination of r e g i s t r a t i o n f e e s , the determining of the r e l a t i o n s h i p between the College and the Medical C o u n c i l 77. of Canada .including p r o f e s s i o n a l conduct and evidence of good c i t i z e n s h i p of a l l candidates f o r r e g i s t r a t i o n , and i n t e r p r e t a t i o n of the Medical Act and the Code of E t h i c s f o r a l l p r a c t i t i o n e r s . P r a c t i t i o n e r s are c o n t i n u a l l y reminded, t h a t i f they are ever i n doubt about the l e g a l i t y or e f f i c a c y of a course upon which they are about to embark they should, phone the College and discuss i t , and. ask f o r a c l a r i f i c a t i o n of the s i t u a t i o n . They are a l s o reminded that as i n law, ignorance i s no excuse since i n t e r p r e t a t i o n and. c l a r i f i c a t i o n i s as near as t h e i r telephone. Some of the items covered by the Medical Act of B r i t i s h Columbia, which used to be handled by the Code of E t h i c s are the items covering the g i v i n g of medical or s u r g i -c a l a i d I n cases of emergency, ! , i f such aid. i s given without h i r e , g a i n , or hope of reward."" And. the u n e t h i c a l act of p l a c i n g the name of a. d r u g g i s t or drxxgstore upon any pre-s c r i p t i o n issued by a p h y s i c i a n . The Act a l s o makes i t i l l e g a l f o r any member of the College to take or " r e c e i v e any remuneration by way of commission, discount, refund or otherwise from any person who f i l l s a p r e s c r i p t i o n given or 2 issued, by such member." The Code of E t h i c s of the B r i t i s h Columbia Medical A s s o c i a t i o n has nothing to do w i t h the Medical Act. U n l i k e 1 Medical Act. R.S. 1948, C 2 0 6 , S.I., B r i t i s h Columbia, pp. 2623-2641), S e c t i o n 72#A, p. 2640. 2 I b i d . , S e c t i o n 79, p. 264l.. 78. the Medical Act, the code p r e f e r s to handle such u n e t h i c a l a c t s as overcharging and dishonest h i l l i n g , and many areas covered by what Chauncey Leake r e f e r s to as medical e t i q u e t t e . The Code i s administered by the College of P h y s i c i a n s and Surgeons which has a standing committee on E t h i c s . I t s r o l e i s twofolds ( l ) to handle breaches of the Code, (2) to promulgate the code and to c o n t i n u a l l y inform the p r a c t i t i o n -ers of the s e c t i o n s of the Code. Any complaint to the com-mittee on E t h i c s has to be made i n w r i t i n g . On r e c e i p t of the complaint, the committee has to decide whether the com-p l a i n t i s worth i n v e s t i g a t i n g or not. I f the committee de-cides t h a t the complaint indeed m e r i t s i n v e s t i g a t i o n , the p r a c t i t i o n e r against whom the complaint was l a i d , would, be n o t i f i e d i n w r i t i n g of the complaint and the name of the person who l a i d i t . He would then be requested to appear be-f o r e the committee w i t h i n t h i r t y days to defend himself ag a i n s t the charges l a i d against'him. A l l hearings of the committee are he l d i n Camera, and the doctor's name i s not reve a l e d unless he has been found g u i l t y and the committee has recommended suspension. The recommendation of suspension i s a serious one, and. i s almost never resorted, to except i n cases where i t has been proven that a p a t i e n t ' s r i g h t s have been gravely abused, w i t h serious r e s u l t s . The Committee on E t h i c s w i l l o f t e n warn a p r a c t i t -i o n e r t h a t a c e r t a i n a c t was u n e t h i c a l and that he should d e s i s t i n pursuing i t . Or, when necessary, i t would recom-mend that a p r a c t i t i o n e r seek medical a i d , or such aid. as 79-was necessary to cure him of the a d d i c t i o n or whatever i t was that r e s u l t e d i n the u n e t h i c a l act or acts which l e d to h i s appearance before the committee. The committee r e p o r t s i t s a c t i v i t i e s i n the College n e w s l e t t e r . As s t a t e d e a r l i e r , no: names are reported unless the d e c i s i o n has been reached to recommend, suspension of the offending p r a c t i t i o n e r . The Canadian Medical A s s o c i a t i o n has i t s own Committee on E t h i c s , which gives an annual r e p o r t each year at the annual meeting of the A s s o c i a t i o n . I n d e a l i n g w i t h the handling of breaches of the code of e t h i c s , one must remember that we are not d e a l i n g w i t h a v i o l a t i o n of the Medical Act, or even w i t h an i l l e g a l act covered, by any area- of the c r i m i n a l code. Those act s which Soc i e t y has come to f e e l are too important to be considered, merely u n e t h i c a l have been in c o r p o r a t e d i n the Medical Act or are covered by the C r i m i n a l Code of Canada. Because of t h i s the code of e t h i c s has been c r i t i c i z e d f o r having no teeth i n i t . The second f u n c t i o n of the committee on E t h i c s i s education. The committee i s always p u b l i s h i n g reminders i n the College newsletter f o r Spring 1964 had. no l e s s than s i x A reminders covering various subjects from u n e t h i c a l telephone a d v e r t i s i n g to a word of c a u t i o n on the p r e s c r i p t i o n of a d d i c t i v e drugs. The same i s s u e a l s o carried, reminders of v a r i o u s sections of the Medical Act:. One of the concerns of the p u b l i c i s w i t h the a b i l i t y and methods used by the medical p r o f e s s i o n to teach i t s code of e t h i c s to a l l I t s members and the e f f e c t i v e n e s s 80. of i t s methods of dis s e m i n a t i n g i t s p r o v i s i o n s . Dr. Means f e e l s t h a t along w i t h h i s c l i n i c a l t r a i n i n g the medical student has to l e a r n what means r e f e r s to as h i s " p u b l i c r e s p o n s i b i l i t y " . - Here he says i s one of the major o b j e c t i v e of medical education. I t i s an o b j e c t i v e which has not been met very w e l l as y e t , although some beginnings have been made. Medical education has been too much engaged w i t h cram-ming the student w i t h f a c t u a l knowledge, and. not enough w i t h impressing him w i t h the nature of h i s r e s p o n s i b i l i t i e s . "Since medicine i s v i t a l l y concerned w i t h human r e l a t i o n s , as w e l l as w i t h the a p p l i c a t i o n of s c i e n t i f i c f a c t , i t i s necessary t h a t the moral side a.s w e l l as the i n t e l l e c t u a l , 2 r e c e i v e due emphasis." At the U n i v e r s i t y of B r i t i s h Columbia, the medical students r e c e i v e two formal l e c t u r e s on medical e t h i c s i n t h e i r f i n a l year. However, i t has been s t r e s s e d that per-sonal r e s p o n s i b i l i t y , moral conscience, and the t r u s t which I s placed i n doct o r s , are p r i n c i p l e s which are pointed, out and repeated to the students throughout t h e i r four years of study. The accent i s placed on the f a c t that because the doctor i s an independent opera-tor he has a much greater r e s p o n s i b i l i t y to h i s p a t i e n t s , h i s colleagues and s o c i e t y . He should regard, the code as a guide to behavior, and he i s expected to in c o r p o r a t e these guid.es and. make them a p a r t 1. J.H. Means, Doctors', People' and Government, Boston, L i t t l e , Brown and Company, 053) P« 36. 2 l o c . c i t . 81. of h i s t h i n k i n g and a c t i o n . At the time when the doctor-r e c e i v e s h i s l i c e n c e to p r a c t i c e he i s given a copy of the Medical Act and a copy of the code of e t h i c s , the l a t t e r which he has to s i g n , s t a t i n g h i s i n t e n t i o n to abide by a l l i t s t e n e t s . Another method of promulgation c o n s i s t s of constant reminders i n the monthly newsletter regarding various areas of e t h i c a l behavior. An example would be, I t has been drawn to the a t t e n t i o n of the Committee on E t h i c s that names of c e r t a i n doctors are l i s t e d i n the yelloxv pages of telephone d i r e c t o r i e s i n m u n i c i p a l i t i e s where they do not have a residence or o f f i c e . . . c o n s t i t u t e s u n e t h i c a l a d v e r t i s -i n g . . . . 1 A t h i r d method reminder i n v o l v e s a r t i c l e s i n j o u r n a l s , and speeches on e t h i c s . A search of the l i t e r a t u r e w i l l show that papers on e t h i c s are r e g u l a r l y presented at medical meetings and published i n medical j o u r n a l s . As the American Medical A s s o c i a t i o n p o i n t s out an act should not be judged as e t h i c a l or u n e t h i c a l on the b a s i s of whether i t appears i n a code of e t h i c s , but should be based on 'unchanging' p r i n -c i p l e s . I t i s d i f f i c u l t to conceive of methods, other than the ones already being u t i l i z e d which could b e t t e r spread the knowledge of the codes of e t h i c s of the p r o f e s s i o n among i t s p r a c t i t i o n e r s . As the committee on E t h i c s at the 1964 meeting of the Canadian A s s o c i a t i o n s t a t e d , 1 College of P h y s i c i a n s and Surgeons of B r i t i s h Columbia, Newsletter, v o l . 29 (Spring 1964), p. 8. 82. the strengthening of the moral f i b r e of the i n d i v i d u a l p h y s i c i a n I s to be found i n the home, l a t e r i n h i s school, and l a t e r s t i l l d u r ing undergraduate years. A f t e r graduation h i s a s s o c i a t i o n w i t h h i s e t h i c a l colleagues must give the moral support. 1 Implementation of the Code of E t h i c s Much has been w r i t t e n concerning v i o l a t i o n of the code of e t h i c s , and the consequences of such a c t s of v i o l a t i o n . But the general a t t i t u d e among medical w r i t e r s seems to be t h a t implementation of the code i s automatic. No one ever wonders whether the doctor does I n f a c t have as h i s primary o b j e c t i v e the rendering of s e r v i c e to humanity w i t h f u l l r e s p e ct f o r both the d i g n i t y of man and the r i g h t s of p a t i e n t s . Or whether the p h y s i c i a n does indeed s t r i v e to improve h i s medical knowledge and s k i l l . I t i s true that courses i n co n t i n u i n g education are given by most reputable medical schools to encourage the doctor to improve h i s medical know-ledge, but no record i s kept to see whether a l l doctors do i n f a c t take advantage opportunity. As Chauncey Leake s t a t e d , a p h y s i c i a n i s "more r e a d i l y jeopardized, by v i o l a t i o n s of p r o f e s s i o n a l e t i q u e t t e than by t r a n s g r e s s i o n s of general m o r a l i t y s i n c e the l a t t e r i s more e a s i l y concealed from 2 h i s colleagues." 1 Transactions of the 9?th annual meeting of the Canadian Medical A s s o c i a t i o n , h e l d i n Vancouver June 22-26, 1964. Canadian Medical A s s o c i a t i o n J o u r n a l , v o l . 91 (Sept. 1964), p. 503. 2 Chauncey Leake, C l e a r i n g the Confusion i n Medical E t h i c s , Reprint from Ohio State U n i v e r s i t y M e d i c a l J o u r n a l , v o l . 20, 1957s p. 26. 83-Eddy's approach to the implementation of a Code of E t h i c s i s d i f f e r e n t . He f e e l s that although a doctor has a duty i n d e a l i n g w i t h h i s p a t i e n t to b r i n g to the e x e r c i s e of h i s p r o f e s s i o n , "a reasonable degree of care and s k i l l , " t h i s duty comes i n t o existence only a f t e r the establishment of the doctor p a t i e n t r e l a t i o n s h i p . Consequently he adds, I f a doctor sees a person l y i n g i n j t i r e d i n the s t r e e t who i s i n danger of dying of haemorrhage, and passes him by, 'he i s not g u i l t y of negligence, because there i s no r e l a t i o n s h i p , consequently the doctor owes the i n j u r e d person no duty. 2 This i n t e r p r e t a t i o n i s i n d i r e c t c o n t r a d i c t i o n to the I n t e r -n a t i o n a l Code of Medical E t h i c s villich s t a t e s that a doctor must give necessary treatment i n an emergency. Yet there i s no doubt but t h a t some doctors sometimes do r a t i o n a l i z e t h e i r reasons f o r not doing as the code of e t h i c s d i r e c t s , and as Leake p o i n t e d out, these omissions can be concealed e f f e c t i v e -l y . E l l i o t t i n h i s d i s c u s s i o n on p r o f e s s i o n a l r e s p o n s i b i l i t y , r a i s e s t h i s same problem but argues that the doctor who r e -fuses to attend the person l y i n g i n the s t r e e t c l e a r l y i n need of medical a t t e n t i o n , must be able to j u s t i f y h i s r e f u s a l before h i s conscience, or before any enquiry that might be h e l d i n t o h i s conduct. These c o n f l i c t i n g opinions p o i n t up the need f o r a c l e a r i n t e r p r e t a t i o n of the Codes of E t h i c s by the o r g a n i z a t i o n which i s r e s p o n s i b l e f o r i t s a d m i n i s t r a -t i o n , implementation and promulgation. 1 J.P. Eddy, P r o f e s s i o n a l 'Negligence, London, Stevens & Sons L t d . , 1955, P. $1. 2 l o c . c i t . 84. P r o v i s i o n s f o r Review and R e v i s i o n The evidence shows th a t the medical p r o f e s s i o n hardly needs to undertake frequent, p e r i o d i c a l reviews of i t s very general and age o l d e t h i c a l p r i n c i p l e s since they are st a t e d i n such terms that they w i l l continue to command agree-ment through a v a r i e t y of changing circumstances; but t h e i r b e a r i n g upon p a r t i c u l a r problems and c o n t r o v e r s i e s w i l l vary i n accordance w i t h the changing content of those problems and c o n t r o v e r s i e s and i n accordance w i t h the changes i n the i n t e r p r e t a t i o n of the general p r i n c i p l e s which accompany changes i n the moral c l i m a t e of a s o c i e t y . The medical pro-f e s s i o n ' s a t t e n t i o n to these matters shows considerable var-i a t i o n i n responsiveness to what i s c u r r e n t l y r e l e v a n t or urgent, i n s o p h i s t i c a t i o n of a n a l y s i s , and i n s p e c i f i c a t i o n of what the d u t i e s of i t s p r a c t i t i o n e r s , both i n d i v i d u a l l y and. c o l l e c t i v e l y , are h e l d to be i n regard to the i s s u e i n questions i n some cases the p r o f e s s i o n ' s s t a t e d p o s i t i o n on such matters i s a l e r t l y up-to-date, expert i n d e t a i l , and unambiguous i n recommendation, but i n other causes i t i s none of these t h i n g s . Once i n a w h i l e an i n c i d e n t may so shock the e n t i r e medical p r o f e s s i o n that i t i s forced, to take a second look at i t s code of e t h i c s , and reappraise i t . T h i s i s very r a r e , but one such i n c i d e n t was the discovery of the a t r o c i t i e s performed by the doctors of Nazi Germany during the second World War. Knowledge of these a t r o c i t i e s r e s u l t e d i n unani-mous agreement among the doctors that t h e i r code of e t h i c s 35. needed to be r e v i s e d . The Committee on E t h i c s i s r e s p o n s i b l e f o r studying and recommending any r e v i s i o n s which may seem necessary i n the Code of E t h i c s of the B r i t i s h Columbia Medical A s s o c i a t i o n . The committee can recommend a r e v i s i o n to the general meeting of the A s s o c i a t i o n and the membership vote as to whether they should accept the recommendation or not. Often there i s some disagreement among the membership and the recommendation i s returned to the committee f o r f u r t h e r study. The recommendation i s pub l i s h e d i n the Assoc-i a t i o n organ so th a t a l l members have a chance to giv e i t some thought before a c t u a l l y v o t i n g on i t . I m p l i c a t i o n s f o r S o c i a l P o l i c y " I t has been s a i d t h a t every p r o f e s s i o n i s a con-sp i r a c y a g a i n s t the p u b l i c . " And when one sees a l l the secrecy which surrounds the a c t i v i t i e s of the medical pro-f e s s i o n , one may wonder whether there i s not some t r u t h i n the complaint t h a t "Medical e t h i c s are merely a cloak behind which i n f l u e n t i a l members of the p r o f e s s i o n may i n f l u e n c e 2 p r o f e s s i o n a l p o l i t i c s or o b t a i n p r o f e s s i o n a l advantage." Chauncey Leake assures us however, that the development of medical e t h i c s has always been a profound f a c t o r i n promoting medical standards, and t h a t , "from the e a r l i e s t times the moral character and general c u l t u r a l behavior of the lead e r s 1 W.L. Sperry, The E t h i c a l B a s i s of Medical P r a c t i c e , N.Y., Paul B. Hoeber I n c . , 1952, p. 88. 2 Chauncey Leake, Osier's E t h i c a l Standards, Reprint from. North C a r o l i n a Medical J o u r n a l , v o l . 10 (August 19^9), p. 1. 86. i n medicine have set a high example by which a l l members of the p r o f e s s i o n have been judged." The essence of the doctor p a t i e n t r e l a t i o n s h i p i s the promise of the doctor to take r e s p o n s i b i l i t y f o r the p a t i e n t once he has accepted h i s c a r e s and the freedom of the p a t i e n t i n h i s choice of a p h y s i c i a n . Today, s p e c i a l i z a t i o n i s l e a d i n g to a breakdown of t h i s r e l a t i o n s h i p and i s j e o p a r d i z i n g some area,s of e t h i c a l conduct. As F i t t s p o i nted out, i n order to re p l a c e t h i s l o s s of the inte n s e i n d i v i d u a l r e s p o n s i b i l i t y i t w i l l probably become necessary to develop a wider and greater sense of c o l l e c t i v e r e s p o n s i b i l i t y of the p r o f e s s i o n to s o c i e t y . The a b s o r p t i o n of the average p h y s i c i a n i n h i s own demanding p r a c t i c e has made him p e c u l i a r l y b l i n d to the inadve r t e n t gaps i n medical care that have a r i s e n through s o c i a l and economic f o r c e s outside h i s immediate ac qua!ntanc e. 2 He f e e l s that the passive a t t i t u d e which doctors have t o -wards the p u b l i c i n general,- as opposed to t h e i r own p a t i e n t s , may be the r e s u l t of the nature of the e a r l y h i s t o r y of medical care, when i n s e l f p r o t e c t i o n they had to close t h e i r ears and eyes to a l l but the few that they could help out of the multitude of s i c k and dying around them. E t h i c a l r u l e s , l i k e a l l r u l e s are r e s i s t a n t to change, and h e r e i n l i e s one of the dilemmas of medical e t h i c s . I n a dynamic and changing s o c i e t y , where i d e a s , b e l i e f s , and 1 l o c . c i t . 2 Win. T. F i t t s , E t h i c a l Standards of the Medical Pro-f e s s i o n , B u l l e t i n of The American College of Surgeons, v o l . M (January 1956), p. 2jl 87. a t t i t u d e s change, e t h i c s have remained e s s e n t i a l l y unchanged. Because of t h i s many members of the p r o f e s s i o n are unprepared to handle questions of germ warfare, medicare, r a c i a l c o n f l i c t , a b o r t i o n , vasectomy, and euthanasia, questions to which the p u b l i c l o o k s to the medical p r o f e s s i o n f o r guidance which so f a r i t has f a i l e d to give. The need f o r changes i n e t h i c s a r i s e s out of c o n f l i c t between the p r o f e s s i o n and i t s en-vironment. The environment may be w i t h i n or outside the medical group.- Changes may be the r e s u l t of changes i n medical sciences as seen f o r example i n the new e t h i c a l pro-blems which were r a i s e d a f t e r the d i s c o v e r i e s of Pasteur and L i s t e r and l e d to the i n c r e a s i n g importance of h o s p i t a l s . Or they may be due to the growth of i n d u s t r y and the r i s e of l a r g e c i t i e s , and widening d i f f e r e n c e s of income between c l a s s e s which are r e f l e c t e d i n a wide v a r i e t y of e t h i c a l s t r a i n s and s t r e s s e s . I t i s s i g n i f i c a n t t h a t some members of the American Medical A s s o c i a t i o n seemed to be aware of the need to s h i f t emphasis, f o r i n 195^ i t s c o u n c i l on con-s t i t u t i o n and bylaws d r a f t e d a new code comprising only ten se c t i o n s which t r i e d to d e a l , among other t h i n g s , w i t h the doctor's r e s p o n s i b i l i t y to s o c i e t y . I n a r e c e n t l y p u b l i s h e d a r t i c l e Theodore Rosebury posed the ur g e n t l y t o p i c a l question, "Can p h y s i c i a n s j u s t i -f i a b l y acquiesce on p a r t i c i p a t e i n research and development i n b i o l o g i c a l warfare, e s p e c i a l l y on a lon g term b a s i s , as an a c t i v i t y presumed to be permanent, or not e x p l i c i t l y 88. l i m i t e d i n time?"^ As Rosebury goes on to p o i n t out, h i s question p e r t a i n s to the e t h i c a l p r i n c i p l e s governing the connection between p h y s i c i a n s and war, e s p e c i a l l y b i o l o g i c a l war, and these questions have not been d e a l t w i t h by any medical codes. The i n d i v i d u a l p r a c t i t i o n e r i s then l e f t w i t h the problem of d e c i d i n g xfhich i s more important: h i s duty to work f o r h i s country or h i s commitment to the preser-v a t i o n of human l i f e . T h is matter of m u l t i p l e a l l e g i a n c e s a f f e c t s other areas of the p h y s i c i a n s ' l i f e . The p h y s i c i a n i n p r a c t i c e i s bounded not only by h i s own code of e t h i c s , but a l s o by the code of e t h i c s of the h o s p i t a l i n which he p r a c t i c e s , and by the codes of e t h i c s of other d i s c i p l i n e s w i t h which he has to work. Attempting to adjust to a l l of these codes must cause many p r a c t i t i o n e r s many p a i n f u l hours of soul searching. The moral problems of a b o r t i o n , vaesectomy, and Euthanasia' are s t i l l being h o t l y debated by medical groups around the world. I n some c o u n t r i e s I n the Far East the per-formance of a b o r t i o n i s no longer considered u n e t h i c a l but i n North America i t i s not only ' u n e t h i c a l * but i l l e g a l un-l e s s performed when the mother's l i f e i s endangered by the act of c h i l d b i r t h , and the same i s true of Euthanasia. Although the Code of E t h i c s of the B r i t i s h Columbia Medical 1 Theodore Rosebury, Medical E t h i c s and B i o l o g i c a l War-f a r e , P e r s p e c t i v e s i n Biology and Medicine, U n i v e r s i t y of Chicago P r e s s , (Summer 19,63), P- 514'. 89. A s s o c i a t i o n deals w i t h the i n d u c t i o n of a b o r t i o n , i t does not d e a l e i t h e r w i t h Euthanasia or Vaesectomy. Despite t h i s , most doctors w i l l r efuse to perform e i t h e r , and the doctors who perform Vaesectomies do so s u r r e p t i t i o u s l y and i n an aura of g u i l t . Despite the f a c t that the Committee on E t h i c s at the 1964 convention of the Canadian Medical A s s o c i a t i o n r e -ported that a vaesectomy, "when done f o r an adequate reason i s not u n e t h i c a l , " and presented a r e s o l u t i o n which read, S t e r i l i z a t i o n i s e t h i c a l when I t i s c a r r i e d out f o r v a l i d reasons, provided i t i s not a g a i n s t the, professed r e l i g i o u s or moral c o n v i c t i o n s of the p a t i e n t , or h i s l e g a l guardian, or the h o s p i t a l a d m i n i s t r a t i o n , or the medical personnel d i r e c t l y involved.. The o p e r a t i o n should be performed, i n hos-p i t a l and w i t h adequate medical c o n s u l t a t i o n . 2 The Canadian Medical A s s o c i a t i o n showed, that i t was not yet prepared to take a stand on such a c o n t r o v e r s i a l i s s u e by r e f e r r i n g i t back to the committee f o r f u r t h e r study. A stud.y of medical e t h i c s through the ages shows that the emphasis has s h i f t e d from a detailed, concern w i t h the p h y s i c i a n and h i s p r a c t i c e , to the p h y s i c i a n and h i s r o l e i n the s o c i e t y i n which he l i v e s . More of the items i n r e -cent codes of e t h i c s show concern f o r the growing r e s p o n s i -b i l i t y which the p h y s i c i a n has to mankind and h i s mandate not to s h i r k these r e s p o n s i b i l i t i e s . There i s a. r e c o g n i t i o n t h a t no one i s going to•stand b r e a t h i n g over the p h y s i c i a n ' s 1 Transactions of the 97th annual meeting of the Canadian Medical A s s o c i a t i o n , h e l d i n Vancouver June 22-26, 1964. Canadian Medical A s s o c i a t i o n J o u r n a l , v o l . 91 (Sept. 1964), P. 503. 2 l o c . c i t . 90. shoulder to see whether he i s l i v i n g up to h i s e t h i c a l r e s p o n s i b i l i t i e s , and an acceptance that the onus i s on each i n d i v i d u a l p r a c t i t i o n e r to be true to hi m s e l f . There i s some concern among the p u b l i c and the p h y s i c i a n s themselves however, as to whether they are equal to the task, e s p e c i a l l y I n the l i g h t of ra.pid c u l t u r a l changes and the d o c t o r s 5 r e l a t i v e unpreparedness f o r such changes. CHAPTER I I I THE PROFESSION OF SOCIAL WORK B r i e f H i s t o r y of the P r o f e s s i o n of S o c i a l Work Throughout h i s t o r y , the problems of poverty, i l l n e and s o c i a l d i s o r g a n i z a t i o n have e x i s t e d , but the i n d u s t r i a l -i z a t i o n and u r b a n i z a t i o n of the Nineteenth and Twentieth Centuries magnified these problems to the extent that the t r a d i t i o n a l i n s t i t u t i o n s of f a m i l y , neighbourhood, l o c a l community and church could no longer adequately cope w i t h them. Out of t h i s s i t u a t i o n arose the need f o r a broader system of s o c i a l s e r v i c e s , s t a f f e d by q u a l i f i e d personnel, under p u b l i c and p r i v a t e auspices. The same p e r i o d saw the development of rugged i n d i v i d u a l i s m which a f f e c t e d the p h i l -osophy u n d e r l y i n g the establishment of s e r v i c e s and the a t t i t u d e w i t h which they were administered. The l a t e r development of humanitarian i d e a l s w i t h emphasis on s o c i e t y ' r e s p o n s i b i l i t y f o r i t s members o f f s e t to some degree t h i s i n d i v i d u a l s i m , but the r e s i d u a l i n f l u e n c e of t h i s philosophy remained a c t i v e . The progress of the b i o l o g i c a l and s o c i a l sciences provided new t o o l s f o r the i n v e s t i g a t i o n and a l l e v i a t i o n of problems that gained i n c r e a s i n g r e c o g n i t i o n . To attempt a d e t a i l e d h i s t o r i c a l a n a l y s i s of the 92. b i r t h and growth of s o c i a l work as a p r o f e s s i o n , and to out-l i n e the work of the people whom the p r o f e s s i o n claims as i t s f o r e f a t h e r s , are not the i n t e n t i o n s of t h i s study. How-ever, a. l i m i t e d s e l e c t i o n of p e r t i n e n t d e t a i l i s necessary f o r an understanding of the core content of t h i s chapter. The e a r l i e s t beginnings of the p r o f e s s i o n are r o o t -ed i n the E n g l i s h Poor Law of 1601 which e s t a b l i s h e d overseers of the poor to process a p p l i c a t i o n s f o r a s s i s t a n c e , i n v e s t i -gate c o n d i t i o n s , determine e l i g i b i l i t y , and decide the type of help to be o f f e r e d to the a p p l i c a n t . During the nest two hundred and f i f t y years i n England, p r i v a t e c h a r i t a b l e s o c i e t i e s were organized to supplement the inadequate and p u n i t i v e governmental p r o v i s i o n s f o r the s i c k , the unemployed, and the poor. These s o c i e t i e s were s t a f f e d by volunteers who administered a s s i s t a n c e . To coordinate a c t i v i t i e s , the Ch a r i t y O r g a n i z a t i o n S o c i e t y was founded i n London i n 1869. The s t a f f of volunteers a s s i s t e d f a m i l i e s w i t h money, c l o t h -i n g and food, but the main emphasis of t h e i r work was on the hope of e x e r t i n g moral i n f l u e n c e i n order to e f f e c t a changed way of l i f e . Other l a r g e c i t i e s i n England and Scotland e s t a b l i s h e d s i m i l a r o r g a n i z a t i o n s , and i n 1877 the movement reached the United S t a t e s . I t formed the groundwork f o r casework as i n d i v i d u a l help and f o r community o r g a n i z a t i o n . The p r a c t i c a l experience of these volunteers i n working w i t h c l i e n t s created i n them doubts that poverty and unemployment were, as the theory of that day claimed, the 1 W. F r i e d l e n d e r , I n t r o d u c t i o n to S o c i a l Welfare, second ed., New Jersey, P r e n t i c e - H a l l Incorporated, 1 9 6 l , pp.8-39. 93. r e s u l t only of personal weakness, mismanagement, and n e g l i -gence. T h e i r f e e l i n g s were supported at the t u r n of the Twentieth Century by the f i n d i n g s of anthropology, s o c i o l o g y , b i o l o g y , and economics. They began to advocate measures to change the s o c i a l c o n d i t i o n s which they b e l i e v e d were con-t r i b u t i n g to indigence, unemployment, and i l l n e s s . Recog-n i z i n g , moreover, that s o c i a l reform could not solve a l l problems, many of the workers and volunteers i n the organized s o c i e t i e s saw the need f o r greater knowledge and s p e c i a l i z e d t r a i n i n g i n pe r s o n a l , s o c i a l , and economic d i f f i c u l t i e s and t h e i r attempted a l l e v i a t i o n . I n 1898, the T r a i n i n g School f o r A p p l i e d Philanthropy i n New York organized the f i r s t s o c i a l work courses,^ w i t h the U n i v e r s i t y of Toronto f o l l o w -i n g t h i s example i n 1914. The development of psychology and p s y c h i a t r y e a r l y i n the Twentieth Century s h i f t e d s o c i a l work's primary focus from the economical, environmental and s o c i o l o g i c a l to the p s y c h o l o g i c a l and emotional. The shortage of p s y c h i a t -r i s t s d u r i n g World War One r e s u l t e d i n s o c i a l workers assum-i n g greater r e s p o n s i b i l i t i e s . P s y c h i a t r i c t r a i n i n g f o r s o c i a l workers was o f f e r e d at Smith College i n the United States from 1918. With a b e t t e r p s y c h o l o g i c a l understanding of human behavior and a more r e a l i s t i c e v a l u a t i o n of economic f a c t o r s , 1 I ^ l d . , pp. 9 4 - 9 5 . 2 J . Maines, "Through the Years i n CASW," The S o c i a l  Worker, v o l . 27, no.4 (October 1959), P«6. 94. s o c i a l work developed a more democratic approach to c l i e n t s w i t h a recognized respect f o r the d i g n i t y and worth of the i n d i v i d u a l . . Group Work, as p a r t of the s o c i a l work process, f i r s t gained r e c o g n i t i o n during the second decade of t h i s 2 century. The h i s t o r y of t h i s method i s rooted i n the e a r l y settlement house work of the nineteenth century. "A d i f f e r -ent use of the group work process was made when mental h o s p i t a l s and c h i l d guidance c l i n i c s began to introduce r e c r e a t i o n a l programs as a method of therapy f o r mentally i l l , mentally d e f e c t i v e and nervous p a t i e n t s . " ^ The Community Organization method of s o c i a l work has i t s main ro o t s i n the c h a r i t y o r g a n i z a t i o n movement i n the United States. One of the o b j e c t i v e s of the A s s o c i a t i o n f o r Improvement of Conditions of the.Poor, founded i n New York i n 1843, was the c o o r d i n a t i o n of the work of the 4 c h a r i t i e s and the p h i l a n t h r o p i c s o c i e t i e s . The C h a r i t y Organization S o c i e t i e s i n the United States recognized as t h e i r p r i n c i p a l goals t h i s type of c o o r d i n a t i o n to prevent the overlapping and d u p l i c a t i o n of s e r v i c e s and to' encourage 1 F r i e d l a n d e r , op_. c i t . , p. 155-• 2 G. Wilson and G. Ryland, "The C r e a t i v e Use of the S o c i a l Process," S o c i a l Group Work P r a c t i c e , Boston, Houghton, 1949, PP. 7rTo~i 3 F r i e d l a n d e r , op_. c i t . , p. 167. 4 C. Murphy, "Community Organization f o r S o c i a l Welfare," S o c i a l Work Yearbook, i 9 6 0 , pp. 186-188. 95. cooperation between s o c i a l agencies. From the beginning, the f i n a n c i n g of c h a r i t i e s was a major i n t e r e s t to the Societies.^" E v e n t u a l l y i n the e a r l y Nineteenth Century, Community Chest o r g a n i z a t i o n s developed s p e c i f i c a l l y f o r the f i n a n c i n g of s o c i a l w e l f a r e programs. Other purposes of community organ-i z a t i o n agencies c u r r e n t l y i n c l u d e planning and c o o r d i n a t i o n of s e r v i c e s , f a c t f i n d i n g , s o c i a l a c t i o n , community develop-ment and p u b l i c r e l a t i o n s . A d m i n i s t r a t i o n i s another recognized f a c e t of s o c i a l work, adopted to the o b j e c t i v e s of the p r o f e s s i o n . The goal of a d m i n i s t r a t i o n i n s o c i a l work agencies i s to provide e f f i c i e n t l y those s e r v i c e s p e c u l i a r to the agency, i n the best i n t e r e s t s of i t s c l i e n t group. Knowledge of s o c i a l l e g i s l a t i o n and s o c i a l work p r a c t i c e , and thorough experience w i t h the philosophy and methods of s o c i a l w e l f a r e are necessary requirements f o r t h i s area of p r o f e s s i o n a l work. S t i l l another area of s o c i a l work i s Research which i s described by Walter F r i e d l a n d e r as "...the c r i t i c a l i n q u i r y i n t o and the s c i e n t i f i c t e s t i n g of the v a l i d i t y of s o c i a l work o r g a n i z a t i o n , f u n c t i o n , and methods i n order to v e r i f y , g e n e r a l i z e and extend s o c i a l work knowledge, s k i l l , 2 concepts, and theory." Many of i t s concepts have been adopted from the r e l a t e d f i e l d s of sociology and psychology. Although the methods a p p l i e d i n each of these areas 1 f r i e d l a n d e r , o£. c i t . , pp.183-184. 2 I b i d . , p. 215. 96. are d i f f e r e n t , they a l l r e q u i r e c e r t a i n common knowledge and s k i l l s h e l d to be p a r t i c u l a r to the s o c i a l -work p r o f e s s i o n as i t e x i s t s today. The Formation of the Canadian A s s o c i a t i o n of S o c i a l Workers At Toronto, i n 1924, during a meeting of the N a t i o n a l C o u n c i l i n S o c i a l Work, a luncheon meeting was arranged which had as one of i t s purposes the d i s c u s s i o n of the p o s s i b i l i t y of o r g a n i z i n g a Canadian A s s o c i a t i o n of S o c i a l Workers. A few Canadian workers h e l d membership i n the e x i s t -i n g a s s o c i a t i o n i n the United S t a t e s , but i t was recognized tha t such a r e l a t i o n s h i p would be u n s a t i s f a c t o r y to the l a r g e i number of s o c i a l workers throughout Canada. At t h i s time s o c i a l s e r v i c e s were r e l a t i v e l y undeveloped. S o c i a l work i t s e l f was undefined, but the workers were becoming, i n c r e a s i n g -l y aware of themselves" as a d i s t i n c t i v e group w i t h corporate p r o f e s s i o n a l r e s p o n s i b i l i t i e s . Out of t h i s awareness grew a need f o r a more s u b s t a n t i a l group i d e n t i t y i n the form of a p r o f e s s i o n a l a s s o c i a t i o n which was conceived, from the begin-2 n i n g , i n terms of n a t i o n a l scope since the uneven p r o v i n c i a l d i s t r i b u t i o n of workers prevented cohesive o r g a n i z a t i o n a l o p e r a t i o n on that l e v e l . Composed of s o c i a l workers from across the country, the Toronto group agreed t h a t Canadian s o c i a l work must develop 1 Maines, op_. c i t . , p. 5-2 J . Laycock, "The CASW - A Bond of Union," The S o c i a l  Worker, v o l . 27, no.4 (December 1953)» P»l« 97. according to the s p e c i f i c needs of the country and of i t s i n d i v i d u a l communities. A p r o v i s i o n a l committee was e s t a b l i s h e d at t h a t meeting to undertake the necessary o r g a n i z a t i o n a l work. The f o l l o w i n g year saw the next meeting of the f u l l committee to consider the d r a f t c o n s t i t u t i o n and by laws that had been drawn up by i t s members i n c o n s u l t a t i o n w i t h other Canadian workers, and to evaluate the r e v i s i o n s t h a t had been recommended. I n 1926 r e p r e s e n t a t i v e s o c i a l workers from the major Canadian c i t i e s of Winnipeg, Toronto, Montreal and H a l i f a x met i n Montreal where the d r a f t con-s t i t u t i o n and by laws o u t l i n i n g the purposes of the a s s o c i a t i o n , i t s o r g a n i z a t i o n a l o p e r a t i o n , and the membership q u a l i f i c a t i o n s 2 were f o r m a l l y adopted. A few months l a t e r other represent-a t i v e s "met i n Toronto and confirmed the a c t i o n s of the Montreal meeting".-^ The s t a t e d purposes of the Canadian A s s o c i a t i o n of S o c i a l Workers were: The A s s o c i a t i o n aims to b r i n g together p r o f e s s i o n a l s o c i a l workers f o r such co-operative e f f o r t s as may enable them more e f f e c t i v e l y to carry out t h e i r i d e a l s of. s e r v i c e to the community. To t h i s end the A s s o c i a t i o n may seek to promote p r o f e s s i o n a l standards; encourage adequate p r e p a r a t i o n and t r a i n -i n g ; c u l t i v a t e an informed p u b l i c o p i n i o n which w i l l recognize the p r o f e s s i o n a l and t e c h n i c a l nature of s o c i a l work; i s s u e an o f f i c i a l organ, maintain a p r o f e s s i o n a l employment s e r v i c e ; conduct research, and carry on such other a c t i v i t i e s as i t may deem appropriate, k 1 Maines, op_. c i t . 2 I b i d . 3 J . Maines, "Through the Years", The S o c i a l Worker, v o l . 2 2 , no. 2 (December 1953), p . 3 -4 I b i d . 98. The a d m i n i s t r a t i o n and c o n t r o l of the a f f a i r s of the A s s o c i a t i o n were vested i n a C o u n c i l composed of represent-a t i v e s from each province. A p r o v i s i o n a l executive committee was formed to handle these matters u n t i l the f i r s t general meeting of the A s s o c i a t i o n was h e l d i n 1928 when executive 2 o f f i c e r s were e l e c t e d by the membership. Each l o c a l branch was granted autonomous a u t h o r i t y , but w i t h a s t a t e d and agreed upon commitment to the n a t i o n a l A s s o c i a t i o n . L a t e r arrangements gave each branch d i r e c t r e p r e s e n t a t i o n on the Board of D i r e c t o r s P , Delegate, meetings were scheduled every two years. " E a r l y i n i t s h i s t o r y , the Canadian A s s o c i a t i o n of S o c i a l Workers e s t a b l i s h e d minimum standards by which the Schools of S o c i a l Work i n Canada would be assessed, i n con-n e c t i o n w i t h the a p p l i c a t i o n of the graduates of these Schools 4 f o r membership i n CASW." (At that time there were only two Schools of S o c i a l Work i n the country, one at the U n i v e r s i t y of Toronto e s t a b l i s h e d i n 1914, and one at McG-ill U n i v e r s i t y e s t a b l i s h e d i n 1918. Both were undergraduate schools.)"' Since that time the A s s o c i a t i o n has adopted the 1 Maines, op_. c i t . (October 1959), p.7. 2 Maines, op_. c i t . (December 1953) s P»3» 3 I b i d . , p.4. 4 I b i d . , p.7. 5 Maines, op_. c i t . , (October 1959), p.6. 99. p o l i c y of r e c o g n i z i n g the Schools of S o c i a l Work i n Canada tha t are recognized by the United States C o u n c i l on S o c i a l Work Education. The School of S o c i a l Work, U n i v e r s i t y of B r i t i s h Columbia, i s due f o r r e - a c c r e d i t a t i o n by t h i s C o u n c i l i n 1967. There i s no comparable c o u n c i l i n Canada, although the N a t i o n a l Committee of the Canadian Schools of S o c i a l Work and a number of other bodies are c u r r e n t l y engaged i n d i s c u s -s i o n of the a d v i s a b i l i t y of e s t a b l i s h i n g one. The Canadian A s s o c i a t i o n of S o c i a l Workers i n i t i a l funds were provided by p r i v a t e donations. Four committees were e s t a b l i s h e d at the time of i t s formation to carry out i the program o u t l i n e d . The subject of e t h i c s was not consider-ed u n t i l 1932, w i t h the f i r s t Code of E t h i c s of the A s s o c i a t -i o n adopted by the membership i n 1938. Since that time the Code of E t h i c s underwent major r e v i s i o n s that were presented to and adopted by the membership i n 195& 1964 r e s p e c t i v e l y . The f o r m u l a t i o n and r e v i s i o n of the Codes w i l l be discussed i n greater d e t a i l i n the f o l l o w i n g pages. Under P a r t I I , Chapter 53, of the Revised Statutes of Canada, 1952, known as the Companies A c t , L e t t e r s Patent e s t a b l i s h e d the Canadian A s s o c i a t i o n of S o c i a l Workers as a c o r p o r a t i o n under that name on October 29, 1956 f ° r the f o l l o w i n g purposes and o b j e c t s : (a) to promote, develop, and sponsor a c t i v i t i e s a p propriate to the strengthening and u n i f i c a t i o n of the s o c i a l work p r o f e s s i o n ; (b) to encourage and a s s i s t i n the development of 1 I b i d . , p.7. 100. high p r o f e s s i o n a l standards amongst i t s members; (c) to promote the w e l l - b e i n g and development of i t s members as p r o f e s s i o n a l people; (d) to provide a means whereby the Corporation through i t s members may take a c t i o n on i s s u e s of s o c i a l w e l fare; (e) to e d i t a.nd p u b l i s h books, papers, j o u r n a l s , and other forms of l i t e r a t u r e r e s p e c t i n g s o c i a l work i n order to disseminate i n f o r m a t i o n to members of the Corporation as w e l l as to members of the p u b l i c ; ( f ) to encourage s p e c i a l i z e d studies i n s o c i a l work amongst i t s members and to provide a s s i s t a n c e and f a c i l i t i e s f o r s p e c i a l s t u d i e s and research; (g) to carry on such other a c t i v i t i e s i n r e l a t i o n to the foregoing as may be deemed a d v i s a b l e . The operations of the Corporation could be c a r r i e d on throughout Canada and elsewhere, w i t h the Corporation's head o f f i c e i n Ottawa. The Board of D i r e c t o r s was reappointed , 1 as d i r e c t o r s of the nextf Corporation. The Formation of the B r i t i s h Columbia A s s o c i a t i o n of S o c i a l Workers Several important f a c t o r s l e d t o the i n c o r p o r a t i o n of a p r o v i n c i a l a s s o c i a t i o n of s o c i a l workers i n B r i t i s h Columbia i n May, 1958, t h i r t y - t w o years a f t e r the formation 2 of the Canadian A s s o c i a t i o n of S o c i a l Workers. The p e c u l i a r geography and the d i f f e r e n c e s i n po p u l a t i o n c o n c e n t r a t i o n i n t h i s province w i t h t h e i r accompany-i n g d i f f i c u l t i e s i n t r a n s p o r t a t i o n and communication l e d to a sense of p h y s i c a l , p s y c h o l o g i c a l and p r o f e s s i o n a l i s o l a t i o n . The a v a i l a b l e supply of f u l l y q u a l i f i e d p r o f e s s i o n a l s o c i a l 1 "R. Harvey, " E d i t o r i a l " , The S o c i a l Worker, v o l . 2 5 , no. 3 . ( A p r i l 1957), PP. 2-3 . 2 D. Thompson, " B r i t i s h Columbia A s s o c i a t i o n of S o c i a l Workers - The F i r s t Year", The S o c i a l Worker, v o l . 27, no.4 (October 1959), PP. 48 - 4 9 . 101. workers could not meet the manpower demands of the p r o v i n c i a l department p r o v i d i n g welfare s e r v i c e s to the e n t i r e province. Consequently, an i n - s e r v i c e t r a i n i n g program had "been e s t a b l i s h e d by the department, employing l a r g e numbers of people, p r o f e s s i o n a l l y u n t r a i n e d , i n s o c i a l work p o s i t i o n s . These people, approximately two hundred i n 195&, were not e l l i g i b l e f o r membership i n the n a t i o n a l A s s o c i a t i o n , and t h e r e f o r e had l i t t l e " p r o f e s s i o n a l " s o c i a l work i d e n t i t y . A t h i r d f a c t o r was the growing f e e l i n g t h a t the p r o f e s s i o n a l p r a c t i c e of s o c i a l work i n B r i t i s h Columbia could not, w i t h -out adequate l e g a l r e c o g n i t i o n , secure proper p r o f e s s i o n a l s t a t u s . I t was f e l t by the B r i t i s h Columbia workers that these f a c t o r s were extremely d i f f i c u l t to overcome w i t h i n the s t r u c t u r e and methods a v a i l a b l e to the n a t i o n a l membership at t h a t time. Over a seven year p e r i o d the i d e a of forming a p r o v i n c i a l a s s o c i a t i o n which would remain i n harmony wit h the aims and o b j e c t i v e s of the C.A.S.W. and, so f a r as p o s s i b l e , w i t h i n the c o n s t i t u t i o n a l s t r u c t u r e of the n a t i o n a l organ-i z a t i o n , was d i s c u s s e d . ^ I n 1954 the membership of the three established, n a t i o n a l Branches i n B r i t i s h Columbia f o r m a l l y r a t i f i e d , a 3 committee to formulate plans f o r a p r o v i n c i a l o r g a n i z a t i o n . 1 I b i d . , p. 49. 2 I b i d . 3 R. Hawkes, " P r o v i n c i a l O r g a n i z a t i o n i n B r i t i s h Columbia, 1  The S o c i a l Worker, v o l . 26, no.3 ( A p r i l 1958), p. 5^-102. On the b a s i s of the rep o r t s of t h i s committee and i t s con-c l u s i o n t h a t major changes i n the n a t i o n a l a s s o c i a t i o n would be n e c e s s i t a t e d to permit p r o v i n c i a l o r g a n i z a t i o n , r a t i f i c a t i o n was gained f o r a study of the s i t u a t i o n by a N a t i o n a l Committee. I n May, 1958, the p r o v i n c i a l i n c o r p o r a t i o n was j i c a r r i e d out, and the B.C.A.S.W. was accepted as a corporate 2 member of the parent a s s o c i a t i o n . Voting delegates repre-sented the i n i t i a l membership a t the B r i t i s h Columbia group's f i r s t meeting. The essence of t h i s incorporation, was the i n t e r j e c t i o n of another l e v e l of operation i n t o the p r o v i n c i a l s t r u c t u r e to f i l l a recognized o r g a n i z a t i o n a l gap.-^ What were l o c a l o f f i c e s of the C.A.S.W. became p r o v i n c i a l branch o f f i c e s . The i n c o r p o r a t i o n was considered by the p r o v i n c i a l 4 xvorkers to be a major step i n the d i r e c t i o n of l i c e n c i n g which now, seven years l a t e r , i s s t i l l a subject under review. The r e v i s e d Code of E t h i c s which had been adopted by the membership of the n a t i o n a l body i n 195& w a s accepted by the newly formed B.C.A.S.W. without change.-^ The Formulation of the Code of E t h i c s S i x years a f t e r the founding of the Canadian 1 I b i d . 2 I b i d . 3 R. Hawkes, Interview with the w r i t e r , 2 December 1964. 4 Hawkes, op_. c i t . , p. 53. 5 Hawkes, OJD. c i t . 103. A s s o c i a t i o n of S o c i a l Workers i n 1926 the' subject of e t h i c s 1 as a.study p r o j e c t was undertaken. Appointed by the Assoc-i a t i o n ' s executive, a n a t i o n a l committee c o r r e l a t e d the e f f o r t s c a r r i e d on i n sub-committees, Board meetings and l o c a l branches throughout the country, and by 1938 "the f i r s t Code of E t h i c s f o r the Canadian A s s o c i a t i o n of S o c i a l Workers was drawn up and adopted on the vote of the o r g a n i z a t i o n a l member-shi p . . The n a t i o n a l committee continued f o r the next two years to review those matters r a i s e d i n connection, w i t h the implementation of the Code of E t h i c s and w i t h i t s r e p o r t e d v i o l a t i o n . I n 19^0 the committee was d i s c o n t i n u e d on a n a t i o n a l l e v e l on the d e c i s i o n that the n a t i o n a l Board of the A s s o c i a t i o n , or the l o c a l branches, by s p e c i a l committees appointed by the n a t i o n a l Board or the n a t i o n a l Executive, should implement the Code of E t h i c s c o n s t r u c t i v e l y and ensure t h a t those reviewed r e c e i v e a f a i r hearing. The l i t e r a t u r e of the Canadian A s s o c i a t i o n of S o c i a l Workers does not out-l i n e the reasons which prompted its members to develop a w r i t t e n Code of E t h i c s . I t i s generally.accepted that the primary purpose of s o c i a l work i s to promote s o c i a l w e l f a r e , and t h i s " r e s u l t s i n a c o n t i n u i n g concern f o r competence and q u a l i t y of s e r v i c e . " 3 S o c i a l work, as other p r o f e s s i o n s , 1 Maines, op_. c i t . , (October 1959)» p. 11. 2 I b i d . , p. 20. 3 H. B a r t l e t t , " R e s p o n s i b i l i t y of S o c i a l Work P r a c t i t - % i o n e r s and Educators Toward B u i l d i n g a Strong P r o f e s s i o n , " S o c i a l S e r v i c e Review, v o l . XXXIV, no.4 (December i 9 6 0 ), p . 3 8 0 . 104. stands f o r something which i t deems h i g h l y e s s e n t i a l to the common good of s o c i e t y , and which i t s p r a c t i t i o n e r s f i r m l y "believe they have a unique p a r t i n p r o v i d i n g as a s e r v i c e to the r e s t of s o c i e t y . " This s e r v i c e i d e a l i s t r a n s l a t e d i n t o a c t i o n by competent performance based on broad p r i n c i p l e s > c o l l e c t i v e l y understood, adjudged, formulated and sponsored by the p r o f e s s i o n a l group. Such a process c a l l s f o r an i d e a l of c o n t r o l l e d conduct - recommended, r e g u l a t e d behavior which i s . c o n s i d e r e d (by the p r a c t i t i o n e r s ) most l i k e l y to r e s u l t i n the achievement of the goals on which the p r o f e s s i o n i s focused. The s e r v i c e and conduct i d e a l s are gathered together i n t o a body of p r i n c i p l e s called, e t h i c s , and c o d i f i e d i n t o p e r s c r i p t i o n s of recommended beha.vior. Although l i t t l e has been w r i t t e n on t h i s stage of the development of Canadian s o c i a l work, i t i s reasonable to conclude that the 1938 Code of E t h i c s of the n a t i o n a l A s s o c i a t i o n provided a more formal b a s i s on which p r a c t i t i o n e r s were to make d e c i s i o n s regarding t h e i r p r o f e s s i o n a l conduct and the q u a l i t y of t h e i r performance. I t i s a l s o reasonable to conclude that the Code of E t h i c s was a r e g u l a t o r y device designed to p r o t e c t both the p u b l i c and the p r o f e s s i o n a l p r a c t i t i o n e r s from abuses and incompetence on the p a r t of those seeking to p r a c t i c e without adequate academic and per-sonal q u a l i f i c a t i o n s . For the f i r s t time, Canadian workers . 1. . M. . Pumphrey, The Teaching'of Values and E t h i c s i n  S o c i a l Work Education, New York, S o c i a l Work Co u n c i l on Education, 1959, p.8. 105. set out i n "written form a statement o u t l i n i n g the p r i o r i t i e s of t h e i r values i n order to e s t a b l i s h , develop, maintain, and i n s u r e adherence to s e r v i c e standards i n a knowledgeable and informed manner that the general p u b l i c could not e f f i c i -e n t l y do. By p u b l i s h i n g the Code of E t h i c s the members of the Canadian A s s o c i a t i o n of S o c i a l Workers were openly pro-c l a i m i n g t h e i r commitment to the p u b l i c whose confidence i n t h e i r work was, no doubt, expected to be i n c r e a s e d by such s x t i o n , and who would, t h e r e f o r e , a t t r i b u t e greater r e c o g n i -t i o n , s t a t u s and p r e s t i g e to the p r o f e s s i o n a l group, thereby o b t a i n i n g greater s o c i e t a l s a n c t i o n f o r p r a c t i c e , and enhan-c i n g the s o c i a l workers p u b l i c image. The p o s s i b i l i t y of promulgating and e n f o r c i n g recognized standards based on asserted p r o f e s s i o n a l p r i n c i p l e s and. c o d i f i e d r e g u l a t i o n s , and of assessing and censuring the v i o l a t i o n of these standards was thought to be augmented. D e s c r i p t i o n and C r i t i c a l A n a l y s i s of the Content of the Code of E t h i c s Since the o r i g i n a l Code of E t h i c s was adopted by the membership of the Canadian A s s o c i a t i o n of S o c i a l Workers i n 1938, there have been major r e v i s i o n s i n 1956 saa^- 1964. The circumstances l e a d i n g to these r e v i s i o n s and the methods by which they were brought about w i l l be discussed f u l l y i n the s e c t i o n r e l a t e d to the R e v i s i o n and Review of the Code of  E t h i c s . I n b r i e f , the number and nature of requests f o r con-s u l t a t i o n from the branch o f f i c e s of the A s s o c i a t i o n to the N a t i o n a l Committee on E t h i c s are used as i n d i c a t o r s of the 106. n e c e s s i t y of r e v i s i n g the Code i n order to render i t more up-to-date, e f f i c i e n t , v a l i d , and adequate to i n c i d e n t s a r i s -i n g i n the f i e l d of p r a c t i c e , and to e l i m i n a t e from i t m a t e r i a l t h a t appears to be extraneous, or p r i m a r i l y r e l a t e d to the area of personal p r a c t i c e . The 1964 Code, adopted by the A s s o c i a t i o n ' s member-ship i n June of t h a t year, i s a h i g h l y s i m p l i f i e d and abbrev-i a t e d e d i t i o n which i s d i v i d e d i n t o one s e c t i o n s t a t i n g the g u i d i n g p r i n c i p l e s of the p r o f e s s i o n , ©rid a second s e c t i o n o u t l i n i n g the r u l e s of conduct deri v e d from these p r i n c i p l e s . I n t h i s s e c t i o n the main p r o v i s i o n s and f e a t u r e s of the 1964 Code of E t h i c s and t h e i r r e l a t i o n s h i p s to the p r o v i s -ions and f e a t u r e s of the 1938 and 1956 Codes of E t h i c s w i l l be described and c r i t i c a l l y commented upon from the p o i n t of viex* of t h e i r o p e r a t i o n a l s p e c i f i c i t y and a p p l i c a t i o n to p r a c t i c e , ( i ) Guiding P r i n c i p l e s The CASW introduces the 1964 Code of E t h i c s by s t a t i n g thats "the p r o f e s s i o n of s o c i a l work i s based upon 1 a humanitarian concern f o r the welfare of people i n s o c i e t y . " T h i s b a s i s does not d i s t i n g u i s h the s o c i a l work p r o f e s s i o n from countless others which express an i d e n t i c a l concern. The stated, a f f i r m a t i o n s of human d i g n i t y , worth, and r i g h t s r e i t e r a t e s democratic p r i n c i p l e s that are g e n e r a l l y recognized as the " o f f i c i a l " ideology of most western c o u n t r i e s . 1 Canadian A s s o c i a t i o n of S o c i a l Workers, "Guiding P r l n c i p l Code of E t h i c s , Ottawa, Canadian A s s o c i a t i o n of S o c i a l Workers 1064, p. 1. 107. S o c i a l work's p a r t i c u l a r c o n t r i b u t i o n to the en-hancement of human w e l l - b e i n g , . i s , according to the Code of E t h i c s , through two main channels t the p r o v i s i o n and d e v e l -opment of appropriate s e r v i c e s , and the promotion of s o c i a l p l a n n i n g and a c t i o n . This undefined statement i s open to i n e v i t a b l e d i f f i c u l t i e s i n i n t e r p r e t a t i o n . The Code does not i n d i c a t e on what b a s i s a s e r v i c e i s deemed to be appropriate or w i t h whom the d e c i s i o n l i e s . Such s e r v i c e s could con-c e i v a b l y be appropriate to the c l i e n t s ' needs or to the com-petency of the i n d i v i d u a l p r a c t i t i o n e r or to the budgetary a l l o t t m e n t of the l e g i s l a t u r e or the agency board of d i r e c t -o r s . There are a d d i t i o n a l i m p l i c a t i o n s from t h i s statement i f appropriate i n c l u d e s i n i t s meaning any concept of ade-quacy. The a l l e g e d competency of the s o c i a l worker to under-take s o c i a l planning and a c t i o n w i l l be discussed under the heading of I m p l i c a t i o n s of the Code of E t h i c s f o r S o c i a l  P o l i c y . I t i s not c l e a r i n the Code i f the worker's respon-s i b i l i t y i s r e l a t e d only to the p r o v i s i o n and development of appropriate s e r v i c e s , or i f he i s to be committed to pro-mote a l l s o c i a l planning and a c t i o n which he has i n t e r p r e t e d to be a p o t e n t i a l enhancement of human w e l l - b e i n g . These observations may be dismissed as an i r r e s p o n -s i b l e manipulation of concepts, the meaning of which are h e l d t o be s e l f - e v i d e n t to p r a c t i t i o n e r s . However, the A s s o c i a t i o n claims as i t s r e s p o n s i b i l i t y the education of s o c i a l workers. 1 I b i d . 108. I t would seem reasonable to base such p r o f e s s i o n a l education on p r i n c i p l e s that are w e l l d e f i n e d , c l e a r l y a r t i c u l a t e d , and open to a minimal degree of ambiguity i n i n t e r p r e t a t i o n . This statement r e q u i r e s greater emphasis since the A s s o c i a t i o n i s , i n theory, attempting to educate a l l s o c i a l workers r e -gardless of t h e i r academic q u a l i f i c a t i o n s or experience. I n the opening s e c t i o n of the Code, the A s s o c i a t i o n s t a t e s that "the r u l e of conduct d e r i v e d from these p r i n c i p l e s apply to a l l s o c i a l workers i n t h e i r p r o f e s s i o n a l r e l a t i o n s h i p s and p r a c t i c e . " 1 I t f o l l o w s t h a t i f f u l l y q u a l i f i e d workers w i t h the advantage of p r o f e s s i o n a l education f i n d the p r i n c i p l e s too broad to d e r i v e any meaningful i m p l i c a t i o n s f o r t h e i r p r a c t i c e , the u n t r a i n e d workers w i l l i n e v i t a b l y encounter the same d i f f i c u l t y . S o c i a l work's c l a i m to competence i n c a r r y i n g out i t s s t a t e d d u t i e s i s that': " i t has developed methods of p r a c t i c e based on experience w i t h and s c i e n t i f i c knowledge about i n d i v i d u a l s , groups and communities and t h e i r i n t e r -2 r e l a t i o n s " . I t may be pointed out here that the s c i e n t i f i c b a s i s of s o c i a l work has been challenged throughout the p r o f e s s i o n ' s growth. The question of whether s o c i a l work i s a science or an a r t or both i s a long standing one even w i t h -i n the p r o f e s s i o n i t s e l f . According to the Code, "the worker assumes respon-1 I b i d . 2 I b i d . 109. s i b i l i t y f o r i n c r e a s i n g h i s own knowledge and the knowledge content which u n d e r l i e s p r o f e s s i o n a l p r a c t i c e . " ^ I t would be unwise to conclude that the A s s o c i a t i o n does not a l s o recognize the r e s p o n s i b i l i t y of s u p e r v i s o r s , c o n s u l t a n t s , agency d i r e c t o r s and other s o c i a l work personnel to educate p r a c t i t i o n e r s , but the s t a t e d p r i n c i p l e , as i t stands, i s incomplete. Another p r i n c i p l e that gives r i s e to questions i s that the s o c i a l worker " s t r i v e s to i n s u r e that a l l p r o f e s -s i o n a l tasks are performed by p r o f e s s i o n a l l y educated people." This i s laudable i n theory, but i n p r a c t i c e i t i s disregarded out of r e a l i s t i c n e c e s s i t y . I f the A s s o c i a t i o n holds t h i s p r i n c i p l e to be e t h i c a l l y sound, then one i m p l i c a t i o n could be that a l l i n - s e r v i c e t r a i n i n g programs to prepare people without p r o f e s s i o n a l education f o r s o c i a l work p o s i t i o n s are u n e t h i c a l , and t h a t agencies and personnel i n v o l v e d i n a d m i n i s t e r i n g such programs are behaving i n a manner that i s not consonant w i t h s t a t e d s o c i a l work p r i n c i p l e s . The am-b i g u i t y of the s i t u a t i o n i s increased by the f a c t that the BCASW a,ccepts as members people without p r o f e s s i o n a l education who, by v i r t u e of t h e i r membership, agree to uphold the e t h i c a l standards of the p r o f e s s i o n . To f o l l o w the i m p l i -c a t i o n s to t h e i r l o g i c a l c o n c l u s i o n , i t would appear that these i n - s e r v i c e t r a i n e d members are agreeing to s t r i v e to 1 I b i d . 2 I b i d . 110. i n s u r e t h a t they w i l l not perform the p r o f e s s i o n a l tasks i n -volved- i n t h e i r p o s i t i o n s . Such a commitment would create an inescapable r o l e c o n f l i c t because i t i s to perform these very tasks tha-t the agencies have h i r e d them. Both the t r a i n e d and the u n t r a i n e d worker are placed i n an impossible s i t u -a t i o n i f they are to regard t h i s s e c t i o n of the Code of E t h i c s w i t h any degree of seriousness. The worker i s not f r e e to choose to observe only those s e c t i o n s of the Code t h a t appear to him to be i n t e l l i g a b l e . Where then i s he to stand? The i n t e n t of the A s s o c i a t i o n may have been much d i f f e r e n t from t h i s avenue of i n t e r p r e t a t i o n , but the answer i s not obvious from the Code of E t h i c s i t s e l f . ( i i ) Rules of Conduct The 1964 Code of E t h i c s l i s t s ten r u l e s of conduct which pex-tain to and attempt to d e f i n e e t h i c a l l y the r o l e s of the s o c i a l worker i n r e l a t i o n to c l i e n t s , c olleagues, agency, community and p r o f e s s i o n . T h i s framework has been used by the three e d i t i o n s of the Code of E t h i c s formulated by the Canadian A s s o c i a t i o n of S o c i a l Workers, although the emphasis and i m p l i c a t i o n s w i t h i n each area have changed as the Codes are p e r i o d i c a l l y r e v i s e d , (a) C l i e n t R e l a t i o n s h i p s The f i r s t three r u l e s of conduct i n the 1964 Code of E t h i c s p e r t a i n to the r o l e the worker i s to perform i n 1 I b i d . , pp. 1-2. i l l . r e l a t i o n to h i s c l i e n t s . The primary o b l i g a t i o n of the s o c i a l worker to the w e l f a r e of the c l i e n t s served i s a core concept i n a l l the s o c i a l work Codes of E t h i c s . However, the new Code has omit-ted the r e c o g n i t i o n i n the previous e d i t i o n s of "the r i g h t and r e s p o n s i b i l i t i e s of persons and groups served to make t h e i r own d e c i s i o n s and to a c t f o r themselves unless they give t h i s a u t h o r i t y to the agency or unless the agency must act i n a p r o t e c t i v e r o l e to safeguard the persons or the 1 community." This would seem to be an important omission, not adequately s p e l l e d out i n the 1964 Code by the summary statement that s o c i a l work "recognizes (the c l i e n t ' s ) r i g h t 2 to be d i f f e r e n t , " which i s not i d e n t i c a l w i t h r e c o g n i z i n g t h e i r r i g h t to e x e r c i s e those d i f f e r e n c e s . There i s no c l e a r guidance i n the new Code about how the worker i s . e t h i c a l l y to coordinate h i s o b l i g a t i o n to the welfare of h i s c l i e n t s and h i s r e s p o n s i b i l i t y to s o c i e t y . The same ambiguity i s found i n the r u l e p e r t a i n i n g to con-f i d e n t i a l i t y which w i l l be discussed s e p a r a t e l y . An example of t h i s l a c k of c l a r i t y i n the Code as a guide to p r a c t i c a l p r o f e s s i o n a l behavior may make t h i s observation ea-sier to grasp. I n the course of p r o f e s s i o n a l work the c l i e n t r e v e a l s 1 Canadian A s s o c i a t i o n of S o c i a l Workers, " P r i n c i p l e s of P r o f e s s i o n a l Conduct," Code of E t h i c s , Ottawa, Canadian A s s o c i a t i o n of S o c i a l Workersj 1956, p . l . 2 Canadian A s s o c i a t i o n of S o c i a l Workers, "Guiding P r i n c i p l e s , " pp. c i t . 112» to the worker that he i s i n v o l v e d i n i l l e g a l a c t i v i t i e s . The worker must decide vihether to inform the a u t h o r i t i e s and expose the c l i e n t to i n c a r c e r a t i o n and f a m i l i a l repercussions t h a t w i l l be i n j u r i o u s to h i s w e l f a r e , or to w i t h o l d the i n f o r m a t i o n , and p r o t e c t h i s c l i e n t ' s w e l f a r e a t the expense of s o c i e t y ' s . This i s not to say that such a s i t u a t i o n can-not be prevented or solved, but i t does say t h a t the Code of E t h i c s gives no i n d i c a t i o n about p r a c t i c a l Issues such as the one c i t e d . The word " o b l i g a t i o n " s i g n i f i e s a l e g a l or moral commitment. The p r o f e s s i o n a l A s s o c i a t i o n i t s e l f i s not l e g a l l y recognized as having a u t h o r i t y over i t s members. Other than i n c e r t a i n areas of p r o f e s s i o n a l work where the p r a c t i t i o n e r ha,s s p e c i f i c l e g a l powers granted by l e g i s l a t i o n , s o c i a l workers are bound only i n the moral sense. There i s no reason to doubt th a t the p r o f e s s i o n i s composed of people whose sense of moral r e s p o n s i b i l i t y v a r i e s , as i n a l l human groups. This places greater emphasis on the need f o r d e f i n i t e , i n t e l l i g i b l e standards. The second r u l e of conduct f o r . t h i s area i s that "the s o c i a l worker holds himself r e s p o n s i b l e f o r the q u a l i t y of h i s p r o f e s s i o n a l performance." This r u l e i s sound but i t i s incomplete. I f t h i s r u l e i s j u s t i f i e d as p a r t of the Code of lEt h i c s , then to be workable i t would seem ad v i s a b l e 1 'Canadian. A s s o c i a t i o n of S o c i a l Workers, "Rules of Con-duct," Code of E t h i c s , Ottawa, Canadian A s s o c i a t i o n of S o c i a l Workers, 1964, p.1. 113. to i n c l u d e t h a t the worker i s not a f r e e agent s o l e l y r e -sponsible to h i m s e l f , but a l s o to h i s immediate s u p e r i o r s , h i s agency, h i s p r o f e s s i o n and h i s community. There i s a problem i n d e f i n i n g the word " q u a l i t y " of p r o f e s s i o n a l per-formance. I f q u a l i t y i m p l i e s r e l a t i v e m e r i t , then there i s a need to define to what tha t m e r i t i s r e l a t i v e , and by whom i t i s decided. I f q u a l i t y of performance i n c l u d e s i n c o r p o r -a t i o n of the e t h i c a l p r i n c i p l e s and r u l e s of conduct, then the p r a c t i t i o n e r i s at a disadvantage when these areas are ambiguous and subject to wide i n t e r p r e t a t i o n . The t h i r d r u l e of conduct p e r t a i n s to co n f i d e n t -i a l i t y both i n the area of c l i e n t r e l a t i o n s h i p s and i n . colleague r e l a t i o n s h i p s . This r u l e was f i r s t i n c l u d e d i n the Code of E t h i c s i n 195& a * i d may be considered a core concept. During the 1956-58 b i e n n i e l p e r i o d the E t h i c s Committee of the Toronto Branch undertook the study f o r the N a t i o n a l Committee on E t h i c s , and r a i s e d sound i s s u e s r e l a t e d to t h i s r u l e . The Committee recognizes that the Code of E t h i c s provides the foundation f o r miany of the p o l i c i e s of s o c i a l 3 agencies. Agencies were even then asking f o r f u r t h e r c l a r i f i c a t i o n of the Code to develop p o l i c i e s to cover s p e c i f i c 1 Canadian A s s o c i a t i o n of S o c i a l Workers, " P r i n c i p l e s of P r o f e s s i o n a l Conduct," op_. c i t . 2 E t h i c s Committee, Toronto Branch of the Canadian A s s o c i a t i o n of S o c i a l Workers, " C o n f i d e n t i a l i t y , " The S o c i a l  Worker, v o l . 26, no.4 (June 1958), pp. 6-24. 3 I b i d . , p.7. circumsta-nces, w i t h conspicuous prominence given to the •i p r i n c i p l e of c o n f i d e n t i a l i t y . According to the Toronto Com-mit t e e , c o n f i d e n t i a l i t y i s not a means of preventing c l i e n t s from us i n g o p p o r t u n i t i e s to p a r t i c i p a t e i n programs of s o c i a l a c t i o n and p u b l i c education. I t i s not "a l e g i t i m a t e means of convincing oneself and the p u b l i c of the preciousness of one's work. I t i s not a resource f o r covering up weaknesses and mistakes t h a t are i n e v i t a b l e i n every p r o f e s s i o n . , I t i s not a weapon f o r d i s c i p l i n i n g - other groups and agencies. C o n f i d e n t i a l i t y , as everyone i s ready to concede i n t e l l e c t u a l l y , i s a p r i n c i p l e to be used i n the s e r v i c e of c l i e n t s , to meet c e r t a i n d e f i n a b l e needs and to acknowledge the r i g h t s of c l i e n t s t o s e l f - d e t e r m i n a t i o n . I t does not i n v a r i a b l y take precedence over a l l other concepts, r e s p o n s i b i l i t i e s and r i g h t s , but c o n s t i t u t e s one s i g n i f i c a n t f a c t o r i n the t o t a l philosophy and knowledge of the p r o f e s s i o n . The new Code of E t h i c s , formulated s e v e r a l years a f t e r the p u b l i c a t i o n of t h i s r e p o r t , gives no i n d i c a t i o n of the A s s o c i a t i o n ' s d e f i n i t i o n of t h i s p r i n c i p l e and r u l e of conduct. There i s no reason to b e l i e v e t h a t a l l p r a c t i t i o n e r s e n t i r e l y agree about e i t h e r i t s meaning or i t s implementation. The i n t e r p r e t a t i o n of t h i s p r i n c i p l e would determine i t s use i n p r a c t i c e , and i t f o l l o w s that i t s use would not n e c e s s a r i l y be c o n s i s t e n t i n d i f f e r e n t agency s e t t i n g s , provinces or n a t i o n . 1 I b i d . 2 I b i d , p. 9. 115. The worker i s allowed, according to the Code of E t h i c s , to r e v e a l c o n f i d e n t i a l i n f o r m a t i o n f o r p r o f e s s i o n a l purposes. There i s no i n d i c a t i o n of what the worker may e t h i c a l l y consider to be a v a l i d p r o f e s s i o n a l purpose. I n t h i s area there i s confusion about r e l e a s i n g i n f o r m a t i o n to law enforcement agencies, c r e d i t bureaus, community c h a r i t y o r g a n i z a t i o n s , volunteer workers, and even other s o c i a l work agencies. L e g a l l y , the worker has no grounds to refuse i n f o r m a t i o n to law enforcement agencies. M o r a l l y he cannot guarantee t h e , c l i e n t absolute c o n f i d e n t i a l i t y . I t would appear that the worker has an e t h i c a l o b l i g a t i o n , not recog-n i z e d i n the Code to i n t e r p r e t to the c l i e n t h i s p o s i t i o n concerning c o n f i d e n t i a l i n f o r m a t i o n , and to c l a r i f y under what c o n d i t i o n s the c l i e n t ' s r i g h t s i n t h i s area, are l i m i t e d and f o r f e i t e d . The question of the c l i e n t ' s r i g h t to p a r t i c i -pate i n the d e c i s i o n to share i n f o r m a t i o n i s not covered by the Code, and i s l e f t to the d i s c r e t i o n of the p r a c t i t i o n e r and h i s employing agency. The same type of problem e x i s t s when a worker exer-c i s e s h i s r i g h t to use the grievance procedures of h i s union as an a l t e r n a t i v e to h i s p r o f e s s i o n a l a s s o c i a t i o n . Because a l l i n f o r m a t i o n acquired i n the course of p r a c t i c e i s con-si d e r e d to be c o n f i d e n t i a l , i t i s questionable that a worker could e x e r c i s e t h i s r i g h t granted by the N a t i o n a l Executive of the CASW without v i o l a t i n g the r u l e re c o n f i d e n t i a l i t y . 1 'Canadian A s s o c i a t i o n of S o c i a l Workers, "Rules of Con-duct," op_. c i t . 116. When i n f o r m a t i o n i s revealed f o r p r o f e s s i o n a l pur-poses, " i t i s done w i t h discernment and regard f o r the persons concerned." x The p o s s i b i l i t y of c a r r y i n g t h i s r u l e i n t o p r a c t i c e under these c o n d i t i o n s i s g r e a t l y reduced unless the p r a c t i t i o n e r i s given a c l e a r understanding about what e t h i c a l l y c o n s t i t u t e s a p r o f e s s i o n a l purposes. The p r a c t i c a l a p p l i c a t i o n of t h i s r u l e I s severely l i m i t e d by the general-i z e d terminology i n which i t i s set out. (b) Colleague R e l a t i o n s h i p s The r o l e of the worker i n t h i s area i s considered i n the three e d i t i o n s of the Canadian s o c i a l work Codes of E t h i c s . I n 1938, the recommendation was f o r honesty, f a i r -ness, open-mindedness, and the a p p r e c i a t i o n of the p a r t each 2 played i n the p r o f e s s i o n a l f i e l d . I n 1956, the worker was to respect the p o s i t i o n , accomplishments, and d i f f e r e n c e s i n o p i n i o n of h i s colleagues and to act i n a way t h a t would help them f u l f i l t h e i r r e s p o n s i b i l i t i e s . By 1964, he t r e a t s w i t h 4 respect the statements and a c t i o n s of h i s colleagues. The l a s t two Codes o b l i g e the worker to express h i s judgment through e s t a b l i s h e d , p r o f e s s i o n a l l y approved channels. The 1 I b i d . • 2 Canadian A s s o c i a t i o n of S o c i a l Workers, Code of E t h i c s , Ottawa, Canadian A s s o c i a t i o n of S o c i a l Workers, 1938, p . l . 3 Canadian A s s o c i a t i o n of S o c i a l Workers, " P r i n c i p l e s of P r o f e s s i o n a l Conduct," op. c i t . , p.2. 4 'Canadian A s s o c i a t i o n of S o c i a l Workers, "Rules of Con-duct," OJD. c i t . 117. 195^. Code r e s t r i c t e d such judgment to "matters r e l a t i v e to 1 p r o f e s s i o n a l performance." The l a t e s t e d i t i o n gives the worker the e t h i c a l r i g h t to express personal judgment on matters of h i s colleagues statements and a c t i o n s without a w r i t t e n l i m i t a t i o n on those areas about which judgment may be expressed. T h e o r e t i c a l l y then a p r a c t i t i o n e r may be considered u n e t h i c a l i n the areas of personal l i v i n g i f that behavior can be r e l a t e d to the Code of E t h i c s . ( I n p r a c t i c e such behavior would more probably be d e a l t w i t h under Personal P r a c t i c e s ) . The im-p l i c a t i o n i n the Code i t s e l f i s i n c o n s i s t e n t w i t h the e a r l i e r statement i n the Guiding P r i n c i p l e s that "the Rules of Con-duct apply to a l l s o c i a l workers i n t h e i r p r o f e s s i o n a l r e -2 l a t i o n s h i p s and p r a c t i c e " . To be c o n s i s t e n t , t h i s r u l e r e -q u i r e s r e v i s i o n along the l i n e s of the 1956 Code. Not s i n c e 1938 has there been a r u l e of conduct s p e c i f i c a l l y p e r t a i n i n g to the p r a c t i t i o n e r ' s personal l i f e . This r u l e read that "a s o c i a l worker should so c o n t r o l h i s personal a c t i v i t i e s t h a t he does not impair h i s p r o f e s s i o n a l c a p a b i l i t i e s nor 3 b r i n g adverse c r i t i c i s m upon h i s p r o f e s s i o n . " The second r u l e p e r t a i n i n g to the area of colleague 1 Canadian A s s o c i a t i o n of S o c i a l Workers, " P r i n c i p l e s of P r o f e s s i o n a l Conduct," op_. c i t . 2 Canadian A s s o c i a t i o n of S o c i a l Workers, "Guiding P r i n -c i p l e s , " p j D . c i t . 3"Canadian A s s o c i a t i o n of S o c i a l Workers, Code of E t h i c s , (1938), p . l . 113. r e l a t i o n s h i p s r e q u i r e s the s o c i a l worker to "work cooperat-i v e l y w i t h other p r o f e s s i o n a l d i s c i p l i n e s w i t h due regard to 1 t h e i r recognized area of competence." The Code does not enlarge upon i t s d e f i n i t i o n of due regard, and recognized area of competence, or i n d i c a t e i f these are dependent upon the i n t e r p r e t a t i o n of the A s s o c i a t i o n , the i n d i v i d u a l s o c i a l worker or the other d i s c i p l i n e . Another p o i n t i s that s o c i a l workers do not work w i t h other p r o f e s s i o n a l d i s c i p l i n e s as such, but w i t h r e p r e s e n t a t i v e s of those d i s c i p l i n e s whose competence humanly v a r i e s . C e r t a i n l y t h i s v a r i a t i o n of com-petence w i l l enter i n t o the degree of due regard granted to the member of the other d i s c i p l i n e . (c) Agency R e l a t i o n s h i p s The one r u l e of conduct s p e c i f i c a l l y r e l a t e d to the worker's r o l e i n connection w i t h h i s agency s t a t e s that "the s o c i a l worker performs h i s p r o f e s s i o n a l f u n c t i o n s only i n c o n d i t i o n s that permit him to f o l l o w these Rules of Con-p duct". The s o c i a l worker has no e t h i c a l o b l i g a t i o n to work according to agency p o l i c i e s or procedures or to work to improve standards when they are inadequate or improperly implemented. By omission of such clauses which have been i n c l u d e d i n both previous Codes of E t h i c s , the A s s o c i a t i o n would seem to be i m p l y i n g t h i s . On the other hand, as long 1 .'.Canadian A s s o c i a t i o n of S o c i a l Workers,' "Rules of Con-duct," op. c i t . , p.2. 2 I b i d . as the other Rules of Conduct are so open to v a r i a b l e i n t e r -p r e t a t i o n , no worker would need to f e e l o b l i g a t e d to terminate employment on t h i s s p e c i f i c b a s i s unless c o n d i t i o n s become so b l a t a n t l y i n a p p r o p r i a t e and improper that even the most g e n e r a l i z e d r u l e would apply. (d) P r o f e s s i o n a l O r g a n i z a t i o n R e l a t i o n s h i p s The seventh r u l e of conduct deals w i t h the worker's r o l e i n r e l a t i o n to h i s p r o f e s s i o n a l o r g a n i z a t i o n and those ins t a n c e s i n which he undertakes p u b l i c statements or a c t i o n s . This r u l e seems to be c l e a r and i n t e l l i g i b l e , but i t leaves the d e c i s i o n about what c o n s t i t u t e s p u b l i c utterance to the agency and the p r a c t i t i o n e r . (e) Community R e l a t i o n s h i p s The l a s t three r u l e s p e r t a i n to the worker's r o l e i n r e l a t i o n to the community. He i s r e s p o n s i b l e to "render 2 appropriate s e r v i c e i n a p u b l i c emergency." Since these r u l e s are supposed to apply to p r o f e s s i o n a l r e l a t i o n s h i p s and p r a c t i c e , i t must be assumed that such s e r v i c e would be r e l a t e d to the worker's competency as a p r o f e s s i o n a l person. The d e f i n i t i o n of the word "appropriate" i s again l e f t w i t h the worker. "The s o c i a l worker ac t s i n a r e s p o n s i b l e manner to 1 I b i d . 2 I b i d . 120. p r o t e c t the community against p r a c t i c e s harmful to human welfa r e . " This i s a very broad r u l e , again open to wide i n t e r p r e t a t i o n w i t h r e l a t i o n to what p r a c t i c e s are considered to be harmful to human w e l f a r e . The Code does not c l a r i f y whether the s o c i a l worker's r e s p o n s i b i l i t y here i s r e l a t e d only to u n e t h i c a l p r a c t i c e s w i t h i n the p r o f e s s i o n , or whether he i s expected to act i n any and a l l s i t u a t i o n s , t h a t he i n t e r -p r e t s to be harmful. The f i n a l r u l e has appeared i n a s i m i l a r form i n i the three e d i t i o n s of the Codes of E t h i c s . The 1964 r u l e s t a t e s that "the s o c i a l worker accepts r e s p o n s i b i l i t y to con-t r i b u t e h i s knowledge and s k i l l to the s t i m u l a t i o n , develop-ment and. support of programmes of s o c i a l w e l f a r e . " ^ The i m p l i c a t i o n s of the Code of E t h i c s f o r s o c i a l p o l i c y and sections w i l l be discussed i n a separate sub-section. Promulgation of the Code of E t h i c s The S o c i a l Worker, the o f f i c i a l organ of the Canadian'Association of S o c i a l Workers, i s one of the channels through which s o c i a l workers and the p u b l i c may be made f a m i l i a r w i t h the Code of E t h i c s . The magazine i s published, i n Ottawa four times a year i n the months of January, A p r i l , June, and October. From October, 1949, to October, 1962, a t h i r t e e n year p e r i o d covering 52 i s s u e s , we were able to 1 I b i d . 2 I b i d . l o c a t e only two a r t i c l e s which d e a l t s p e c i f i c a l l y and i n d e t a i l 1 2 w i t h the Codes of E t h i c s , ' although there were s e v e r a l a r t i c l e s on c l o s e l y r e l a t e d t o p i c s i n c l u d i n g goals i n pro--3 4 f e s s i o n a l standards,-' undergraduate and p r o f e s s i o n a l education, the growth of the p r o f e s s i o n a l , a s s o c i a t i o n s i n Canada and B r i t i s h C o l u m b i a , p r o f e s s i o n a l i s m , 1^ ~15 l i c e n c i n g , ^ a n d 1 E t h i c s Committee, Toronto Branch of the Canadian A s s o c i a -t i o n of S o c i a l Workers, op. c i t . , pp.6-24. 2 A. Roy, "Code of E t h i c s , " The S o c i a l Worker, v o l . 2 3 , no. 1 (October 1954), pp. 4 - ? . 3 J . Maines, "Goals i n P r o f e s s i o n a l Standards," : The S o c i a l Worker, v o l . 18, no. 1 (October 1949), pp. 11-16. 4 E. P e r r e t z , " A ' C r i t i c a l Review of Undergraduate Educa.-t i o n f o r S o c i a l Work," The S o c i a l Worker, v o l . 30, no..4, (October 1962), pp. 5 - l 4 . 5 A. T a y l o r , "The R e s p o n s i b i l i t y of P r o f e s s i o n a l Member-ship. A s s o c i a t i o n s f o r S o c i a l Work Education,"- The S o c i a l  Worker, v o l . 20, no. 2 (December 1951)> PP« 1-8. 6 G.'Clarke, "How the CASW Began," The S o c i a l Worker, v o l . 19, no. 4 ( A p r i l 1951) »- PP. 1-2. 7 Laycock, op_. c i t . , pp. 1-2. • . 8 Maines, pp. c i t . (December- 1953)» PP. 3-10. 9 E. Thomas, "The Development of the Program I n the B.C. Mainland Branch, CASW," The S o c i a l Worker, v o l . 22, no.2 (December 1953)> PP- 11-15. 10 F. C h r i s t i e , "Whither CASW - an I n t e r i m Report," The S o c i a l Worker, v o l . 22, no. 4 ( A p r i l 1954), pp. 1-3* 11 Hawkes, op_. c i t . , pp. 52-56. 12 Maines, op_. c i t . , (October 1959), PP. 5-45. 13 Thompson, ojo. c i t . , pp. 48 -54. 14 S. Bowers, "Some R e f l e c t i o n s on Being a Member of a Pro-f e s s i o n , " The S o c i a l Worker, vol.24, n o . l (October 1955)»PP«1-6. 15 D.Donhison, "The S o c i a l Work P r o f e s s i o n , " The S o c i a l Work-er, v o l . 2 5 , no.3 ( A p r i l 1957), pp.. 26-31. 16 E. Richardson, " S i g n i f i c a n c e of L i c e n c i n g and I t s I m p l i c a -122. 1 membership standards f o r the p r o f e s s i o n a l body. I t would not appear from t h i s sampling t h a t t h i s channel i s used ex-t e n s i v e l y f o r educational purposes i n r e l a t i o n to the Code of E t h i c s i t s e l f . Another a v a i l a b l e channel f o r the purpose of i n -formation g i v i n g and education i s the c i r c u l a t i o n of the Code of E t h i c s to agencies and to s o c i a l workers. U n t i l the pre-sent time i t has not been the p r a c t i c e of the B r i t i s h Columbia A s s o c i a t i o n of S o c i a l Workers through which a l l a p p l i c a t i o n s f o r p r o v i n c i a l and n a t i o n a l membership from t h i s province are made to m a i l copies of the Code to i n d i v i d u a l s j o i n i n g the A s s o c i a t i o n or to members when r e v i s e d Codes are adopted, de s p i t e the f a c t that membership i n c l u d e s a signed pledge to 2 uphold, the e t h i c a l standards of the p r o f e s s i o n . The current P r e s i d e n t of the BCASW was unable to v e r i f y i f the n a t i o n a l A s s o c i a t i o n mails copies of the Code to i t s members.-^ I t was not p o s s i b l e to o b t a i n any i n f o r m a t i o n about t h i s or any of the other t o p i c s considered i n t h i s study from the CASW o f f i c e i n Ottawa. The pressures of work on the n a t i o n a l l e v e l allowed "only very l i t t l e a t t e n t i o n " to be given to our en-q u i r y of January 10, 1965, and a f t e r reviewing the i n f o r m a t i o n t i o n s f o r S o c i a l Work," The S o c i a l Worker, v o l . 27, n o . l (January 1959), PP. 15-20. 1 V. Munns and N. Knight, "Should We Raise' the Membership Requirements f o r the CASW?" The S o c i a l Worker, v o l . 29, no. 1 (January 1961), pp. 3-8. 2 R. Hawkes, Interview w i t h the w r i t e r , 12 March, 1965. 3 I b i d . 123. on f i l e , the Executive D i r e c t o r was "not able to come up w i t h 1 anything of too great value". I t i s debatable t h a t t h i s channel i s used e x t e n s i v e l y , i f at a l l , to educate members, or to keep them up to date about changes i n the content of the Code of E t h i c s . The number of members who are c l o s e l y a s s o c i a t e d w i t h the Code of E t h i c s i n o p e r a t i o n by s e r v i n g on executives or review committees or by involvement i n review procedures i s s m a l l . 2 Those who s i t on committees are chosen by v i r t u e of t h e i r experience and estimated a b i l i t y to cope w i t h the s i t u a t i o n i n question,-^ thereby l i m i t i n g the exposure of the m a j o r i t y of members to i n f o r m a t i o n a v a i l a b l e through the other e s t a b l i s h e d channels. The School of S o c i a l Work, U n i v e r s i t y of B r i t i s h Columbia, does not l i s t i n i t s calendar any course d i r e c t l y r e l a t e d to the Code of E t h i c s . The Code i t s e l f was, i n 1964, c i r c u l a t e d to students at the end of t h e i r f i r s t year of pro-f e s s i o n a l education, but no c l a s s time was set aside f o r d i s -c u s sion of i t s content. However, there i s no course l i s t e d i n the c u r r i c u l u m which does not i n c l u d e the teaching of and d i s c u s s i o n about p r o f e s s i o n a l a t t i t u d e s , p r i n c i p l e s , and e t h i c a l conduct as they are r e l a t e d to the course content. 1 E. P h i l p o t t , L e t t e r to the w r i t e r , 29 January 1965. 2 Hawkes, op_. c i t . 3 I b i d . 124. I t i s reasonable to assume that no student completing the p a r t i a l of f u l l s o c i a l work t r a i n i n g could do so without such exposure to p r o f e s s i o n a l values and t h e i r implementation i n p r a c t i c e . I n summary, i t may be concluded that the promul-g a t i o n of the Code of E t h i c s as a formal statement of Guiding P r i n c i p l e s and Rules of Conduct i s i n e f f i c i e n t both w i t h i n the p r o f e s s i o n s and outside of i t i n the area of p u b l i c r e -l a t i o n s . There i s under the present formal o r g a n i z a t i o n of the p r o f e s s i o n a l a s s o c i a t i o n no guarantee that p r a c t i t i o n e r s w i l l be acquainted w i t h or w i l l understand and p r a c t i c e according to the Code. The p u b l i c i s not being made aware of what i t may expect and demand of s o c i a l workers as pro-f e s s i o n a l people, and t h e r e f o r e has no e s t a b l i s h e d c r i t e r i a by which to evaluate the competency o r scrupulousness of the p r o f e s s i o n a l s e r v i c e s rendered. The question of the p u b l i c ' s r i g h t to be informed of those p a r t s of the Code of E t h i c s b i n d i n g behavior i n r e l a t i o n to the w o r k e r - c l i e n t r e l a t i o n -ship has not been s e t t l e d . The whole area of promulgation of the Code of E t h i c s i s a v a l i d one f o r f u r t h e r s e r i o u s c o n s i d e r a t i o n by the A s s o c i a t i o n . Review and R e v i s i o n of the Code of E t h i c s The o r i g i n a l Code of E t h i c s of the Canadian A s s o c i a t i o n of S o c i a l Workers was accepted i n 1938. The committee which had been r e s p o n s i b l e f o r f o r m u l a t i n g t h i s Code continued on a n a t i o n a l b a s i s u n t i l 1940, w i t h a u t h o r i t y 125. delegated from the N a t i o n a l Board f o r implementing the Code and f o r reviewing a l l e g e d i n f r a c t i o n s . I n 1940 t h i s committee was dis c o n t i n u e d . The N a t i o n a l Board appointed the f i r s t N a t i o n a l Committee on E t h i c s which has continued, w i t h i t s composition being changed by the N a t i o n a l Board every b i e n n i e l p e r i o d . S p e c i a l commit-tees appointed by the branch executives were e s t a b l i s h e d i n 1 l o c a l areas to implement the Code of E t h i c s at that l e v e l . The chairman of the o r i g i n a l committee i n 1938-40 wrote: "We must not f e e l that because the Code was evolved a f t e r much e f f o r t and found to be workable that i t i s to r e -2 main s t a t i c and unchanged." However, the N a t i o n a l Committees on E t h i c s d i d not f o r m a l l y consider the question of review of the Code i t s e l f , or of a c t u a l r e v i s i o n , u n t i l the b i e n n i e l p e r i o d of 1950-1952. The Committee f o r t h i s p e r i o d , centered i n Quebec, began the work of e v o l v i n g a t e n t a t i v e l y r e v i s e d Code. Th e i r work was c a r r i e d on during the f o l l o w i n g b i e n n i e l p e r i o d . Agnes Roy, chairman of the N a t i o n a l Committee f o r 1952-195^ a t t r i b u t e d the increased i n t e r e s t i n e t h i c s t o : "a swing back of the pendulum to the p e r i o d p r i o r to the one from.which we are now emerging i n which our whole emphasis was concentrated on the methods and techniques of our profession 1.'-^ 1 Maines, op_. c i t . (October 1959), pp. 20-21. 2 E. Goldman, The S o c i a l Worker, (1940), c i t e d i n A. Roy, o£. c i t . , p.7. 126. O f f i c i a l l y , the 1952-1954 Committee on E t h i c s was delegated by the N a t i o n a l Boards: "to give c o n s i d e r a t i o n to the questions of implementing the Code and e s t a b l i s h i n g pro-cedures to deal w i t h i n f r a c t i o n s of the Code." The chairman of t h i s Committee wrote t h a t : "we could not deal w i t h imple-mentation honestly i n the face of our re l u c t a n c e to i n c l u d e i n the Code much that seemed to us to be Personnel P r a c t i c e and some m a t e r i a l that we b e l i e v e d to be extraneous". To the t h i n k i n g of the National' Committee were added suggestions f o r implementing and r e v i s i n g the Code of E t h i c s , c o n t r i b u t e d by corresponding members of the Branch Committees. The e x i s t i n g Code was t e s t e d by f i c t i t i o u s i l l u s t r a t i o n s of u n e t h i c a l conduct. This device served to a s s i s t the N a t i o n a l Committee i n t h i n k i n g through methods of d e a l i n g w i t h i n f r a c t i o n s . The Committee presented to the 1954 b i e n n i e l meeting the m a t e r i a l c o l l e c t e d which was then given c o n s i d e r a t i o n by the A s s o c i a t i o n ' s members i n i t s branches.3 The 1954-195^ N a t i o n a l Committee on E t h i c s c a r r i e d through w i t h the study begun by i t s predecessors, and drew up a t e n t a t i v e l y r e v i s e d Code which was accepted at the 1956 b i e n n i e l meeting by the A s s o c i a t i o n ' s v o t i n g membership. The 1956 Code of E t h i c s remained i n e f f e c t u n t i l 1 I b i d . , p.7. 2 I b i d . 3 I b i d . 12?. June of 1964 when a very much s i m p l i f i e d r e v i s i o n was adopted. I t has not been p o s s i b l e to o b t a i n from the Canadian A s s o c i a -t i o n of S o c i a l Workers o f f i c e i n Ottawa any i n f o r m a t i o n per-t a i n i n g to the reasons f o r the l a t e s t r e v i s i o n . As of March 3, 19^5) such i n f o r m a t i o n had not yet been made a v a i l a b l e by the N a t i o n a l A s s o c i a t i o n to the B.C.A.S.W. Committee on E t h i c s c u r r e n t l y working on drawing up proposed procedures 1 f o r the implementation of the new Code of E t h i c s . I t would appear that s e c t i o n s of the 1956 Code s t i l l contained mater-i a l p r i m a r i l y r e l a t e d to personnel p r a c t i c e s . I n summary, the review and r e v i s i o n of the Code of E t h i c s of the Canadian A s s o c i a t i o n of S o c i a l Workers i s c a r r i e d out on an ad hoc b a s i s by the N a t i o n a l Committees. Although t h i s Committee operates r e g u l a r l y , these s p e c i a l i z e d d u t i e s are undertaken on an unscheduled, p e r i o d i c b a s i s at such time as the current Code of E t h i c s i s evaluated as be-i n g i n e f f i c i e n t , out-of-date, i n v a l i d , or inadequate to deal w i t h i n c i d e n t s that are o c c u r r i n g i n the f i e l d . The n e c e s s i t y f o r review and r e v i s i o n i s gauged by the r e p o r t s and requests f o r c o n s u l t a t i o n from the branch o f f i c e s r e c e i v e d by the 2 N a t i o n a l Committee. De l e g a t i o n of a u t h o r i t y to carry out stich review and r e v i s i o n i s made to the N a t i o n a l Committees on E t h i c s by the N a t i o n a l Board. 1 E. Bradley, Interview w i t h the w r i t e r , 3 March 1965. 2 I b i d . 128. A d m i n i s t r a t i o n of the Code of Ethic s Canadian A s s o c i a t i o n of S o c i a l Worker's A t t i t u d e to Implementation I n the preamble to the P l a n f o r Implementation of the 1956 r e v i s e d Code of E t h i c s the Canadian A s s o c i a t i o n of S o c i a l Workers has s t a t e d i t s a t t i t u d e to the implementation of the Code of E t h i c s . The 1956 statement i s s t i l l i n e f f e c t . The A s s o c i a t i o n recognizes i t s b a s i c r e s p o n s i b i l i t y to d e f i n e and to promote p r i n c i p l e s of e t h i c a l conduct i n the f i e l d of Canadian s o c i a l work. I t s t a t e s that i t c a r r i e s t h i s r e s p o n s i b i l i t y i n t h i s area through the Code of E t h i c s and by extending understanding and acceptance of t h i s Code so that i t i s f u l l y r e f l e c t e d i n the s o c i a l worker's p r o f e s s i o n a l r e l a t i o n s h i p . Included i n the A s s o c i a t i o n ' s statement i s a r e -c o g n i t i o n of the i n d i v i d u a l s o c i a l worker's r e s p o n s i b i l i t y f o r h i s own p r o f e s s i o n a l behavior, and a r e c o g n i t i o n that the i n d i v i d u a l worker i s i n f l u e n c e d by the var i o u s pressures and f o r c e s of h i s p a r t i c u l a r environment. The A s s o c i a t i o n b e l i e v e s that many breaches of the Code of E t h i c s are caused not by w i l l f u l v i o l a t i o n , but by a l a c k of awareness, by s i t u a t i o n s which make i t d i f f i c u l t f o r the p r o f e s s i o n a l person to determine h i s r e s p o n s i b i l i t y . The A s s o c i a t i o n 1 Canadian A s s o c i a t i o n of S o c i a l Workers, " P l a n f o r Imple-mentation of the Code of E t h i c s , " Code o f E t h i c s , Ottawa, Canadian A s s o c i a t i o n of S o c i a l Workers, 1956, p t . I l l , n o . l , p. 3-announces i n t h i s preamble i t s i n t e n t i o n to take i n t o account'the i n d i v i d u a l ' s a b i l i t y to bear the burdens placed upon him i n a s i t u a t i o n of c o n f l i c t . I n a s i m i l a r way i t recognizes that such f a c t o r s may a l s o a f f e c t employing i n -s t i t u t i o n s . ^ "A Code of E t h i c s " , to quote the Preamble to the P l a n f o r Implementation statement, "should be a p o s i t i v e source of help and guidance, r a t h e r than a, set of r e s t r i c t i v e r e g u l a t i o n s . The A s s o c i a t i o n places emphasis upon i t s d e s i r e to be h e l p f u l , though acknowledging at the same time i t s j u d i c i a l r e s p o n s i b i l i t y . Implementation of the p r o f e s s i o n a l Code i s based upons (a) Gaining understanding and acceptance of the Code. (b) Promoting s a t i s f a c t o r y c o n d i t i o n s of p r a c t i c e . (c) Helping the i n d i v i d u a l worker. (d) A p p r o p r i a t e l y censuring u n e t h i c a l b e h a v i o r . " 2 Aims and Purposes of Committees on E t h i c s As stated by the Canadian A s s o c i a t i o n of S o c i a l Workers, the aims and purposes of the N a t i o n a l and Branch Committees on E t h i c s should be; "(a) To:.promote understanding and acceptance of the p r i n c i p l e s of the Code of E t h i c s among a l l pro-f e s s i o n a l people and i n agencies employing or seeking to employ them, (b) To provide a c o n s u l t a t i o n s e r v i c e to i n d i v i d u a l s and agencies concerned about e t h i c a l s i t u a t i o n s , 1 I "bid. 2 I b i d . 130. w i t h a view to h e l p i n g i n the s o l u t i o n , and pre-ve n t i n g more serious problems from a r i s i n g , (c) To provide machinery f o r the determination of the p r o f e s s i o n a l person's r e l a t i o n s h i p to. the C.A.S.W., or the agency's r e l a t i o n s h i p to C.A.S.W. members, i n those s i t u a t i o n s i n which the c o n s u l t a t i o n s e r v i c e does not achieve i t s purpose." 1 . Branch R e s p o n s i b i l i t y f o r Implementation The N a t i o n a l A s s o c i a t i o n has suggested that i t would be " d e s i r a b l e " that each Branch have an E t h i c s Committee 2 and t h a t the Committees have these r e s p o n s i b i l i t i e s ; (a) Education w i t h i n the membership and i n the community to gai n understanding and acceptance of the Code. (b) Branch C o n s u l t a t i o n to members and non members concern-i n g e t h i c a l conduct and the meaning and a p p l i c a t i o n s of the Code. (c) N a t i o n a l C o n s u l t a t i o n of the Branch Committee, i n d i v i d -u a l s or agencies w i t h the N a t i o n a l Executive Secretary and/or N a t i o n a l Committee where such c o n s u l t a t i o n would be of help and where, because of s i z e or other circum-stances, the Branch i s unable to carry r e s p o n s i b i l i t y . (d) R e f e r r a l of matters to the N a t i o n a l Committee where d e s i r a b l e , or i n a s i t u a t i o n where any p a r t y , i n c l u d i n g the Branch Committee, i s not s a t i s f i e d w i t h the r e s u l t s achieved by the c o n s u l t a t i o n s e r v i c e . The Branch Committee s h a l l make the r e f e r r a l to the N a t i o n a l 1 Canadian A s s o c i a t i o n of S o c i a l Workers, "Aims and Pur-poses of Committees on E t h i c s , " I b i d . , p t . I l l , no.2, p .3« 2 .'Canadian'Association of S o c i a l Workers, "Branch Commit-tees," I b i d . , p t . I l l , no. 3» p . 4 . 131. Committee on r e c e i p t of the w r i t t e n request of any of the - p a r t i e s . . (e) Communication w i t h the N a t i o n a l Committee on E t h i c s f o r the purposes of c o n s i d e r i n g matters r e f e r r e d to i t by the N a t i o n a l Committee; and passing on to the N a t i o n a l Committee i t s experience w i t h the Code, and the machinery f o r implementation, so that both can be kept under con-stant e v a l u a t i o n . N a t i o n a l Committee R e s p o n s i b i l i t y f o r Implementation The Canadian A s s o c i a t i o n of S o c i a l Workers sets i these r e s p o n s i b i l i t i e s f o r the N a t i o n a l Committee on E t h i c s ; (a) N a t i o n a l Education Program to promote understanding and acceptance of the Code. (b) Branch Education Program to help the Branches f u l f i l l t h e i r r e s p o n s i b i l i t i e s . (c) I n d i v i d u a l C o n s u l t a t i o n to branch and non-branch members and others who seek i t s help. I n the case of i n d i v i d u a l branch members, such c o n s u l t a t i o n s h a l l be o f f e r e d where the member or the Branch committee b e l i e v e that such s e r v i c e i s more s u i t a b l e to the s p e c i f i c s i t u a t i o n . D i s -c r e t i o n i n t h i s matter r e s t s w i t h the N a t i o n a l Committee. (d) Branch C o n s u l t a t i o n to Branch Committees on problems w i t h which they seek help. (e) R e f e r r a l - to r e c e i v e s p e c i f i c s i t u a t i o n s r e f e r r e d to i t under clause (d) of the Branch R e s p o n s i b i l i t y f o r Imple-1 ' Canadian A s s o c i a t i o n of S o c i a l Workers, " N a t i o n a l Commit tees," I b i d . , p t . I l l , no.4, pp. 4 - 5 . 132. mentation, and to o f f e r c o n s u l t a t i v e help to the p a r t i e s i n v o l v e d w i t h i n t h i r t y days of r e c e i p t of the r e f e r r a l . Recommendation - whenever the N a t i o n a l C o n s u l t a t i v e S e r v i c e does not solve a problem to the s a t i s f a c t i o n of any one p a r t y , the N a t i o n a l Committee, upon r e c e i p t of w r i t t e n n o t i c e , w i t h i n s i x t y days ( t h i s time may be extended to a f u r t h e r p e r i o d of s i x t y days upon the a u t h o r i t y of the N a t i o n a l Board or those to whom i t delegates t h i s a u t h o r i t y ) 1. s h a l l i n i t i a t e such i n v e s t i g a t i o n and hold such hearings as the r u l e s and r e g u l a t i o n s provided f o r i n Clause (b) of the f o l l o w i n g s e c t i o n s h a l l p e r s c r i b e . 2. s h a l l forward a re p o r t of the f i n d i n g s to the N a t i o n a l Board. 3. may make recommendations concerning the member's statu s w i t h the A s s o c i a t i o n , . o r the agency's s t a t u s w i t h the A s s o c i a t i o n , or the agency's status itfith the C.A.S.W. members. k. s h a l l forward i t s recommendations to the Na t i o n a l Board. Rules and Regulations - to propose and review x i i t h the N a t i o n a l Board such r u l e s and r e g u l a t i o n s concerning the matters of Clause ( f ) i n t h i s s e c t i o n , as w e l l as ensure soundly based recommendations by the Committee. N a t i o n a l Board R e s p o n s i b i l i t y f o r Implementation I n regard to the Code of E t h i c s the Canadian 133. A s s o c i a t i o n of S o c i a l Workers sets out these r e s p o n s i b i l i t i e s '1 f o r the N a t i o n a l Boards (a) to set up a N a t i o n a l Committee on E t h i c s of not l e s s than f i v e members, three of whom s h a l l be Board members, to perform the d u t i e s o u t l i n e d . (b) to e s t a b l i s h r u l e s and r e g u l a t i o n s covering the handling of matters under clause ( f ) of the preceding s e c t i o n . (c) during each biennium to review the work of the N a t i o n a l E t h i c s Committee and i t s p o l i c i e s and procedures to ensure t h e i r soundness and e f f e c t i v e n e s s . (This does not imply a review of the Code's content as such). (d) to r u l e on recommendations regarding s p e c i f i c s i t u a t i o n s sent to i t by the N a t i o n a l Committee, such r u l i n g to be bin d i n g upon the A s s o c i a t i o n and i t s members, unless reversed by appeal. (e) to provide f o r machinery that e f f e c t i v e l y ensures the r i g h t of the i n d i v i d u a l CASW member or any agency to appeal such d e c i s i o n to the next b i e n n i e l meeting of the A s s o c i a t i o n , which d e c i s i o n s h a l l be f i n a l . I n s t i t u t i o n a l Machinery f o r the Implementation of the Code of E t h i c s N a t i o n a l Board of the Canadian A s s o c i a t i o n of S o c i a l Workers. This Board i s composed of the N a t i o n a l Executive which i s made up of the A s s o c i a t i o n ' s P r e s i d e n t and Executive Secretary, and t h i r t y - t w o A s s o c i a t i o n members e l e c t e d every .1 Canadian A s s o c i a t i o n of S o c i a l Workers, " N a t i o n a l Board," I b i d . , p t . I l l , no. 5, p.5. 134. two years at the b i e n n i e l meetings by the t o t a l v o t i n g member-ship from a l i s t of candidates submitted by each of the Canadian p r o v i n c e s . 1 The r e s p o n s i b i l i t i e s of the Board have already been o u t l i n e d as they r e l a t e to the Code of E t h i c s . I n summary, the Board appoints the N a t i o n a l Committee on E t h i c s f o r each two year p e r i o d , reviews the work of t h i s Committee, and makes f i n a l r u l i n g s on those matters r e f e r r e d to i t by the Committee unless the d e c i s i o n i s reversed by appeal using the machinery which the Board has established, to ensure t h i s r i g h t to agencies and to i n d i v i d u a l s . The Board may, at i t s d i s c r e t i o n , delegate to the N a t i o n a l Committee i n o f f i c e the a u t h o r i t y to undertake s p e c i f i c 2 studie s and d u t i e s i n r e l a t i o n to the Code of E t h i c s . N a t i o n a l Committee of the Canadian A s s o c i a t i o n of S o c i a l Workers This Committee of not l e s s than f i v e members, three of whom are Board members,^ i s appointed every two years at the b i e n n i e l meeting by the N a t i o n a l Board. I n order to ex-tend Committee r e s p o n s i b i l i t y throughout the country, and to take advantage of d i f f e r e n t l o c a t i o n s and personnels, the nucleus i s centered i n a d i f f e r e n t c i t y f o r each b i e n n i e l 1 Bradley, op_. c i t . 2 I b i d . 3 Canadian A s s o c i a t i o n of S o c i a l Workers, " N a t i o n a l Board, op. c i t . 135-1 p e r i o d . The chairman and other appointed members are u s u a l l y drawn from the area i n which the nucleus i s c u r r e n t l y l o c a t e d . The Committee's r e s p o n s i b i l i t i e s i n r e l a t i o n to the Code of E t h i c s are, as o u t l i n e d , p r i m a r i l y educational and c o n s u l t a t i v e , except when s p e c i a l a u t h o r i t y and r e s p o n s i b i l i t y are delegated by the N a t i o n a l Board. At the present time, no w r i t t e n procedures have been standardized by the N a t i o n a l Committees f o r the imple-mentation of the Code of Ethics.-^ The i m p l i c a t i o n of t h i s procedural gap w i l l be discussed elsewhere. I n January, 1957, the N a t i o n a l Committee on E t h i c s was amalgamated x\rith the Committee f o r Personnel Standards and P r a c t i c e s by the N a t i o n a l Board because of the c l o s e 4 i n t e r r e l a t i o n of the problems encountered by each body. P r o v i n c i a l Committees of the Canadian A s s o c i a t i o n of S o c i a l Workers This study has not attempted to survey the methods adopted by each Branch of the A s s o c i a t i o n to implement the Code of E t h i c s . A t t e n t i o n i s focused, f o r obvious reasons, on the B r i t i s h Columbia A s s o c i a t i o n of S o c i a l Workers and i t s r e l a t i o n s h i p w i t h the parent A s s o c i a t i o n . 1 Roy, op. c i t ; . , p.6. 2 Bradley, op. c i t . 3 I b i d . 4 I b i d . 136. I n t h i s province there i s no standing Committee on E t h i c s to review a l l e g e d v i o l a t i o n s of the Code which come to the a t t e n t i o n of the p r o v i n c i a l o r g a n i z a t i o n . At various times throughout i t s h i s t o r y the B.C.A.S.W. has had standing committees, d i s t i n c t from the ad hoc committees, to review the content of the Code of E t h i c s as such, and to propose r e v i s i o n s and/or suggestions f o r implementations. Such a committee was e s t a b l i s h e d by the B.C.A.S.W. president i n the f a l l of 1964, c h a i r e d by Miss E. Bradley. The suggestions of such committees are forwarded to the N a t i o n a l Committees 2 f o r c o n s i d e r a t i o n on that l e v e l 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 . Since there are no w r i t t e n procedures by which to implement the Code of E t h i c s , the B.C.A.S.W. has e s t a b l i s h e d , by i m p r o v i s a t i o n and precedent, procedures which i t f o l l o w s i n s p e c i f i c cases. These w i l l be discussed i n the f o l l o w i n g pages. Bequests f o r Review - B r i t i s h Columbia A s s o c i a t i o n of S o c i a l Workers Mr. R. Hawkes, P r e s i d e n t of the B r i t i s h Columbia-A s s o c i a t i o n of S o c i a l Workers, o u t l i n e d a broad c l a s s i f i c a t i o n of the types of requests f o r review r e c e i v e d by h i s A s s o c i a -t i o n from i t s members and from non-members i n r e l a t i o n to the Code of E t h i c s . 3 These types of requests are as f o l l o w s : 1 Hawkes, pjo. c i t . , 2 December 1964. 2 Bradley, op_. c i t . 3 Hawkes, OJD. c i t . 137. 1. Requests from i n d i v i d u a l s o c i a l workers i n a c t i v e em-ployment who have r e c e i v e d from t h e i r employing agencies evaluations of t h e i r p r o f e s s i o n a l performance which they f e e l are i n a c c u r a t e , non-objective or i n j u r i o u s to t h e i r p r o f e s s i o n a l careers. 2. Requests f o r the review of a l l e g e d l y u n e t h i c a l behavior on the p a r t of an i n d i v i d u a l s o c i a l worker or s o c i a l workers i n r e l a t i o n to the c l i e n t or c l i e n t s . 3. Requests f o r advice concerning the e t h i c a l action' p o s s i b l e f o r a s o c i a l worker or a; group of s o c i a l workers to change the procedural operations of the employing agency i n order to promote greater e f f i c i e n c y of s e r v i c e to the cli e n t s ' . 4. Requests f o r review of a l l e g e d l y u n e t h i c a l behavior of an i n d i v i d u a l s o c i a l worker or s o c i a l workers unconnected w i t h behavior r e l a t e d to the c l i e n t or c l i e n t s . These requests come from a v a r i e t y of sources which i n c l u d e the Boards or Executives of employing agencies, colleagues i n the employing agency or other s o c i a l work agencies, i n d i v i d u a l workers concerning t h e i r own s i t u a t i o n s , and. o c c a s i o n a l l y c l i e n t s . 138. B r i t i s h Columbia A s s o c i a t i o n of S o c i a l Worker's Procedures f o r  Implementing the Code of E t h i c s . Since the procedures f o r implementing the Code of E t h i c s are not e s t a b l i s h e d i n formal, w r i t t e n form, i t i s p o s s i b l e to d i s c u s s only such procedures as are commonly used by the BCASW on the b a s i s of precedent. No members a c t i n g o f f i c i a l l y on behalf of the A s s o c i a t i o n are o b l i g a t e d to f o l -low the procedures that are c u r r e n t l y a p p l i e d , although i adherence to them has i n the past been c l o s e l y maintained. I n the f o l l o w i n g pages r e l a t e d to the implementation of the Code of E t h i c s , the word "review" i s used to r e f e r to the i n v e s t i g a t i o n by the A s s o c i a t i o n of charges of a l l e g e d v i o l a t i o n of the Code of E t h i c s by p r a c t i t i o n e r s . I n t h i s context, the meaning of the word i s not to be confused w i t h the "review" or e v a l u a t i o n of the contents of the Code of E t h i c s which has been d e a l t w i t h s e p a r a t e l y . Requests f o r review are d i r e c t e d i n w r i t i n g to the P r e s i d e n t , and are r e q u i r e d to be r e l a t e d to a s p e c i f i c s e c t i o n of the Code of E t h i c s . The P r e s i d e n t r e q u i r e s the assurance of the party r e q u e s t i n g the review that the l a t t e r has n o t i f i e d the agency concerned,in xtfriting, that he i s r e q u e s t i n g such a c t i o n . There i s no requirement t h a t those p a r t i e s request-1 We are indebted to Mr. R. Hawkes, current P r e s i d e n t of the B r i t i s h Columbia A s s o c i a t i o n of S o c i a l Workers, f o r the o u t l i n e of procedures used by the P r o v i n c i a l A s s o c i a t i o n . I n -terviews w i t h the w r i t e r 2 December 1964 and 12 March 1965. 139.. i n g the review n o t i f y the person about whom the review i s requested that such a c t i o n has been i n i t i a t e d . There i s no requirement that the; person about whom the review i s requested be su p p l i e d w i t h copies of the com-p l a i n t or any supporting evidence submitted to the Pre s i d e n t by the p a r t i e s r e q u e s t i n g the review. The P r e s i d e n t i s r e s p o n s i b l e f o r d e c i d i n g i f the request f o r review warrants the establishment of a review committee f o r i n v e s t i g a t i o n and assessment of the s i t u a t i o n i n question. I f the establishment of a review committee i s not warranted i n the o p i n i o n of the P r e s i d e n t , he communicates h i s d e c i s i o n i n w r i t i n g to the p a r t i e s i n v o l v e d . I f the establishment of a committee i s warranted, the P r e s i d e n t r e p o r t s to the next p r o v i n c i a l executive meeting that a request has been r e c e i v e d , and without r e l e a s -i n g any c o n f i d e n t i a l i n f o r m a t i o n about the s i t u a t i o n , he requests the permission of the Executive to e s t a b l i s h an ad hoc review committee f o r the s p e c i f i c s i t u a t i o n . Once permission i s obtained, the Pre s i d e n t chooses from among the A s s o c i a t i o n ' s members a committee chairman. The c r i t e r i a used f o r t h i s s e l e c t i o n may vary w i t h the pre-si d e n t and w i t h the s i t u a t i o n i n question. The current p r e s i d e n t avoids choosing a chairman from an employment s i t u a t i o n or category of s e r v i c e s i m i l a r to those of the 140. person whose case i s to be reviewed. Age, experience, and the capacity to cope w i t h the s i t u a t i o n are considered. The President gives to the chairman the w r i t t e n request f o r review and any p e r t i n e n t i n f o r m a t i o n submitted i n r e l a t i o n to the request. The Pre s i d e n t delegates to the chairman the auth-o r i t y to s e l e c t at l e a s t two more A s s o c i a t i o n members to complete the review committee w i t h whom a l l p e r t i n e n t i n -formation i s shared. The P r e s i d e n t acknowledges i n w r i t i n g to those who have requested the review and to the worker or workers about whom the review has been requested that such a request has been r e c e i v e d and that i t w i l l be i n v e s t i g a t e d by the e s t a -b l i s h e d committee. The chairman and the committee review the s i t u a t i o n as i t i s r e l a t e d to the s e c t i o n of the Code a l l e g e d l y v i o l a t e d . The persons i n t e r v i e w e d by the committee u s u a l l y i n c l u d e those i n d i v i d u a l s r e q u e s t i n g the review, the s o c i a l worker about whom the review i s requested and the executive d i r e c t o r of the agency. I f the committee sees the n e c e s s i t y , c o l l a t e r a l i n t e r v i e w s may be conducted, and l e g a l and/or n a t i o n a l con-s u l t a t i o n w i t h the CASW may be sought. Once the committee i s s a t i s f i e d that a l l i n f o r m a t i o n i s at i t s . d i s p o s a l , a d e c i s i o n i s made, and i s conveyed to the P r e s i d e n t who prepares a w r i t t e n r e p o r t based on the 141. committee's f i n d i n g s and d e c i s i o n , and d i r e c t s i t to the p r i n c i p a l s i n v o l v e d . The procedures o u t l i n e d have been r e l a t e d p r i m a r i l y to a l l e g e d v i o l a t i o n s of the Code of E t h i c s . The same pro-cedures are a p p l i e d to requests f o r c o n s u l t a t i o n and education. P e n a l t i e s f o r V i o l a t i o n of the Code of E t h i c s There are s t r i n g e n t l i m i t a t i o n s on the sanctions a v a i l a b l e f o r use by the B r i t i s h Columbia A s s o c i a t i o n of S o c i a l Workers and the Canadian A s s o c i a t i o n of S o c i a l Workers. The reasons f o r these l i m i t a t i o n s w i l l be discussed separately i n the f o l l o w i n g pages. A member of the B.C.A.S.W. may be suspended or ex p e l l e d from t h i s A s s o c i a t i o n f o r v i o l a t i o n of the Code of E t h i c s . I f tha t i n d i v i d u a l i s a l s o a member of the C.A.S.W., tha t A s s o c i a t i o n may choose to suspend or to expel him from i i t s membership as w e l l . Right of Appeal When any of the p a r t i e s i n v o l v e d disagree w i t h the d e c i s i o n of the BCASW ad hoc Committee on E t h i c s which has i n v e s t i g a t e d the s i t u a t i o n i n question, that i n d i v i d u a l or agency has the r i g h t to request an appeal i n w r i t i n g of the Pre s i d e n t of the p r o v i n c i a l A s s o c i a t i o n , who then forwards th a t request to the N a t i o n a l Committee on E t h i c s . The pro-cedured to be f o l l o w e d by the N a t i o n a l Committee upon r e -1 I b i d . 142. c e i p t of such a request have been e s t a b l i s h e d i n w r i t i n g . This Committee, w i t h i n s i x t y days, must i n i t i a t e an i n v e s t -i g a t i o n of the s i t u a t i o n and forward i t s r e p o r t to the N a t i o n a l Board. I t may make and forward to the Board i t s recommendation concerning the member's status w i t h the Canadian A s s o c i a t i o n of S o c i a l Workers or the agency's status 1 w i t h the CASW members. The i n d i v i d u a l or agency who has a l l e g e d l y v i o l a t e d the Code of E t h i c s has the r i g h t to l e g a l r e p r e s e n t a t i o n on every l e v e l on which h i s s i t u a t i o n may be reviewed. The N a t i o n a l Board, on r e c e i p t of the r e p o r t of the N a t i o n a l Committee on E t h i c s , r u l e s on the recommendations of the l a t t e r , and i t s r u l i n g i s b i n d i n g on the membership of the A s s o c i a t i o n unless reversed by a f u r t h e r appeal by the p r i n c i p a l to the next b i e n n i e l meeting of the A s s o c i a t i o n , which d e c i s i o n i s b i n d i n g . D i f f i c u l t i e s i n A d m i n i s t e r i n g the Code of E t h i c s I t must be understood that t h i s study i s focused p r i m a r i l y on the j u r i s p r u d e n t i a l aspects of the Code of E t h i c s . Our i n t e r e s t i s e s s e n t i a l l y i n the i n t e l l i g i b i l i t y » o p e r a b i l i t y , and procedural s p e c i f i c i t y of the Code as i t e x i s t s r a t h e r than i n the cogency of the p r o v i s i o n s of the Code. There i s l i t t l e reason to b e l i e v e that the members of i Canadian A s s o c i a t i o n of S o c i a l Workers, " N a t i o n a l Com-mitt e e " , op_. c i t . , subsection ( f ) , p.5« the n a t i o n a l and p r o v i n c i a l a s s o c i a t i o n s are not aware of the i s s u e s r a i s e d here, or of the i m p l i c a t i o n s a r i s i n g out of these i s s u e s , or t h a t s t u d i e s of these i s s u e s i s not being undertaken throughout the country. (a) Procedural D i f f i c u l t i e s i n A d m i n i s t e r i n g the Code of E t h i c s . One of the main d i f f i c u l t i e s i n implementing the CASW Code of E t h i c s i s the l a c k of w r i t t e n procedures cover-i n g the submission of a request f o r review and the conduct of such a review. Precedent i s the main determinant f o r the d e l e -g a t i o n of a u t h o r i t y and r e s p o n s i b i l i t y f o r those p a r t i e s a c t i n g f o r the A s s o c i a t i o n . Methods of a d m i n i s t r a t i o n of the Code of E t h i c s may vary because precedent i s not regard-ed i n the A s s o c i a t i o n i n the same s t r i c t sense that i t i s regarded i n law where o b l i g a t i o n s are created to adher to previous methods used. The d e c i s i o n that a request f o r review warrants i n v e s t i g a t i o n r e s t s w i t h the president of the branch a s s o c i a t i o n . Without c a s t i n g any aspersions on these o f f i -c i a l s ' , judgment, i t may be suggested that such a method of implementation contains, no b u i l t - i n , r e g u l a t o r y checks. There are no standardized r e g u l a t i o n s to ensure the expertness of the committee chairman or members. E s t a b l i s h e d guarantees t h a t measures of due pro-cess w i l l be implemented are not d e f i n t i v e l y o u t l i n e d . I n B r i t i s h Columbia, f o r example, the i n d i v i d u a l s o c i a l worker who has a l l e g e d l y v i o l a t e d the Code of E t h i c s i s not r e q u i r e d to be n o t i f i e d t h a t a request f o r review has been made, and he does not r e c e i v e , at the time the request i s made, a copy of that request or of the evidence submitted to support the i charge of a l l e g e d v i o l a t i o n . He re c e i v e s n o t i f i c a t i o n only a f t e r a committee to conduct the review has been e s t a b l i s h e d by the p r o v i n c i a l executive at the request of the pre s i d e n t of the B.C.A.S.W. The i n d i v i d u a l who has a l l e g e d l y v i o l a t e d the Code has no o b j e c t i v e reference by which to a s c e r t a i n the pro-p r i e t y of those procedures which are a p p l i e d i n h i s case, and no w r i t t e n statement of h i s r i g h t s and r e s p o n s i b i l i t i e s i n the review s i t u a t i o n . There are no recorded c r i t e r i a concerning which i n d i v i d u a l s are q u a l i f i e d to be i n v o l v e d i n a s p e c i f i c r e -view, or what evidence i s considered to be j u s t i f i a b l y ad-m i s s i b l e to the committee reviewing an a l l e g e d v i o l a t i o n by a p r a c t i t i o n e r . There are no w r i t t e n g u i d e - l i n e s f o r the d e c i s i o n making f u n c t i o n of the committee, no d e l i n e a t e d c o r r e l a t i o n of offences and p e n a l t i e s . This i s , of course, r e l a t e d to the narrower ope r a t i o n of the Code of E t h i c s i n censuring u n e t h i c a l behavior, as opposed to i t s broader educational 1 Hawkes, op_. c i t . and c o n s u l t a t i v e aspects. (b) I n s t i t u t i o n a l D i f f i c u l t i e s i n Administering' the Code of E t h i c s . The Codes of E t h i c s are formulated by the N a t i o n a l Committees on E t h i c s w i t h the suggestions and. formal approval of the n a t i o n a l a s s o c i a t i o n ' s membership. The bodies which are attempting to implement the Code on the ground l e v e l are the committees on e t h i c s e s t a b l i s h e d i n the branches. Some problems i n the area of i n t e r p r e t a t i o n of the Code become immediately evident. The N a t i o n a l Committees on E t h i c s change every two years both i n personnel and. i n l o c a t i o n . Secondly, the committees on e t h i c s i n the province of B r i t i s h Columbia are e s t a b l i s h e d on an ad hoc b a s i s when a request f o r . r e v i e w i s thought to warrant i n v e s t i g a t i o n . The s i z e and composition of the p r o v i n c i a l committees may vary. The N a t i o n a l A s s o c i -a t i o n suggests that i t i s d e s i r a b l e to have a standing branch committee on e t h i c s , but does not make t h i s a r e q u i r e -ment. On both the n a t i o n a l and. p r o v i n c i a l l e v e l s then there i s a l a c k of c o n t i n u i t y i n the bodies r e s p o n s i b l e f o r i n t e r p r e t i n g , implementing, and d e c i s i o n making. The con-f u s i o n which may a r i s e out of t h i s s i t u a t i o n i s compounded ' by the l a c k of w r i t t e n i n s t r u c t i o n concerning how these bodies are to discharge t h e i r r e s p e c t i v e f u n c t i o n s . 1 Canadian A s s o c i a t i o n of S o c i a l Workers, "Branch Commit-tees, " op. c i t . 146. (c) J u r i s d i c t i o n a l D i f f i c u l t i e s i n Administering the Code of E t h i c s ( i ) P r o f e s s i o n a l A s s o c i a t i o n Membership To q u a l i f y as a member of the Canadian A s s o c i -a t i o n of S o c i a l Workers, a p r a c t i t i o n e r must have s u c c e s s f u l l y completed the f u l l academic r e q u i r e -ments f o r p r o f e s s i o n a l education i n s o c i a l work at a post-graduate School recognized by the A s s o c i a t i o n . Such r e c o g n i t i o n s i g n i f i e s that the education r e -ceived by the i n d i v i d u a l has Incorporated what the p r o f e s s i o n adjudges to be the f u l l b a s i c i n g r e d i e n t s of p r o f e s s i o n a l s o c i a l work academic p r e p a r a t i o n . The p r a c t i t i o n e r must present to the A s s o c i a t i o n a statement to t h i s e f f e c t signed by an o f f i c i a l of the School of S o c i a l Work i n order to v e r i f y h i s st a t u s . To ensure th a t s o c i a l work values w i l l be manifest i n p r a c t i c e , each member i s r e q u i r e d to adhere to the Code of E t h i c s and to agree to be-in g evaluated by h i s p r o f e s s i o n a l colleagues should he be charged w i t h v i o l a t i n g the Code. I n the Province of B r i t i s h Columbia a p r a c t i t i o n e r a p p l i e s f i r s t to the p r o v i n c i a l a s s o c i a t i o n , and i f he i s f u l l y q u a l i f i e d , through 1 Hawkes, op_. c i t . .2. Canadian A s s o c i a t i o n of S o c i a l Workers, Bylaws of the  Canadian A s s o c i a t i o n of S o c i a l Workers, 011awa, Canadian A s s o c i a t i o n of S o c i a l Workers, 1964, a r t i c l e 1, c l * . 3' 1>7. -i t h i s a s s o c i a t i o n f o r n a t i o n a l membership. - The member-ship q u a l i f i c a t i o n s of the B.C.A.S.W. d i f f e r from those of the parent a s s o c i a t i o n . At the present time a p r a c t i t i o n e r q u a l i f i e s f o r p r o v i n c i a l membership under four conditions? ( i ) He:has completed f u l l b a s i c requirements of pro-f e s s i o n a l education i n a recognized School of S o c i a l Work. ( i i ) He holds a Bachelor's degree from a recognized School of S o c i a l Work. ( i i i ) He holds the equivalent to u n i v e r s i t y entrance and has completed three years a c t i v e experience under 2 s u p e r v i s i o n i n a s o c i a l work p o s i t i o n . ( i v ) He i s a f u l l time student e n r o l l e d i n a recognized 3 School of S o c i a l Work. A p r a c t i t i o n e r h o l d i n g f u l l p r o f e s s i o n a l academic requirements holds a Class B p r o v i n c i a l member-ship and i s e l i g i b l e f o r n a t i o n a l membership and a vote • on i s s u e s of n a t i o n a l concern. P r a c t i t i o n e r s i n the next two ca t e g o r i e s of the p r o v i n c i a l a s s o c i a t i o n are Class A members and have a vote only i n i s s u e s of pro-v x n c i a l concern. 1 R. Hawkes, op. c i t . , 12 March 1965. 2 I b i d . 3 Student membership was ad.opted by the CASW i n 1952. Maines, op_. c i t . , (October 1959), p.33. I t i s granted by the BCASW w i t h i n i t s requirements f o r membership. 4 Thompson, op_. c i t . , p.49. 148. Membership i n both the Canadian and the B r i t i s h Columbia A s s o c i a t i o n s of S o c i a l Workers i s entirely-v o l u n t a r y . I n nine of the ten Canadian provinces, (Quebec i s the exception), there i s no system of c e r t i -f i c a t i o n , and the r e f o r e no l e g a l compulsion to j o i n the p r o f e s s i o n a l a s s o c i a t i o n s i n order to have the r i g h t to p r a c t i c e i n the s o c i a l work f i e l d . The i m p l i c a t i o n s a r i s i n g out of t h i s s i t u a t i o n are c l e a r . There are f u l l y q u a l i f i e d p r o f e s s i o n a l s o c i a l workers who have completed two years p r o f e s s i o n a l acade-mic p r e p a r a t i o n and who have not chosen to j o i n the CASW. S i m i l a r l y there are p r a c t i t i o n e r s q u a l i f i e d to j o i n the BCASW who have not done so. This group of s o c i a l workers are, t h e r e f o r e , not f o r m a l l y committed to adhere t o , among other t h i n g s , the Code of E t h i c s , or to be evaluated by t h e i r p r o f e s s i o n a l colleagues should they a l l e g e d l y v i o l a t e the Code. The p r o f e s s i o n a l a s s o c i -a t i o n s have no o f f i c i a l r e g u l a t o r y c o n t r o l over non-members since the most severe penalty f o r v i o l a t i o n of the Code of E t h i c s i s suspension or expulsion from member-ship i n the a s s o c i a t i o n s . The e f f e c t i v e n e s s of the Code of E t h i c s as a b a s i s f o r censuring the u n e t h i c a l behavior of the a s s o c i a t i o n s members i s a l s o questionable. The commitment of members i s a vol u n t a r y , non-legal one. Loss of p r o f e s s i o n a l 1 Hawkes, op. c i t . , 2 December 1964. 149., a s s o c i a t i o n membership i n no formal way l i m i t s a p r a c t i t i o n e r ' s r i g h t to p r a c t i c e . Agencies are not under o b l i g a t i o n to h i r e only a s s o c i a t i o n members. They are f r e e to make t h e i r own d e c i s i o n about the h i r i n g , continued employment or t e r m i n a t i o n of a suspended, or i expelled, a s s o c i a t i o n member. I t would seem reasonable to suggest that t h i s type of penalty f o r v i o l a t i n g the Code of E t h i c s would s i g n i f i c a n t l y i n f l u e n c e p r a c t i t i o n e r s only i f there were a system of l e g a l c e r t i f i c a t i o n r e q u i r i n g that s o c i a l workers be l i c e n c e d members i n good standing w i t h t h e i r p r o f e s s i o n a l a s s o c i a t i o n s i n order to perform d e f i n e d s o c i a l s e r v i c e s . There i s another s a l i e n t p o i n t r e l a t e d to t h i s s i t u a t i o n . When a pra.ctition.er i n t h i s province a p p l i e s f o r BCASW membership, and i f he i s e l i g i b l e , through the p r o v i n c i a l o r g a n i z a t i o n f o r CASW membership as w e l l , he signs a pledge which reads; " I f elected. I agree to be governed by i t s C o n s t i t -u t i o n and Bylaws; to promote i t s objects as f a r as may be i n my power, and to maintain the e t h i c a l standards of 2 the p r o f e s s i o n . " 1 I b i d . 2 B r i t i s h Columbia A s s o c i a t i o n of. S o c i a l Workers, " A p p l i -c a t i o n and. Fledge,". A p p l i c a t i o n f o r Class B Membership ( I n - c l u d i n g Membership inCASW), Vancouver, B r i t i s h Columbia A s s o c i a t i o n of S o c i a l Workers. 150-. I t i s not the current p r a c t i c e of the BCASW to provide the appl y i n g p r a c t i t i o n e r , e i t h e r before or a f t e r he has jo i n e d the A s s o c i a t i o n , w i t h a copy of the C o n s t i t u t i o n , Bylaws, or the Code of E t h i c s , unless 1 that p r a c t i t i o n e r so requests. (In a l l f a i r n e s s to the p r o v i n c i a l a s s o c i a t i o n , two p e r t i n e n t f a c t s must be mentioned: f i r s t , the BCASW i s s t a f f e d e n t i r e l y by volunteers who are u s u a l l y em-ployed i n f u l l time s o c i a l work p o s i t i o n s , and who are handicapped i n having the time to dedicate to a s s o c i a t -i o n a l matters such as t h i s which they recognize as e s s e n t i a l ; secondly, the o b t a i n i n g of v i t a l m a t e r i a l such as the Code of E t h i c s i s equally the r e s p o n s i b i l i t y of the p r a c t i t i o n e r and h i s employing agency.) Considering the current f a c t s of the s i t u a t i o n one may hazard a guess th a t there i s a s i g n i f i c a n t number of s o c i a l workers who are members of the p r o f e s -s i o n a l a s s o c i a t i o n s , and who have pledged that they w i l l m aintain the e t h i c a l standards of the p r o f e s s i o n , w i t h -out having seen or consciously i n c o r p o r a t e d i n t o t h e i r p r o f e s s i o n a l p r a c t i c e the Code of E t h i c s as such. This subject w i l l be discussed more thoroughly i n the course of t h i s study i n connection w i t h the problem of promelga-t i o n . I n B r i t i s h Columbia there are l a r g e numbers of 1 Hawkes, op_. p i t . 151. people employed i n s o c i a l work p o s i t i o n s who are i n -s e r v i c e t r a i n e d , but who l a c k the ba s i c education and/or experience f o r membership i n e i t h e r the p r o v i n c i a l or the n a t i o n a l a s s o c i a t i o n s . T h i s group i s a l s o not fo r m a l l y o b l i g a t e d to adhere to the Code of E t h i c s , and. i s beyond the formal r e g u l a t o r y c o n t r o l of the a s s o c i -a t i o n s i n cases of alleged, v i o l a t i o n of the Code of E t h i c s . Among the i n - s e r v i c e t r a i n e d there are people who q u a l i f y f o r p r o v i n c i a l membership and who have not chosen to j o i n the BCASW. These too are beyond the j u r i s d i c t i o n of the p r o f e s s i o n a l o r g a n i z a t i o n . The obvious c o n c l u s i o n would, seem to be that although the 1964 Code of E t h i c s s t a t e s that the "Rules of Cond-uct apply to a l l s o c i a l workers i n t h e i r pro-1 f e s s i o n a l r e l a t i o n s h i p s and p r a c t i c e , i t i s not w i t h i n the a s s o c i a t i o n ' s o f f i c i a l j u r i s d i c t i o n to ensure that such adherence i s maintained. ( i i ) Dual Membership i n a P r o f e s s i o n a l A s s o c i a t i o n and a Trade Union. The N a t i o n a l Executive of the CASW and the N a t i o n a l Board agreed i n 1964 t h a t a sentence should be added to the Code of Personnel P r a c t i c e s to s t a t e t h a t : The r i g h t of a member to belong to a union of h i s choice e s t a b l i s h e s h i s r i g h t to use the grievance procedures of h i s union as an a l t e r n a t i v e to the procedures provided by 1 Canadian A s s o c i a t i o n of S o c i a l Workers, "Guiding P r i n -c i p l e s , " op_. c i t . 152. the p r o f e s s i o n a l a s s o c i a t i o n . . . I t i s equally as proper f o r a person who i s a member of a. union and a member of the p r o f e s s i o n a l a s s o c i -a t i o n to seek help from the union as from the p r o f e s s i o n a l a s s o c i a t i o n . There i s no p r i o r -i t y l a i d down f o r him and he i s f r e e to make the choice. 1 This r a i s e s s e v e r a l i s s u e s . Does a dual member-ship create i n the i n d i v i d u a l p r a c t i t i o n e r a d i v i s i o n of l o y a l t y between the p r o f e s s i o n a l a s s o c i a t i o n w i t h standard s e t t i n g r e s p o n s i b i l i t y , and the trade union a s s o c i a t i o n w i t h b a r g a i n i n g r i g h t s ? I s the p r a c t i t i o n -er's p r o f e s s i o n a l i d e n t i t y as a s o c i a l worker confused or d i f f u s e d by h i s dual commitment to p u b l i c s e r v i c e i n the i n t e r e s t s of s o c i a l welfare and to c o l l e c t i v e b a r g a i n i n g f o r improved working con d i t i o n s ? I f the p r a c t i t i o n e r has the r i g h t to di s c u s s the grievances themselves i n the union a s s o c i a t i o n , w i l l t h i s not de-crease the number of matters r e l a t e d to the Code of E t h i c s coming to the a t t e n t i o n of the p r o f e s s i o n a l a s s o c i a t i o n , and thereby weaken p r o f e s s i o n a l r e g u l a t o r y c o n t r o l ? The 1964 Code of E t h i c s r e q u i r e s i n r u l i n g number four that "the s o c i a l worker t r e a t s w i t h respect the statements and a c t i o n s of colleagues, and uses p r o f e s -s i o n a l l y approved channels to express personal judgment on these matters." According to the 1964 statement 1 E. Govan, The Pr e s i d e n t Reports, Ottawa, Canadian A s s o c i -a t i o n of S o c i a l Workers, 1964, p.2. 2 Canadian'Association of S o c i a l Workers, "Rules of Con-duct," op_. c i t . • 153. of the N a t i o n a l Executive, the worker has the r i g h t to " a i r the settlement of grievances" u s i n g the machinery provided by the union. The union i s , t h e r e f o r e , a " p r o f e s s i o n a l l y approved channel" f o r t h i s delineated. purpose. However, the 1964 Code of E t h i c s a l s o r e q u i r e s i n r u l i n g n u m b e r three that "the s o c i a l worker t r e a t s as c o n f i d e n t i a l a l l i n f o r m a t i o n acquired i n the course of h i s p r a c t i c e , and when such i n f o r m a t i o n i s revealed f o r p r o f e s s i o n a l purposes, i t i s done w i t h discernment 1 and w i t h regard f o r the persons concerned." I s the a i r i n g of the settlement of grievances a v a l i d p r o f e s s i o n a l purpose? I s i t not conceivable that a p r a c t i t i o n e r could be considered g u i l t y of v i o -l a t i n g the Code of E t h i c s r u l e concerning c o n f l d e n t -• i a l l t y w h i l e e x e r c i s i n g i n h i s union the r i g h t given to him by the Canadian A s s o c i a t i o n of S o c i a l Worker's N a t i o n a l Executive? I t i s evident that t h i s area of dual membership i s c u r r e n t l y ambiguous enough to merit the a t t e n t i o n i t i s r e c e i v i n g from the a s s o c i a t i o n s on both the n a t i o n a l and p r o v i n c i a l l e v e l s w i t h a view to c l a r i f y -i n g the very kinds of questions r a i s e d here. ( i i i ) J u r i s d i c t i o n a l R e l a t i o n s h i p of the Code of E t h i c s and the Law. (a) W i t h i n the F i e l d of Endeavour Society's f o r m a l , l e g a l s a n c t i o n has been given 1 I b i d . 154. to s o c i a l work a c t i v i t i e s i n c e r t a i n s p e c i f i e d areas where the p r a c t i t i o n e r ' s a u t h o r i t y and r e s p o n s i b i l i t y have been d e f i n e d by f e d e r a l and p r o v i n c i a l a c t s of parliament. These areas would i n c l u d e , f o r example, p r o t e c t i o n of c h i l d r e n , f i n a n c i a l a i d , c h i l d w e l f a r e , and i n s t i t u t i o n a l l i c e n c i n g . The Code of E t h i c s out-l i n e s i n the guiding p r i n c i p l e s and the r u l e s of conduct the manner i n which the p r a c t i t i o n e r e t h i c a l l y e x e r c i s e s h i s a u t h o r i t y and c a r r i e s out h i s r e s p o n s i b i l i t y . How-ever, since the Canadian A s s o c i a t i o n of S o c i a l Workers has not,_at t h i s time, the l e g a l r i g h t to r e q u i r e that i t s p r a c t i t i o n e r s be l i c e n c e d i n order to p r a c t i c e w i t h -i n the f i e l d of endeavour, the A s s o c i a t i o n ' s Code of E t h i c s i s i n no way l e g a l l y b i n d i n g on s o c i a l workers and has no formal l e g a l status - or none that has yet been e s t a b l i s h e d . Neither the c i v i l nor the c r i m i n a l law can censure the misconduct of a s o c i a l work p r a c t -i t i o n e r unless that misconduct c o n s t i t u t e s a l e g a l offence. Misconduct c o n s t i t u t i n g an e t h i c a l v i o l a t i o n xtfithout l e g a l r a m i f i c a t i o n s must be d e a l t w i t h by the A s s o c i a t i o n . The d i f f i c u l t i e s of processing an a l l e g e d v i o l a t i o n of the Code of E t h i c s w i t h i n the A s s o c i a t i o n have already been discussed. One of the most important f a c t o r s a r i s i n g out of the l a c k of l e g a l r e c o g n i t i o n of the Code of E t h i c s as f a r as the c l i e n t i s concerned i s that communications between the s o c i a l worker and h i s c l i e n t s are not con-si d e r e d to be c o n f i d e n t i a l by the courts of law. M I n -155. formation that c l i e n t s w i l l assume w i l l be held i n con-fidence may have to be d i s c l o s e d i n the course of l e g a l process. As f a r as the law i s concerned, there i s noth-i n g c o n f i d e n t i a l i n an agency record." An agency s t a f f member may be l e g a l l y subpoenaed to appear and to give testimony under oath at the d i r e c t i o n of the court regarding i n f o r m a t i o n that has been d i s c l o s e d to him by the c l i e n t i n the p r o f e s s i o n a l r e l a t i o n s h i p . The court has the r i g h t to r e q u i r e the production of case records, although t h i s i s u n l i k e l y since they c o n t a i n heresay evidence which has l i m i t e d 2 l e g a l value. A r e l a t e d f a c t o r concerns i n f o r m a t i o n given when en q u i r i e s are made by law enforcement agencies that do not i n v o l v e court proceedings. Again, the law does not recognize p r i v i l e g e d s o c i a l work communication. A con-f l i c t a r i s e s between the p r a c t i t i o n e r ' s e t h i c a l and l e g a l o b l i g a t i o n s . "One school of thought claims t h a t a p r o f e s s i o n a l person i s not at l i b e r t y to di s c u s s a c l i e n t ' s a f f a i r s w i t h the p o l i c e , although compromises may be made i n the i n t e r e s t s of harmonious working r e -l a t i o n s w i t h the p o l i c e . Another school of thought con-s i d e r s i t the duty of a l l c i t i z e n s to a i d the p o l i c e , 1 E t h i c s Committee, Toronto Branch of the Canadian A s s o c i -a t i o n of S o c i a l Workers, op_. c i t . , p. 10. 2 I b i d . , p.11. 156. and that anything l e s s than f u l l co-operation may con-s t i t u t e o b s t r u c t i o n of p o l i c e . " The question of the c o r r e l a t i o n of the s o c i a l worker's l e g a l and e t h i c a l r e s p o n s i b i l i t i e s i n t h i s area i s obviously one t h a t r e q u i r e s extensive study and research i n t o the i m p l i c a t i o n s f o r both the worker and h i s c l i e n t s . One method of c l a r i f i c a t i o n and c o r r e l a t i o n of the s o c i a l worker's r e s p o n s i b i l i t i e s and r i g h t s would be the implementation of a system of l i c e n c i n g . This would mean tha t the Canadian A s s o c i a t i o n of S o c i a l Workers would be l e g a l l y empowered as the recognized body to grant to p r a c t i t i o n e r s by the device of c e r t -i f i c a t i o n , the l e g a l r i g h t to p r a c t i c e , and would l e g a l l y set and ensure adherence to standards. V i o l a t i o n of the Code of E t h i c s would, i n t h i s case, be censurable by the p r a c t i t i o n e r s l o s s of r i g h t s to p r a c t i c e l e g a l l y w i t h i n the f i e l d , of endeavour. The general p u b l i c would be en-sured th a t the holder of a l i c e n c e be competent w i t h i n ' the terms of reference and could be h e l d l e g a l l y respon-s i b l e f o r those sections f a l l i n g w i t h i n those s p e c i f i c •2 terms. The need f o r such a step has long been recognized 1 I b i d . , p. 13. 2 Richardson, op_. c i t . , p. 15-157. and stu d i e d by Canadian s o c i a l itforkers. The BCASW con-sid e r e d i t s founding i n 1958 to be the f i r s t step toward c e r t i f i c a t i o n . 1 Apparently one of the bas i c reasons f o r the d i f f i c u l t y i n implementing a l i c e n c i n g system i s be-l i e v e d , to be that s o c i a l workers have not yet defined "those things common to a l l three (casework, group work and community o r g a n i z a t i o n ) , but s p e c i f i c to s o c i a l work, and which, f o r the p u b l i c weal, no-one but a l i c e n c e d p s o c i a l worker can be allowed to do." Any rel u c t a n c e to l i m i t c e r t i f i c a t i o n to those p r a c t i t i o n e r s who have com-p l e t e d the f u l l academic requirements f o r a Master's degree would be understandable i n the l i g h t of current s t a f f shortages. I f l i c e n c i n g were f u r t h e r l i m i t e d to the s p e c i a l i z e d method of casework, group work or com-munity o r g a n i z a t i o n i n which the p r a c t i t i o n e r has advanced t r a i n i n g on a Master's l e v e l he would be l e g a l l y p r o h i b i t -ed from p r a c t i s i n g the other two methods i n those p a r t i -c u l a r s e t t i n g s where a high degree of competence i s r e -3 quired i n a l l three. I t can be assumed al s o that the implementation of a l i c e n s i n g system would n e c e s s i t a t e the reclassifica„tion of p o s i t i o n s i n the f i e l d r o f s o c i a l work to make p r o v i s i o n f o r a category of welfare workers without f u l l academic q u a l i f i c a t i o n s to assume r e s p o n s i -b i l i t i e s not r e q u i r i n g s p e c i a l i z e d t r a i n i n g . 1 Hawkes, op_. c i t . , p. 55* 2 Richardson, op_. c i t . , p . l 8 . 3 I b i d . 158. One may c o n f i d e n t l y hazard the guess that l i c e n s i n g i s not a p o s s i b i l i t y f o r the immediate f u t u r e i n Canadian s o c i a l work, and that f o r the present the p r a c t i t i o n e r s and the p u b l i c must continue to s t r u g g l e w i t h the am-b i g u i t i e s and c o n f l i c t s of the current s i t u a t i o n . Outside the F i e l d of Endeavour S o c i a l work p r a c t i t i o n e r s must observe the c i v i l and c r i m i n a l laws which attempt to p r o t e c t and to regu-l a t e a l l members of t h e i r s o c i e t y . Since the courts do not recognize the p r o f e s s i o n a l a s s o c i a t i o n as a l e g a l body competent to p r o t e c t p u b l i c i n t e r e s t , any v i o l a t i o n of c i v i l or c r i m i n a l law by a p r a c t i t i o n e r e i t h e r w i t h i n or outside the f i e l d of endeavour, must be d e a l t w i t h by the e s t a b l i s h e d l e g a l machinery f o r a l l c i t i z e n s . Without a system of c e r t i f i c a t i o n , the p r o f e s s i o n a l a s s o c i a t i o n has no a u t h o r i t y acceptable to the c o u r t s , to d e a l e x c l u s i v e l y w i t h i t s members. Legal j u r i s d i c t i o n takes precedence. I t has not been p o s s i b l e to a s c e r t a i n the p o l i c y followed by the p r o f e s s i o n a l s o c i a l work a s s o c i a t i o n s i n regard to p r a c t i t i o n e r s who v i o l a t e the c i v i l or c r i m i n a l law when that v i o l a t i o n does not c o n s t i t u t e p r o f e s s i o n a l l y u n e t h i c a l behavior. Since precedent d i c t a t e s t h a t a charge of a l l e g e d v i o l a t i o n of the Code of E t h i c s must be r e l a t e d to a. s p e c i f i c s e c t i o n of the Code, i t would seem a safe assumption that unless the 159. the c i v i l or c r i m i n a l i n f r a c t i o n could be i n t e r p r e t e d as a v i o l a t i o n of a s p e c i f i c r u l e of conduct, the pro-f e s s i o n a l a s s o c i a t i o n would not have the o f f i c i a l auth-o r i t y to deal w i t h the s o c i a l worker i n t h i s s i t u a t i o n . I m p l i c a t i o n s of the Code of E t h i c s f o r S o c i a l P o l i c y I t i s not p o s s i b l e to formulate a Code of E t h i c s w i t h i m p l i c a t i o n s f o r i n d i v i d u a l behavior t h a t does not create i m p l i c a t i o n s f o r i n d i v i d u a l r e l a t i o n s h i p s w i t h i n s t i t u t i o n s and w i t h the p u b l i c . Codes of E t h i c s f a l l short of what they should and must do i f they f a i l to take cognizance of the im-p l i c a t i o n s f o r s o c i a l p o l i c y . They must come to terms w i t h s o c i a l s i t u a t i o n s which w i l l be encountered, i n t h e i r imple-mentation, and provide a continuous b a s i s on which to decide p o l i c y t h a t i s meaningful and e f f e c t i v e i n p r a c t i c a l s i t u a t i o n s . I n order to be e f f e c t i v e , the Code of E t h i c s must be workable and there must be established, machinery to implement i t . The 1964 s o c i a l work Code of E t h i c s f o r Canadian p r a c t i t i o n e r s i s at a serious disadvantage i n both these areas. Vie have attempted to analyze the content of the Code i n order to determine i t s p r a c t i c a l w o r k a b i l i t y , and have found a s i g n i f i c a n t l a c k of c l a r i t y and decis i v e n e s s which poses problems i n i n t e r p r e t a t i o n and implementation. I t seems that the i n t e n t of the p r o f e s s i o n a l A s s o c i a t i o n has been l o s t , i n s e v e r a l i n s t a n c e s , i n over-generalized, or i n -adequate terminology, and that t h i s must decrea.se the use- • f u l n e s s of the Code as a b a s i s f o r e f f e c t i v e s o c i a l p o l i c y f o r m u l a t i o n . Nevertheless, the CASW has expressed i t s e l f i6o. w e l l on some p o l i c y questions. A good b r i e f was submitted by the A s s o c i a t i o n to the H a l l Commission on medical care. The question i s a c t u a l l y one of c o o r d i n a t i n g the a c t i v i t i e s r e l a t e d to the Code of E t h i c s and the a c t i v i t i e s r e l a t e d to s o c i a l p o l i c y , and b r i n g i n g out t h e i r mutual i m p l i c a t i o n s . I n r e l a t i o n to the Guiding P r i n c i p l e s and the Rules of Con-duct we have r a i s e d s e v e r a l questions, each of which i n essence asks where the p r a c t i t i o n e r i s to stand i n attempting to t r a n s l a t e the Code i n t o a c t i v e p r a c t i c e . I n the area r e l a t e d to machinery f o r implementation there are a l s o very serious gaps. U n t i l a request f o r review reaches the l e v e l of the N a t i o n a l Committee there are no w r i t t e n procedured. Precedent i s subject to the workings of human memory. The i n t e r p r e t a t i o n of.the Code of E t h i c s and the processing of reviews i s subject to r e g i o n a l d i f f e r e n c e s t h a t do not n e c e s s a r i l y produce consistency or c o o r d i n a t i o n as they e f f e c t s o c i a l p o l i c y . The voluntary nature of membership and the s t r i n g e n t l i m i t a t i o n s on the sanctions a v a i l a b l e to the a s s o c i a t i o n s i n cases of e t h i c a l v i o l a t i o n s i m i l a r l y reduce the e f f e c t i v e n e s s of the Code i n the areas of education, c o n s u l t a t i o n , and cen-s u r i n g u n e t h i c a l behavior. The r u l e of conduct number 'ten merits p a r t i c u l a r a t t e n t i o n because i t r e l a t e d s p e c i f i c a l l y to the worker's r e s p o n s i b i l i t y to c o n t r i b u t e h i s knowledge and s k i l l to the s t i m u l a t i o n , development and support of programmes of s o c i a l w e l f a r e . This n e c e s s a r i l y i n v o l v e s s o c i a l a c t i o n and s o c i a l l 6 l . p o l i c y f o r m u l a t i o n along the l i n e s of the t r a d i t i o n that s o c i a l work claims as i t s own. S o c i a l workers are i n a, good p o s i t i o n to conduct themselves i n t h e i r r e l a t i o n s h i p s w i t h c l i e n t s and w i t h the p u b l i c i n a manner that e x e m p l i f i e s and gives i n s t r u c t i o n ' i n a ppropriate forms of democratic l i f e . They are i n a p o s i t i o n to demonstrate s e l f - d i s c i p l i n e and commitment to the r e q u i r e -ments of s o c i a l order, but i n the i n d u s t r i a l i z e d b u r e a u c r a t i c o r g a n i z a t i o n of the Twentieth Century they do not have the freedom or the opportunity to undertake s o c i a l a c t i o n i n the way that was open to e a r l y reformers. The worker's contact w i t h the d a i l y l i f e of h i s c l i e n t s i s r e a l i s t i c a l l y very l i m i t e d , and t h i s i n t u r n l i m i t s the i n f o r m a t i o n a v a i l a b l e to him about c o n d i t i o n s r e q u i r i n g broad reform. Very few i n d i v i d u a l p r a c t i t i o n e r s have access to i n f l u e n t i a l people who could use such i n f o r m a t i o n , f o r reform purposes. I n r e a l i t y , bureaucracy most f r e q u e n t l y uses l i n e a r a d m i n i s t r a t i o n vrtiich does not encourage the f r e e exchange of i n f o r m a t i o n and. id.eas e i t h e r w i t h i n the s t r u c t u r e or between the s t r u c t u r e and the p u b l i c . Decisions are t y p i c a l ^ made at the top of the h i e r a r c h i c a l o r g a n i z a t i o n and implemented at the bottom. The worker must use b u r e a u c r a t i c a l l y approved channels f o r communication, and must provide j u s t i f i c a t i o n f o r any advocacy th a t exceeds the boundaries of h i s bureau-c r a t i c a l l y defined r o l e . Informal sanctions a l s o create pressures to preserve the status quo and to prevent changes • 162. which might i n f l u e n c e the customary modus operandi. The p o l i t i c a l l i m i t a t i o n s imposed on s o c i a l workers "by v i r t u e of t h e i r employment as c i v i l servants r e s t r i c t s the p r a c t -i t i o n e r ' s freedom to advocate and to implement reform. Be-cause s o c i a l reform i n v o l v e s a l a r g e p a r t of s o c i e t y , pro-posals q u i c k l y pass "beyond the moral and l e g a l j u r i s d i c t i o n of the worker and h i s p r o f e s s i o n a l body whom he must a l s o s a t i s f y as to the e t h i c a l r i g h t n e s s of the a c t i o n s he i s advocating. His p r o f e s s i o n a l education and experience do not a u t o m a t i c a l l y prepare him to be an expert i n planned s o c i a l change. I n summary, the s o c i a l worker's scope f o r s o c i a l a c t i o n and s o c i a l p o l i c y f o r m u l a t i o n are very l i m i t e d by the openess of the Code of E t h i c s to v a r i a b l e i n t e r p r e t a t i o n , by l a c k of e s t a b l i s h e d machinery to t r a n s l a t e the Code i n t o p r a c t i c a l s i t u a t i o n s , and by the pressures of p r o f e s s i o n a l -ism, pseudo-professionalism and bureaucracy. Conclusions I t would seem to be academically impossible to formulate e t h i c a l r u l e s that w i l l cover every s i t u a t i o n p r i o r to i t s occurrence. There w i l l always be an i r r e d u c a b l e margin f o r i n t e r p r e t a t i o n . The s o c i a l work Code of E t h i c s i n i t s present stage of growth i s attempting to reduce the wide margin f o r i n t e r p r e t a t i o n that now e x i s t s . The Canadian A s s o c i a t i o n of S o c i a l Workers has s t a t e d i t s b e l i e f that the Code of E t h i c s 163-should be a p o s i t i v e source of help and guidance, r a t h e r than a set of r e s t r i c t i v e r e g u l a t i o n s . The A s s o c i a t i o n wishes to be h e l p f u l , and p r i m a r i l y to o f f e r education and c o n s u l t a t i o n . There i s evidence that the Code of E t h i c s i s not widely c i r -c u l a t e d and tha t the l i t e r a t u r e r e l a t e d to i t i s indeed very scarce. I t s value as an educational device i s t h e r e f o r e l i m i t e d . The wide scope f o r i n t e r p r e t a t i o n of the general-i z e d terminology i n which the Code i s w r i t t e n r a i s e s serious questions about i t s e f f e c t i v e n e s s and use i n s o c i a l work p r a c t i c e . The l a c k of machinery to implement the Code at the branch l e v e l , combined w i t h i t s d e f i c i e n c i e s i n the area of education hampers the c o n s u l t a t i v e f u n c t i o n of the p r o v i n c i a l and n a t i o n a l a s s o c i a t i o n s . At the present time, i t i s h i g h l y u n l i k e l y that the Code of E t h i c s i s i n f l u e n t i a l i n c o n t r o l l i n g p r o f e s s i o n a l be-h a v i o r , or th a t any formal device could be completely success-f u l i n doing so. I n r e a l i t y e t h i c a l conduct i s determined by the s o c i a l work p r a c t i t i o n e r ' s a t t i t u d e s , s e l f - d i s c i p l i n e and commitment to p r o f e s s i o n a l purposes. I t i s our c o n c l u s i o n t h a t the 1964 Code of E t h i c s i s not a v a l i d means to f o s t e r or to develop such q u a l i t i e s i n workers, and that the A s s o c i -a t i o n must again s e r i o u s l y consider another r e v i s i o n i n order to a s s i s t p r a c t i t i o n e r s i n the f i e l d . -CHAPTER IV THE PROFESSION OF LIBRARIANSHIP I n t r o d u c t i o n As the focus of t h i s chapter i s on Codes of E t h i c s and other guiding p r i n c i p l e s adhered to by L i b r a r i a n s , we s h a l l not attempt to t r a c e the development of l i b r a r i e s from the ancient Egyptian c o l l e c t i o n s of h i e r o g l y p h i c s to the modern l i b r a r i e s we enjoy today. Perhaps the most s i g n i f i c a n t change i n the f u n c t i o n of l i b r a r i e s during t h e i r development was the swing away from the L i b r a r i a n as a schola.r who c o l -l e c t e d books f o r h i s own use and. would o c c a s i o n a l l y share them w i t h f r i e n d s , to the modern day l i b r a r i e s where the L i b r a r i a n works an e i g h t hour day, not as a s c h o l a r , but as a servant of the p u b l i c . L e t us d w e l l f o r a moment upon what these "servants of the p u b l i c " do. There i s a great d.eal of l i t e r a t u r e w r i t t e n by L i b r a r i a n s about what they b e l i e v e t h e i r f u n c t i o n should, be. L i k e many other incompletely developed p r o f e s s i o n s , the L i b r a r i a n s h i p p r o f e s s i o n has d i f f i c u l t y i n s p e l l i n g out i where i t s s p e c i f i c area of competence l i e s . J.L. Angel 1 G.G. Turner, "The P l a c e of L i b r a r i a n s h i p Among the Pro-f e s s i o n s " , F e l i c i t e r , March 1957i P. 23. 165. w r i t e s that "The L i b r a r i a n i s a s p e c i a l i s t i n the a r t of p r o v i d i n g i n f o r m a t i o n and guidance to anyone doing an impor-t a n t job, whether i t i s studying, running a f a c t o r y , b u i l d i n a. b r i d g e , r e o r g a n i z i n g a p u b l i c h e a l t h s e r v i c e , w r i t i n g a book, or j u s t t r y i n g to improve himself or solve a personal i problem."' This i s , to say the l e a s t , a very ambitious statement of competence. A p a r t i a l l i s t of the f i e l d s of s e r v i c e s of v a r i o u L i b r a r i a n s h i p s p e c i a l i z a t i o n s would, portray the L i b r a r i a n as a College L i b r a r i a n , a. S p e c i a l L i b r a r i a n , a P u b l i c L i b r a r i a n a School L i b r a r i a n , a C h i l d r e n ' s L i b r a r i a n , a Technological L i b r a r i a n , a Medical L i b r a r i a n , a Bookmobile L i b r a r i a n , a Reference L i b r a r i a n , a Commercial L i b r a r i a n , and an Adminis-t r a t i v e L i b r a r i a n . The l i s t i s f a r from complete. W i t h i n each of these s p e c i a l i z a t i o n s a L i b r a r i a n may be c a l l e d upon to perform s e v e r a l f u n c t i o n s such as s e l e c t i o n , c a t a l o g u i n g , and d i s t r i b u t i o n of books as w e l l as performing the many c l e r i c a l tasks thus e n t a i l e d . Many books and a r t i c l e s have been w r i t t e n on the subject of what i s the common element of a l l tasks that a L i b r a r i a n performs. Rather than t y i n g ourselves to an a r b i t r a r y , s t a t i c d e f i n i t i o n which would, probably offend many L i b r a r i a n s , we s h a l l simply s t a t e that L i b r a r i a n s h i p i s what L i b r a r i a n s do. This s u r e l y w i l l i n c l u d e a l l L i b r a r i a n s 1 J.L. Angel, Careers i n the L i b r a r y F i e l d , New York, World Trade Academy Pre s s , 1957, P« 2. L i b r a r y Associations)*-#\ - _ _ f _ _ _ _ _ • , I t has been found t h a t when^^r^. .'groups of people are employed i n s i m i l a r i n s t i t u t m z i a throughout a country they eventually organize i n t o s o m i ^ ^ e ; . d f ^ s s o c -i a t i o n . The L i b r a r i a n s d i d so i n 1876 w h e n ^ ^ l ^ ^ j e V ^ a n L i b r a r y A s s o c i a t i o n (ALA) was formed. 1 T h i s % o d y v<^n^M:ntves today as the main L i b r a r y A s s o c i a t i o n i n the U. 8. A.'\^f?s/.;' membership i n c l u d e s L i b r a r i a n s , Board members, c l e r i c a l '•'j,','• s t a f f , school teachers, and i n general, anyone i n t e r e s t e d i n l i b r a r i e s and w i l l i n g to pay a small membership fee. I n Canada the p r o v i n c i a l a s s o c i a t i o n s f i r s t began when the L i b r a r i a n s of Ontario formed an A s s o c i a t i o n , the Ontario L i b r a r y A s s o c i a t i o n (OLA), i n 1900. B r i t i s h Columbia followed s u i t i n 1911 w i t h the B r i t i s h Columbia L i b r a r y A s s o c i a t i o n (BCLA), and by 19^4 L i b r a r i a n s i n a l l ten provinces had formed L i b r a r y A s s o c i a t i o n s . I n 19^6 the n a t i o n a l a s s o c i a t i o n , the Canadian L i b r a r y A s s o c i a t i o n (CLA) was formed. I t s o b j e c t i v e s f e l l i n t o two c a t e g o r i e s . The f i r s t i n c l u d e s l i a i s o n between Canada and the world; l i a i s o n between the p r o f e s -s i o n and the Federal Government (on matters of p r e s t i g e , customs, f i l m s , the N a t i o n a l G a l l e r y , L i b r a r y and A r c h i v e s , the Canadian Broadcasting Corporation, e t c . ) ; p u b l i c a t i o n ; n a t i o n a l conferences; and p u b l i c r e l a t i o n s at the n a t i o n a l l e v e l , by means of r a d i o , t e l e v i s i o n , n a t i o n a l magazines and Young Canada's Book Week. I n the second., f a l l 1 Geof. P. S e l t h , " L i b r a r y A s s o c i a t i o n s i n Canada", L i b r a r y J o u r n a l , v o l . 86 (Nov. 1, 1961), p. 3751. 2 I b i d . , p. 3751. 167. the questions of standards (of L i b r a r y s e r -v i c e , l e g i s l a t i o n and personnel); placement and exchange of L i b r a r i a n s , and support of e f f o r t s to promote t h e i r t r a i n i n g ; l o a n of p r o f e s s i o n a l l i b r a r y i n f o r m a t i o n ; and en-couragement to the c o m p i l a t i o n of basi^c Canadian reference books. 1 This A s s o c i a t i o n , l i k e i t s American counterpart, i s not s t r i c t l y a p r o f e s s i o n a l o r g a n i z a t i o n , i n that membership i s u n r e s t r i c t e d . The only o f f i c i a l l y recognized p r o f e s s i o n a l L i b r a r -ians a s s o c i a t i o n i n Canada i s one that was formed i n Ontario i n 1958, the I n s t i t u t e of P r o f e s s i o n a l L i b r a r i a n s of Ontario ( I P L ) . I t s t a r t e d as a s e c t i o n of OLA but i n i960 broke away a.nd became independent. The IPL drew up f a i r l y r i g o r o u s standards f o r admission but d i d i n c l u d e a "grandfather clause" f o r those L i b r a r i a n s who l a c k e d p r o f e s s i o n a l t r a i n i n g but had l o n g s e r v i c e i n the f i e l d . The reasons f o r s e t t i n g up the IPL were s t a t e d by 2 B r i a n Land, p r e s i d e n t of IPL, to bes (1) Fewer than o n e - t h i r d of OLA membership were pro-f e s s i o n a l L i b r a r i a n s . Many were t r u s t e e s and f r i ends. (2) OLA. had l i t t l e appeal f o r academic L i b r a r i a n s . (3) There was d i s s a t i s f a c t i o n w i t h c e r t i f i c a t i o n being conducted by n o n - L i b r a r i a n s . 1. I b i d . 2. B r i a n Land, "The I n s t i t u t e of P r o f e s s i o n a l L i b r a r i a n s " , B r i t i s h Columbia L i b r a r y Q u a r t e r l y , v o l . 25 ( A p r i l 1962), p.3. 1 6 8 . ' (4) Labor Unions were drawing L i b r a r i a n s i n t o t h e i r f o l d s and the L i b r a r i a n s were powerless i n t h e i r p r o t e s t s against being fo r c e d to j o i n a union since The Labor R e l a t i o n s Act s t i p u l a t e s tha.t i f 50 P e r cent of the employees of an i n s t i t u t i o n j o i n a union a l l employees must pay union dues. (5) Lack of p r o f e s s i o n a l standards. I n e x p l a i n i n g the d i v i s i o n of f u n c t i o n s between OLA, CLA and IPL, Land wrote "A g e n e r a l i z a t i o n i s th a t OLA and CLA emphasize standards f o r l i b r a r i e s and l i b r a r y s e r v i c e , w h i l e the IPL deals w i t h standards and welfare of p r o f e s s i o n a l L i b r a r i a n s . " I n B r i t i s h Columbia there i s no p r o f e s s i o n a l a s s o c i a t i o n of L i b r a r i a n s except f o r the I n s t i t u t e of V i c t o r i a L i b r a r i a n s which i s an a s s o c i a t i o n formed i n November, 1962 2 f o r the b e n e f i t of L i b r a r i a n s i n the c i t y of V i c t o r i a . I t i s s t r i c t l y a l o c a l o r g a n i z a t i o n that has no l e g a l status and thus cannot e x e r c i s e any formal measure of c o n t r o l over the l i b r a r i e s or L i b r a r i a n s i n the V i c t o r i a area. Perhaps i t s most noted accomplishment may be to s t i m u l a t e i n t e r e s t i n p r o f e s s i o n a l a s s o c i a t i o n s i n B r i t i s h Columbia. One of the purposes of the I n s t i t u t e as o u t l i n e d i n i t s C o n s t i t u t i o n i s " . . . t o seek a f f i l i a t i o n w i t h s i m i l a r o r g a n i z a t i o n s w i t h 1 i b i d . , p. 7. 2 J.G. M i t c h e l l , "The I n s t i t u t e of V i c t o r i a L i b r a r i a n s , " B r i t i s h Columbia L i b r a r y Q u a r t e r l y , v o l . 27, No. 4 ( A p r i l 1964), p. 3 . 169. the aim of forming p r o v i n c i a l and n a t i o n a l o r g a n i z a t i o n s of 1 p r o f e s s i o n a l L i b r a r i a n s . " On November 1, 1964, a committee was set up w i t h i n the BCLA to study the merit of o r g a n i z i n g a p r o f e s s i o n a l 2 a s s o c i a t i o n of L i b r a r i a n s i n B r i t i s h Columbia. The chieT reason f o r s t r i v i n g f o r such an a s s o c i a t i o n was h e l d to be t h a t "BCLA i s unable to p r o t e c t and enforce standards of p r o f e s s i o n a l competence."3 But at the same time, there were many who opposed, f o r various reasons, the i d e a of s e t t i n g up "another o r g a n i z a t i o n " . The above mentioned committee w i l l be n o t i f y i n g a l l q u a l i f i e d L i b r a r i a n s of the proposal to set up a pro-f e s s i o n a l a s s o c i a t i o n , u s i n g the Ontario IPL as a model, i n advance of the BCLA's semi-annual meeting i n May 1965* At t h a t meeting a l l q u a l i f i e d L i b r a r i a n s w i l l be asked to vote on the i s s u e of whether or not a committee should be e s t a -b l i s h e d to draw up a. C o n s t i t u t i o n and take steps to form a p r o f e s s i o n a l a s s o c i a t i o n . I f the membership of BCLA i s agree-able to such a p l a n i t would probably s t i l l take another two h, years b e f o r e the a s s o c i a t i o n could become a l e g a l e n t i t y . 1 I b i d . , p. 5 . 2 B r i t i s h Columbia L i b r a r y A s s o c i a t i o n Reporter ( N e w s l e t t e r ) , v o l . 8, No. 2 (January 1965), p. 2. 3 I b i d . , p. 2. 4 Mrs. L o i s Bewley, Interview w i t h W r i t e r , 3 March 1965. Mrs. Bewley i s the P r e s i d e n t of B.C.L.A. C e r t l f i c a t i o n 170. One of the steps that most occupational groups take on the road to becoming p r o f e s s i o n a l i s to t r y to e l i m i n a t e the " u n q u a l i f i e d " p r a c t i t i o n e r s through c e r t i f i -c a t i o n and l i c e n s i n g . L i b r a r i a n s are no exception. I n 1940 the BCLA set up a committee to study the question of c e r t i f i c a t i o n and by 1944, a f t e r having been refused once by the Union of B r i t i s h Columbia M u n i c i p a l i t i e s and having had t h e i r plans d r a s t i c a l l y a l t e r e d by the M i n i s t e r of Edu-2 c a t i o n , c e r t i f i c a t i o n became a r e a l i t y . L i b r a r i a n s xiere unhappy about the f a c t that i t was the M i n i s t e r of Education who had the a u t h o r i t y to de-c i d e upon the c r e d e n t i a l s f o r c e r t i f i c a t i o n , but i n 1954 they succeeded i n a l t e r i n g t h i s arrangement. At that time a committee from both BCLA and the B r i t i s h Columbia P u b l i c L i b r a r y Commission-^ met and were able to set out the regu-l a t i o n s to be complied w i t h i n order f o r a L i b r a r i a n to be c e r t i f i e d . The M i n i s t e r of Education was s t i l l impowered 1 Harold L. Wilensky, "The P r o f e s s i o n a l i s m of Everyone", The American J o u r n a l of Sociology, v o l . 70, Wo. 2 (September 1964), p. 145. 2 Margaret Brunette, " C e r t i f i c a t i o n — A Major Step", B r i t i s h Columbia L i b r a r y Q u a r t e r l y , v o l . 25, (Oct. 1961), p.13. 3 The B r i t i s h Columbia P u b l i c L i b r a r y Commission i s a f i v e man Commission set up to administer the P u b l i c L i b r a r i e s Act of B.C. (R.S. 1948, CI85, S . I . ) . I t s f u n c t i o n s are to help organize and maintain p u b l i c l i b r a r i e s i n B.C.; to operate t r a v e l l i n g l i b r a r i e s ; to set standards f o r , and to a l l o c a t e , p u b l i c l i b r a r y grants; and i n general, to promote the ex-t e n s i o n of l i b r a r y f a c i l i t i e s . 4 R.L. Davison, " C e r t i f i c a t i o n of P r o f e s s i o n a l L i b r a r i a n s i n B r i t i s h Columbia", B r i t i s h Columbia L i b r a r y Q u a r t e r l y , v o l . 25, (Oct. 1961), p. 17. 171. to set up the C e r t i f i c a t i o n Examining Board but was r e q u i r e d to i n c l u d e two L i b r a r i a n s nominated by the BCLA on the C e r t i -f i c a t i o n Board. I n 1961, f o l l o w i n g p u b l i c a t i o n of the r e p o r t of the P r o v i n c i a l Royal Commission on Education, the M i n i s t e r of Education t r a n s f e r r e d r e s p o n s i b i l i t y f o r the a d m i n i s t r a t i o n 1 of P u b l i c L i b r a r i e s to the P r o v i n c i a l Secretary, thus ending a l l c o n t r o l of L i b r a r i a n s by the Department of Education. "However, i t i s l i k e l y t h a t the machinery f o r the i s s u i n g of c e r t i f i c a t e s and the sources of i n f o r m a t i o n on c u r r i c u l a and a c c r e d i t a t i o n at various u n i v e r s i t i e s and c o l l e g e s w i l l remain w i t h the R e g i s t r a r of the Department of Education." Although L i b r a r i a n s i n B.C. have gained some status through c e r t i f i c a t i o n i t i s s t i l l a r a t h e r vseak. measure because there i s no system of l i c e n s i n g . I t i s not compulsory to be c e r t i f i e d to o b t a i n employment i n B.C. but there i s an i n -c e n t i v e f o r P u b l i c L i b r a r i e s to h i r e c e r t i f i e d L i b r a r i a n s . The i n c e n t i v e i s that the P u b l i c L i b r a r i e s r e c e i v e P r o v i n c i a l Ts grants p a r t i a l l y on the b a s i s of the number of c e r t i f i e d L i b r a r i a n s they employ, up to a s t a t e d maximum grant per l i b r a r y . The amount of the grant was o r i g i n a l l y one hundred d o l l a r s per c e r t i f i e d L i b r a r i a n s e v e r a l years ago but has more r e c e n t l y been in c r e a s e d to f i v e hundred d o l l a r s per 1 I b i d . , p. 18. 2 I b i d . p. 18. 172. L i b r a r i a n . As Dr. R o t h s t e i n , d i r e c t o r of the School of L i b r a r -i a n s h i p a t the U n i v e r s i t y of B r i t i s h Columbia has pointed out, although the grants based on the number of c e r t i f i e d L i b r a r i a n s employed do tend to encourage the h i r i n g of c e r t -i f i e d L i b r a r i a n s , i f a l i b r a r y can h i r e a n o n - c e r t i f i e d L i b r a r i a n f o r more than f i v e hundred d o l l a r s l e s s than i t must pay f o r a c e r t i f i e d one, many l i b r a r i e s may s t i l l be 2 disposed to look f o r u n c e r t i f i e d L i b r a r i a n s . I n r e a l i t y , there are f a r fewer c e r t i f i e d L i b r a r i a n s than there are p o s i t i o n s vacant, so t h a t i t i s impossible anyway to adhere s t r i c t l y to a p o l i c y of h i r i n g only c e r t i f i e d L i b r a r i a n s . Ontario i s the only province i n Canada, other than B.C., t h a t has any form of c e r t i f i c a t i o n f o r L i b r a r i a n s . Here again the b a t t l e over c o n t r o l of c e r t i f i c a t i o n has been l o n g and, at times, d i s h e a r t e n i n g to many L i b r a r i a n s . Since the formation of IPL, i t s members have t r i e d to g a i n l e g a l c o n t r o l of the p r o f e s s i o n of L i b r a r i a n s h i p and to have the p r o f e s s i o n exempted from the Labor R e l a t i o n s Act. Accomplish-ment of the l a t t e r would mean that the IPL would have f u l l b a r g a i n i n g r i g h t s on behalf of i t s members and could a l s o use some f o r c e to c o n t r o l where and under what c o n d i t i o n s L i b r a r i a n s were employed. 1 M.P.. Jordon, Personal Communication, March 22, 1965. 2 S. R o t h s t e i n , Personal I n t e r v i e w , February 24, 1965. 173. A f t e r t h e i r f i r s t B i l l seeking c o r p o r a t i o n status had been vetoed by the Ontario L e g i s l a t u r e i n 1961 the members of IPL increased t h e i r e f f o r t s and were s u c c e s s f u l i n being l e g a l l y i n c o r p o r a t e d by an Act of the Ontario L e g i s -l a t u r e i n 1 9 6 3 . 1 The Act gave the IPL f u l l c o n t r o l over c e r t i f i c a t i o n and standard s e t t i n g f o r the p r o f e s s i o n . As y e t , the IPL has been unable to prevent the h i r i n g of n o n - c e r t i f i e d L i b r a r i a n s but the goal of l i c e n s i n g i s c l e a r l y s t a t e d i n i t s c o n s t i t u t i o n a l o b j e c t i v e s . Codes of E t h i c s The preceding chapters have d e a l t w i t h codes of e t h i c s i n terms of t h e i r formal and r e g u l a t o r y f u n c t i o n s f o r the p r o f e s s i o n a l s u n i t e d i n the p r o f e s s i o n a l a s s o c i a t i o n . They examined the formation of the Code, j u r i s d i c t i o n , a d m i n i s t r a t i o n , and promulgation, to determine whether or not p a r t i c u l a r codes of e t h i c s were capable of being used i n p r a c t i c e and,if so, what e f f e c t they had on the p r o f e s s i o n as a whole. The present chapter w i l l have a somewhat d i f f e r -ent focus, f o r the f o l l o w i n g reasons. ( l ) The l i b r a r i a n s h i p p r o f e s s i o n does not have a pro-f e s s i o n a l a s s o c i a t i o n (with the exception of the r e c e n t l y formed one i n Ontario which has not yet formed a code of e t h i c s ) . 1 "An Act Respecting the I n s t i t u t e of P r o f e s s i o n a l L i b r a r -i a n s of Ontario", S t a t u t e s of the Province of Ontario 19639 Toronto, Queens P r i n t e r 1963, p. 843-7. 174. (2) While the p r o f e s s i o n has endorsed the code of e t h i c s which was formulated i n the United States i n 1938, (and not, to t h i s time, r e v i s e d ) , i t does not appear to see any urgency i n adopting a code of e t h i c s , but has Instead taken f i r m stands on matters concerning the p r o f e s s i o n as a whole, i n accordance w i t h c e r t a i n guiding p r i n c i p l e s such as one would expect to d i s c o v e r i n a formal code of e t h i c s . A l s o , the L i b r a r i a n s are f i g h t i n g a b a t t l e f o r p u b l i c r e c o g n i t i o n of t h e i r p r o f e s s i o n a l competence, as w e l l as f o r p r e s t i g e and st a t u s among the p r o f e s s i o n s . To accomplish t h i s they are developing r u l e s of p r o f e s s i o n a l conduct which a l s o are s i m i l a r to those r u l e s found i n codes of e t h i c s . The aim i n t h i s s e c t i o n , t h e r e f o r e , w i l l be to t r y to i d e n t i f y some of the i s s u e s and matters of p o l i c y that L i b r a r i a n s have f e l t c a l l e d upon to deal w i t h and 'Which, i f gathered together, could serve as the b a s i s f o r an i n f o r m a l code of e t h i c s . I n a d d i t i o n , we s h a l l d e a l b r i e f l y w i t h the code of e t h i c s adopted by the American L i b r a r y A s s o c i a t i o n i n 1938. The 1938 A.L.A. Code of E t h i c s The code adopted by the ALA i n 1938, which i s nominally adhered to by the CLA, c o n s i s t s of a preamble and f i v e other s e c t i o n s covering some twenty-eight p o i n t s . 1 See Appendix p. 212 f o r r e p r i n t of Code of E t h i c s f o r L i b r a r i a n s . 175. Owing to l i m i t s of space I s h a l l deal only w i t h c e r t a i n p o i n t s from each s e c t i o n . A f t e r a p p l y i n g "Rothstein*s Law of Consequential!ty t 5 8 (which Dr. R o t h s t e i n explained, means th a t a statement has no worth i n a code of e t h i c s unless one can put f o r t h the very opposite statement and make i t appear somewhat p l a u s i b l e ) many of the statements seemed too s e l f -evident to d i s c u s s . Item three of the preamble st a t e s that "This code sets f o r t h p r i n c i p l e s of e t h i c a l behaviour f o r a l l pro-f e s s i o n a l L i b r a r i a n s . I t i s not a d e c l a r a t i o n of p r e r o g a t i v e s nor a statement of recommended p r a c t i c e s i n s p e c i f i c s i t u a t i o n s . " I f t h i s statement had proven to be t r u e , the code would probably have been a dynamic feature i n d i r e c t i n g the pro-f e s s i o n of L i b r a r i a n s h i p , but i t would appear t h a t much of the u t i l i t y of the code was l o s t because too o f t e n i t was only a statement of recommended p r a c t i c e s i n s p e c i f i c s i t u -a t i o n s . Items four through e i g h t are concerned w i t h the " R e l a t i o n of the L i b r a r i a n to the Governing A u t h o r i t y " . These f i v e p o i n t s show very c l e a r l y that the L i b r a r i a n con-s i d e r s himself i n a very dependent p o s i t i o n i n r e l a t i o n to the "Governing A u t h o r i t y " and that he must respect t h e i r wishes a t a l l times. This does not seem to be compatible w i t h our p i c t u r e of the L i b r a r i a n as a p r o f e s s i o n a l l y com-1 S. R o t h s t e i n , Personal I n t e r v i e w , March 16, 1965. 176. petent i n d i v i d u a l who act s so as to serve the i n s t i t u t i o n and the c l i e n t i n the best p o s s i b l e f a s h i o n . I t does, how-ever, i l l u s t r a t e the problems of d i v i d e d l o y a l t y that plague many p r o f e s s i o n a l s who work w i t h i n a bureaucracy. They are o f t e n f o r c e d to make a choice between a c t i n g i n such a way so as to conform to the bu r e a u c r a t i c s t r u c t u r e or a c t i n g according to the d i c t a t e s of t h e i r p r o f e s s i o n . Items nine through twelve are e n t i t l e d " R e l a t i o n of the L i b r a r i a n to h i s Constituency." Item nine concludes " . . . P r o v i s i o n should be made f o r as wide a range of p u b l i -c a t i o n s and as v a r i e d a r e p r e s e n t a t i o n of viewpoints as i s c o n s i s t e n t w i t h the p o l i c i e s of the l i b r a r y and wit h the funds a v a i l a b l e . " This again seems to be a f a t a l i s t i c a t t i t u d e . Does the L i b r a r i a n not have a p r o f e s s i o n a l r e s p o n s i b i l i t y i n determining the p o l i c i e s of the l i b r a r y ? Host codes of e t h i c s touch upon, and many place heavy emphasis upon, r e l a t i o n s between colleagues. The l a r g e s t s e c t i o n of the L i b r a r i a n ' s code deals w i t h " R e l a t i o n s of the L i b r a r i a n W i t h i n His L i b r a r y " , covering items t h i r -teen through nineteen. I should, l i k e to comment upon only two of these items as i t would appear that the others do not measure up to "Rothstein's Law of Consequential!ty". Item f i f t e e n s t a t e s " C r i t i c i s m of l i b r a r y p o l i c i e s , s e r v i c e and. personnel should, be o f f e r e d only to the proper a u t h o r i t y f o r the sol e purpose of improvement of the l i b r a r y . " This statement would seem to imply a d e f i n i t e p r i n c i p l e to 177. be adhered to when making c r i t i c i s m s of the p o l i c i e s , ser-v i c e s and personnel. I t w o u l d h o w e v e r , leave the i n d i v i d u a l to decid.e whether or not h i s c r i t i c i s m would improve the l i b r a r y and i t i s q u i t e l i k e l y that the question of the con-strue t i v e n e s s of h i s c r i t i c i s m could be v i g o r o u s l y disputed. This a l s o r a i s e s the question of whether or not a l l c r i t i c i s m , must be c o n s t r u c t i v e . Item eighteen states "A L i b r a r i a n should never enter i n t o a business d e a l i n g on behalf of the l i b r a r y which w i l l r e s u l t i n a personal p r o f i t . " S t r i c t compliance w i t h t h i s p r i n c i p l e would c e r t a i n l y prevent the L i b r a r i a n from r e c e i v i n g monetary gain as a r e s u l t of the t r a n s a c t i o n s he may conduct on behalf of the l i b r a r y . One could, however, v i s u a l i z e s i t u a t i o n s i n which he could r e c e i v e other forms of personal gain or p r o f i t as a r e s u l t of the performance of h i s p r o f e s s i o n a l d u t i e s . Would. I t be u n e t h i c a l f o r him to accept these " p r o f i t s " ? Under the s e c t i o n d e a l i n g w i t h the r e l a t i o n s h i p of the L i b r a r i a n to h i s p r o f e s s i o n the L i b r a r i a n i s encou-raged, to "have a si n c e r e b e l i e f and c r i t i c a l i n t e r e s t i n the l i b r a r y p r o f e s s i o n , . . . r e f r a i n from c r i t i c i z i n g other l i b r a r i e s unless asked by them to do so, and to have member-ship i n l i b r a r y o r g a n i z a t i o n s and attend conferences, e t c . " These e x t o r a t i o n s may prevent L i b r a r i a n s from c r i t i c i z i n g 1 Item 23 of Code. 178. other l i b r a r i e s but i t i s doub t f u l that they can acquire "a s i n c e r e b e l i e f " by being t o l d to have one. Item txtfenty-six under the heading " R e l a t i o n of L i b r a r i a n to S o c i e t y " s t a t e s " L i b r a r i a n s should encourage a general r e a l i z a t i o n of the value of l i b r a r y s e r v i c e and be informed concerning movements, o r g a n i z a t i o n s , and i n s t i t u -t i o n s whose aims are compatible w i t h those of the l i b r a r y . " By i m p l i c a t i o n , i s the L i b r a r i a n asked to be uninformed about movements, e t c . , that are not compatible w i t h the aims of the l i b r a r y ? ' Who determines whether or not these movements are compatible w i t h the aims of the l i b r a r y ? The A.L.A. code has f a l l e n i n t o disuse during the twenty-seven years since i t s i n c e p t i o n and there are no i n s t i t u t i o n s set up to administer the code. Lacking a judiciary,'.the code has never i n e f f e c t been implemented. I t i s not the purpose of t h i s study to examine why t h i s should, be so, but r a t h e r to attempt to b r i n g f o r t h some of the p o l i c y statements, statements of r i g h t conduct, e t c . , that L i b r a r i a n s have adopted to serve as guide l i n e s f o r t h e i r p r o f e s s i o n . The L i b r a r y B i l l of Rights i The L i b r a r y B i l l of Rights i s a p o l i c y statement adopted by the American L i b r a r y A s s o c i a t i o n on June 18, 1948. 1 ' See Appendix p. 218 f o r Reprint of " L i b r a r y B i l l of Ri g h t s . " 2 " L i b r a r y B i l l of Rights," Canadian L i b r a r y , v o l . 18, no. 5 (March 1962), p. 185. 179. I t i s a short hut e x p l i c i t statement as to the b a s i c p o l i c i e s which should govern the s e r v i c e s of a l l l i b r a r i e s . I t un-e q u i v o c a l l y s t a t e s what stand l i b r a r i e s must take on matters of censorship of books and. r e s t r i c t i o n of l i b r a r y use. I t i s a statement which L i b r a r i a n s can t u r n to i n seeking en-lightenment about the p o s i t i o n they should, take i n regard, to s o c i a l , p o l i t i c a l and moral i s s u e s c o n f r o n t i n g t h e i r pro-f e s s i o n . C o n s i s t i n g of only s i x items, the L i b r a r y B i l l of B i g h ts does not o u t l i n e r u l e s of p r o f e s s i o n a l conduct i n the narrow sense of L i b r a r i a n i n t e r r e l a t i o n s h i p s , employee-employer r e l a t i o n s h i p s , e t c . , but i n s t e a d s t a t e s c l e a r l y the stand t h a t L i b r a r i a n s should take concerning some of the i s s u e s b a s i c to t h e i r p r o f e s s i o n . There i s no s e p a r a t i o n of the " L i b r a r i a n " from the " l i b r a r y " and. w h i l e the B i l l makes reference only to the term " l i b r a r y " , i t i s e v i d e n t l y pos-t u l a t i n g a u n i t y of purpose between the employer and. the employee. Thus the l i b r a r y i s seen as an i n s t i t u t i o n w i t h i n which L i b r a r i a n s h i p i s p r a c t i c e d . The American L i b r a r y B i l l of Rights has become known to many Canadians through reference to i t i n Canadian Journals and a l s o through i t s i n c l u s i o n on the c u r r i c u l u m of at l e a s t one Canadian School of L i b r a r i a n s h i p . ~~ The Freedom to Read The A.L.A. has endorsed yet another statement which 1 S. R o t h s t e i n , Personal I n t e r v i e w , February 2.4, 1965. 180. concerns the p r o t e c t i o n of the p u b l i c by the p r o f e s s i o n a l . "The Freedom to Bead"^ was a statement prepared j o i n t l y by the A.L.A. and the American Book P u b l i s h e r s C o u n c i l , Hay 2nd and 3r&, 1953• This statement contains only seven p r o p o s i t i o n s but each p r o p o s i t i o n i s f o l l o w e d by an e x p o s i t i o n which serves to make the meaning of each p r o p o s i t i o n more p r e c i s e . The f i r s t p r o p o s i t i o n reads; " I t i s i n the p u b l i c i n t e r e s t f o r p u b l i s h e r s and L i b r a r i a n s to make a v a i l a b l e the widest d i v e r s i t y of views and expressions, i n c l u d i n g those which are unorthodox or unpopular w i t h the m a j o r i t y . " This statement makes reasonably c l e a r the stand L i b r a r i a n s and p u b l i s h e r s should take regarding censorship. The p r o p o s i t i o n s t h a t f o l l o w are a l s o mainly concerned w i t h problems of various types of censorship and s t a t e q u i t e c l e a r l y that L i b r a r i a n s themselves are not to undertake any d i r e c t or i n -d i r e c t censorship. One can foresee some d i f f i c u l t y i n i n t e r p r e t i n g item number four which begins "The present laws d e a l i n g w i t h obscenity should be v i g o r o u s l y enforced I s t h i s s t a t -ment not a d i r e c t c o n t r a d i c t i o n of the preceding statements u r g i n g a complete ban on censorship? Who determines what i s obscene? The L i b r a r y B i l l of Rights and the Freedom to Read 1 See Appendix p. 220 f o r r e p r i n t of "The Freedom to Read", Canadian L i b r a r y , v o l . 18, no. 4 (March 1962), pp. 182-184. 181. statement are documents that have had, and w i l l continue to have, f a r reaching i m p l i c a t i o n s f o r the L i b r a r i a n s h i p pro-f e s s i o n . Many w i l l argue that these statements i n no way negate the n e c e s s i t y f o r a code of e t h i c s as these statements d e a l only w i t h the p r o f e s s i o n ' s o b l i g a t i o n to the p u b l i c and do not o f f e r any guidance f o r L i b r a r i a n s ' r e l a t i o n s h i p s w i t h t h e i r colleagues or w i t h t h e i r employers. While i t may be t r u e that these statements do not d i r e c t l y do so, they c e r t a i n -l y would appear to imply that a L i b r a r i a n must adhere to these p r i n c i p l e s whether he i s under pressure from the read-i n g p u b l i c or from the L i b r a r y Board. As f o r colleague co-o p e r a t i o n i t would seem that these p r i n c i p l e s do apply i n t h e i r general sense i n that a l l L i b r a r i a n s must work co-o p e r a t i v e l y , and not c o m p e t i t i v e l y , i f they are to make the widest p o s s i b l e range of books a v a i l a b l e to the p u b l i c . Other Canadian Statements of P r o f e s s i o n a l R e s p o n s i b i l i t y During the past ten years there have been s e v e r a l a r t i c l e s p u b lished i n various Canadian L i b r a r y P e r i o d i c a l s 1 2 s t r e s s i n g the need f o r a code of e t h i c s . ' Several com-mittees have studied the p o s s i b i l i t y of drawing up a code of e t h i c s , but a l l have f a i l e d to produce a code acceptable 1 Barbara. Gibson, " P r o f e s s i o n a l E t h i c s f o r L i b r a r i a n s " , B r i t i s h Columbia L i b r a r y Q u a r t e r l y , v o l . 27, no. 4 ( A p r i l 1964), pp. 10-13. 2 W.A. Roedde, "Small Thoughts on a B i g S u b j e c t ' s Canadian L i b r a r y A s s o c i a t i o n B u l l e t i n , v o l . 1.4, no. 2 (October 1957), p p . 75-76. ~ ~\ 182. to the memberships of the various L i b r a r y a s s o c i a t i o n s . Per-haps one of the major reasons f o r the f a i l u r e i s that there ha,s a l s o been a recent d r i v e to form p r o f e s s i o n a l l i b r a r y a s s o c i a t i o n s , and i t would seem that the matter of e t h i c s has been l e f t i n abeyance u n t i l p r o f e s s i o n a l a s s o c i a t i o n s have been formed. When the l a t t e r has been accomplished they would then be i n a p o s i t i o n to make a code operable. The L i b r a r i a n ' s P r o f e s s i o n a l Credo The C.L.A. j o u r n a l , F e l i c i t e r , p u b lished p a r t one of a proposed L i b r a r i a n ' s P r o f e s s i o n a l Credo i n i t s December 1958 i s s u e . " The Credo was based upon the question "What makes a p r o f e s s i o n a l worker p r o f e s s i o n a l , " and was s a i d to have r e c e i v e d general approval from the members of the commit-tee on e t h i c s . At the time of p u b l i c a t i o n of the Credo the readers were asked f o r t h e i r comments so that the Credo could be r e v i s e d and o f f i c i a l l y adopted, but we have been unable to f i n d any f u r t h e r references to the Credo i n l a t e r i s s u e s of the F e l i c i t e r . Upon examining "The L i b r a r i a n ' s P r o f e s s i o n a l Credo",-we d i s c o v e r that many of the s i x t e e n p o i n t s are almost i d e n t i -c a l w i t h those contained i n codes of e t h i c s of s e v e r a l other p r o f e s s i o n s . For example, the assumption of r e s p o n s i b i l i t y 1 F e l i c i t e r , v o l . 4, No. 4 (December 1958), p. 26. 2 I b i d . , p. 1. 3 See Appendix p. 228 f o r copy of "Librarian's P r o f e s s i o n a l Credo". 183. f o r one's own work (Item 5 ) 3 respect f o r c o n f i d e n t i a l i t y (Item 8 ) , l o y a l t y to f e l l o w workers (Item 9 ) 3 a i r i n g g r i e -vances through proper channels (Item 11) and the sovereignty of the p r i n c i p l e of rendering a s e r v i c e (Item 16) are s t a t e -ments of p r i n c i p l e s to be found I n many codes of e t h i c s . The f i r s t f o u r items of the Credo would seem to be statements designed to a f f i r m the autonomy of the L i b r a -r i a n , an important p r i n c i p l e i n any p r o f e s s i o n , and a l s o to i n c r e a s e h i s p r e s t i g e -- a f a c t o r which seems necessary i n c r e a t i n g a p r o f e s s i o n a l image. The remaining items deal c h i e f l y w i t h the r e l a t i o n s h i p s between L i b r a r i a n s . I t was intended t h a t a. second p a r t be added to the Credo 1 which would inc o r p o r a t e Dr. R.S. Ranganathan's f i v e laws of L i b r a r y Science which he expounded i n h i s a r t i c l e "The F i v e Laws of 2 L i b r a r y Science". The f i v e laws as quoted i n the December 1958 F e l i c i t e r were: (1) Books are f o r use. (2) Every reader h i s book. (3) Every book i t s reader. (4) Save the time of the reader. (5) The l i b r a r y i s a growing organism. I t does not appear t h a t the second p a r t of the Credo was ever drawn up, or i f so, was never published. Per-1 F e l i c i t e r , v o l . 4, No. 4, December 1958, p. 1. 2 R.S. Ranganathan, "The F i v e Laws of L i b r a r y Science", P u b l i c a t i o n S e r i e s 23, Madras L i b r a r y ' A s s o c i a t i o n , London, B l u n t & Sons L t d . , 195?. 184. haps Dr. Rothstein's "Law of Consequential!ty" was a p p l i e d to these f i v e Isms and they were discarded as a b a s i s f o r a Credo? P r o f e s s i o n a l Conduct as Seen by the I;P.L. of Ontario Since the I n s t i t u t e of V i c t o r i a L i b r a r i a n s has used the I.P.L. as i t s model, and since the B r i t i s h Columbia p r o f e s s i o n a l a s s o c i a t i o n ( i f formed) w i l l probably do l i k e -2 wise, i t may be e n l i g h t e n i n g to examine some of the s t a t e -ments produced by the I.P.L. i n i t s avowed purpose of i n -c r e a s i n g the q u a l i t y of l i b r a r y s e r v i c e . The I.P.L. i s s u e s newletters to i t s members and o c c a s i o n a l l y i n c l u d e s i n the newsletter an "Information B u l l e t i n " which i s a p o l i c y statement on some aspect of the l i b r a r i a n s h i p p r o f e s s i o n and of the p r o f e s s i o n a l ' s r e l a t i o n -s h i p to the I.P.L. To date the I.P.L. has i s s u e d f i v e Information B u l l e t i n s . Only two of them w i l l be d e a l t w i t h e x t e n s i v e l y here but i t may be h e l p f u l i n g a i n i n g a b e t t e r o v e r a l l per-s p e c t i v e on the I.P.L.'s a c t i v i t i e s i f we b r i e f l y l i s t the contents of the remaining three b u l l e t i n s . 1 J.G. M i t c h e l l , "The I n s t i t u t e of V i c t o r i a L i b r a r i a n s " , B r i t i s h Columbia L i b r a r y Q u a r t e r l y , v o l . 27, No. 4 ( A p r i l 1964), p. 4. 2 Mrs. L o i s Bewley, : Personal I n t e r v i e w , March 3 , 1965. 185. Information B u l l e t i n No. 1, published i n September i 9 6 0 , 1 set f o r t h the reasons why another l i b r a r y o r g a n i z a t i o n was needed i n Ontario. I n summary, i t s t a t e d that C.L.A. and O.L.A. were inadequate to cope w i t h the problems of standard s e t t i n g and the welfare of p r o f e s s i o n a l L i b r a r i a n s and that t h i s task should be i n the e x c l u s i v e c o n t r o l of a p r o f e s s i o n -a l a s s o c i a t i o n . The second Information B u l l e t i n , r e v i s e d and pub-l i s h e d i n the October 1961 I.P.L. Newsletter, was designed to give i t s members guidance concerning the question of p a r t i c i p a t i o n i n Labor Unions. L i b r a r i a n s , e s p e c i a l l y i n the Windsor area, had been f o r c e d to j o i n Unions against t h e i r w i l l since under the Labor R e l a t i o n s Act, i f a major-i t y of a l i b r a r y s t a f f wish to j o i n a Union, a l l other per-sonnel, except managerial s t a f f , are a l s o o b l i g e d to pay Union dues.^ Many L i b r a r i a n s f e l t t h a t i t was not pro-f e s s i o n a l to belong to a Labor Union and thus the I.P.L. began to take measures to place i t s members outside the j u r i s d i c t i o n of the Labor Unions. I n p a r t , the B u l l e t i n s t a t e s "The I.P.L.-Board of D i r e c t o r s maintains that P r o f e s s i o n a l L i b r a r i a n s should 1 I n s t i t u t e of P r o f e s s i o n a l L i b r a r i a n s Newsletter, September i 9 6 0 . 2 See Appendix p. 231 f o r copy of Information B u l l e t i n No.2. 3 B r i a n Rand, "The I n s t i t u t e of P r o f e s s i o n a l L i b r a r i a n s " , B r i t i s h Columbia L i b r a r y Q u a r t e r l y , v o l . 25, No. 4 ( A p r i l 1962), p. 3-136. c l a i m and maintain t h e i r status as a p r o f e s s i o n , not by j o i n -i n g a Union, but by u n i t i n g i n a province wide a s s o c i a t i o n and by o b t a i n i n g s t a t u t o r y r e c o g n i t i o n f o r the p r o f e s s i o n of l i b r a r i a n s h i p through enactment of the necessary p r o v i n c i a l l e g i s l a t i o n . " This i s a r e l a t i v e l j r c l e a r statement of p o l i c y and the I.P.L. was p a r t l y s u c c e s s f u l i n implementing i t when i t succeeded i n having the Ontario L e g i s l a t u r e assent to "The I n s t i t u t e of P r o f e s s i o n a l L i b r a r i a n s of Ontario Act, I 9 6 2 - 6 3 . 1 ' However, because of the f a c t that the I.P.L. does not represent more than f i f t y per cent of the p r o f e s s i o n a l l i b r a r i a n s i n the province, L i b r a r i a n s are s t i l l not exempt from the Labor R e l a t i o n s Act and thus many are s t i l l f o r c e d to pay union dues. 2 Information B u l l e t i n No. 3 w a s a statement of the p r o f e s s i o n a l q u a l i f i c a t i o n s r e q u i r e d f o r admission to I.P.L. A Bachelor of L i b r a r y Science degree was set f o r t h as being the minimum requirement but a "grandfather clause" was i n -cluded so that o l d e r , experienced, yet u n q u a l i f i e d , L i b r a r i a n s could j o i n . The f o u r t h Information B u l l e t i n , p u blished i n January 1962, was e n t i t l e d "Recommendations of P r o f e s s i o n a l 1 "An Act Respecting the I n s t i t u t e of P r o f e s s i o n a l L i b r a r -i a n s of Ontario", Statutes of the Province of Ontario 1963, ( B i l l 40) Toronto, Queens P r i n t e r , 1963 s PP. 343-847. 2 I n s t i t u t e of P r o f e s s i o n a l L i b r a r i a n s Newsletter, August 1961. 187. Conduct: Some Do's and Don'ts f o r I.P.L. Members". I t f u r t h e r adds that these recommendations "...have been p r i n t e d here f o r your p r o t e c t i o n and guidance." While these recommendations are not s p e c i f i c a l l y r e f e r r e d to as a code of e t h i c s they are designed "... to encourage hig h p r o f e s s i o n a l e t h i c s and job r e s p o n s i b i l i t y . . . and hopes to be of a s s i s t a n c e i n c l a r i f y i n g I n d i v i d u a l em-ployment problems as they a r i s e . " Almost a l l of the ten items making up t h i s s t a t e -ment are concerned w i t h p r o f e s s i o n a l e t i q u e t t e i n accepting and t e r m i n a t i n g employment, etc. While there i s no formal body set up to administer t h i s "code", the i n t r o d u c t i o n s t a t e s "Any L i b r a r i a n who i s an I.P.L. member may ask f o r a s s i s t a n c e and l e g a l advice w i l l be made a v a i l a b l e i f necessary." The most recent Information B u l l e t i n , p u blished i n the May 1Q64 I.P.L. Newsletter, i s a proposed statement of o b j e c t i v e s of the I.P.L. I n S e c t i o n A ( i i i ) i t i s argued that the p r o f e s s i o n can provide good s e r v i c e only i f i t has the r i g h t to determine the p r o f e s s i o n a l p o s i t i o n s r e -qui r e d i n p r o v i d i n g s e r v i c e and through absolute j u r i s d i c t i o n over L i b r a r i a n s i n matters p e r t a i n i n g to the p r o f e s s i o n . I n other words, the p r o f e s s i o n wants complete autonomy as to how i t does i t s work but not over what I t does. 1 See Appendix p. 233 f o r copy of Information B u l l e t i n No. 4. 2 See Appendix p. 235. 188. One of the o b j e c t i v e s under S e c t i o n B (2) i s V d i s c i p l i n i n g of members - codes of e t h i c s - d i s c i p l i n i n g measures." These o b j e c t i v e s make i t q u i t e c l e a r that the p r o f e s s i o n hopes to become completely autonomous i n s o f a r as job performance and c o n t r o l of personnel are concerned. Summary L i b r a r i a n s i n both Canada and the United States have been s t r i v i n g to o b t a i n r e c o g n i t i o n f o r t h e i r p r o f e s s i o n -a l competence and thus hope to gain s t a t u s f o r the p r o f e s s i o n . Opinions d i f f e r as to whether a code of e t h i c s i s r e a l l y necessary f o r the p r o f e s s i o n to f u n c t i o n i n the best s e r v i c e of the p u b l i c . L i b r a r i a n s i n one camp t u r n to t h e . L i b r a r y B i l l of Rights and the Freedom to Read statement and. c l a i m that adherance to these p r i n c i p l e s w i l l do much to improve the l i b r a r y s e r v i c e s of which L i b r a r i a n s are an i n t e g r a l p a r t . L i b r a r i a n s i n the opposite camp agree t h a t such p r i n c i p l e s ma-y have the e f f e c t of enhancing l i b r a r y s e r v i c e , but are quick to p o i n t out tha t the we l f a r e of the i n d i v i d u a l L i b r a r -i a n i s not w e l l taken care of by such p r i n c i p l e s . I t i s l a r g e l y i n order to make p o s s i b l e the enhancement of L i b r a r -i a n s h i p as a p r o f e s s i o n that p r o f e s s i o n a l a s s o c i a t i o n s , which may a t some future date formulate a code of e t h i c s , are be-i n g formed. Dr. R o t h s t e i n f e e l s that the p r o f e s s i o n a l schools can do more i n the way of promoting hig h e t h i c a l standards, enlightened a d m i n i s t r a t i o n of l i b r a r i e s , i d e a l i s t i c l i b r a r -189. i a n s h i p p h i l o s o p h i e s and general i n t e g r a t i o n of l i b r a r y s e r v i c e s than any p r o f e s s i o n a l a s s o c i a t i o n would "be able to do. The p r o f e s s i o n a l schools help develop s e l f awareness and encourage s e l f - c r i t i c i s m w h i l e the p r o f e s s i o n a l a s s o c i -•i a t i o n s tend to do the very opposite. I t would seem tha t l i b r a r i a n ' s are i n a p e c u l i a r -i l y awkward p o s i t i o n i n that most of the important questions they have a n a t u r a l concern w i t h (above a l l , censorship and f r e e speech) l i e i n the hands of Parliament, the Courts, p u b l i c o p i n i o n . L i b r a r y Boards, and. so on and so f o r t h . This does not mean that l i b r a r i a n ' s should not have, express, and act on t h e i r own c o n v i c t i o n s ? indeed they should. But they obviously need to have l e g i s l a t i v e and c o n s t i t u t i o n a l grounds f o r f o r m u l a t i n g and standing upon t h e i r c o n v i c t i o n s . I n other words, the i n d i s s o l u b l e connection between questions of "ethics" 1 ( i n the narrow sense which p e r t a i n s to the conduct of the i n d i v i d u a l p r a c t i t i o n e r ) and s o c i a l p o l i c y i s demon-s t r a t e d i n the case of L i b r a r i a n s h i p w i t h e x c e p t i o n a l c l a r i t y and v i v i d n e s s . I n summary, t h i s chapter has d e a l t w i t h codes of e t h i c s by f o c u s i n g upon the s e m i - p h i l o s o p h i c a l statements, and the l i k e , that appear a t the present time to take the place of a s p e c i f i c a l l y r e g u l a t o r y code of e t h i c s f o r L i b r a r -i a n s . L i b r a r i a n s are working on the problems which face t h e i r p r o f e s s i o n . The f a c t t h a t they are not t i e d to a code 1 S. R o t h s t e i n , Personal I n t e r v i e w , March 16, 19&5 190. of e t h i c s may indeed "be a b l e s s i n g i n d i s g u i s e , s i n c e there i s no formal instrument w i t h i n the p r o f e s s i o n to prevent f r e e t h i n k i n g and s e l f - c r i t i c i s m . CHAPTER V CONCLUSIONS AND RECOMMENDATIONS FOR IMPROVING THE USEFULNESS OF THE PROFESSIONAL CODES OF ETHICS The P r o t e c t i v e Function of Codes of E t h i c s A l l p r o f e s s i o n s and semi-professions which c l e a r l y have a r e s p o n s i b i l i t y f o r p r o t e c t i n g e i t h e r the members of the p r o f e s s i o n , or t h e i r c l i e n t e l e , should as a matter of p u b l i c i n t e r e s t have a Code of E t h i c s -- p a r t i c u l a r l y i n the absence of other and superior methods of p r o v i d i n g that pro-t e c t i o n , such as market mechanisms or the f r e e play of ideas. The general p u b l i c i s not knowledgable enough to make an informed and r a t i o n a l d e c i s i o n about the scrupulousness or competency of the p r o f e s s i o n a l s e r v i c e s , or about whether t h a t s e r v i c e i s i n f a c t i n t h e i r own best i n t e r e s t s . The p a t i e n t himself cannot decide i f a recommended, oper a t i o n i s necessary. The c l i e n t g i v i n g c o n f i d e n t i a l i n f o r m a t i o n to the s o c i a l worker r e q u i r e s assurance t h a t i t w i l l be r e s p o n s i b l y used on h i s behalf. People must r e l y on p u b l i s h e r s and l i b r a r i a n s to ensure them f r e e access to the widest p o s s i b l e d i v e r s i t y of a v a i l a b l e i n f o r m a t i o n . Everyone i s , i n some way, a f f e c t e d by the broad range of p r o f e s s i o n a l and semi-p r o f e s s i o n a l s e r v i c e s o f f e r e d i n modern s o c i e t y . I t i s there-f o r e a matter of p u b l i c i n t e r e s t that both the p r o f e s s i o n a l s and the c l i e n t e l e he pro t e c t e d by some device. Codes of E t h i c s are one such device to prevent i n d i v i d u a l p r a c t i t i o n e r s from undermining c o l l e c t i v e pur-poses, and to ensure that standards of s e r v i c e are maintained... The f a c t that many p r o f e s s i o n s have developed a Code of E t h i c s as a stat u s symbol i s I r r e l e v a n t . The aut h e n t i c case f o r developing a Code l i e s i n whether or not t h i s form of p r o t e c t i o n i s i n f a c t necessary. I f a f i r m guarantee of p r o t e c t i o n i s to be given to p r o f e s s i o n a l s a c t -i n g i n the p u b l i c i n t e r e s t , standards must be c l a r i f i e d and o p e r a t i o n a l l y defined. Obviously t h i s whole question of p r o t e c t i n g pro-f e s s i o n a l people and the p u b l i c has been given too l i t t l e a t t e n t i o n on e i t h e r s i d e . I t i s equally obvious that i t i s too important a question to be l e f t i n i t s present u n s e t t l e d s t a t e . The C o n c i l i a t i o n of E t h i c a l P r i n c i p l e s and Questions of S o c i a l P o l i c y Some method of c o n c i l i a t i n g e t h i c a l p r i n c i p l e s and p o l i c y questions i s r e q u i r e d i n acknowledgement of the s t r u c -t u r a l i m p l i c a t i o n s of a l l s p e c i f i c a t i o n s of e i t h e r r i g h t s or d u t i e s . I n so f a r as Code of E t h i c s d e a l w i t h the r i g h t s and d u t i e s of p r o f e s s i o n a l people and of t h e i r c l i e n t e l e , the forms and the instruments of those r i g h t s and du t i e s must be state d so as to provide answers to the p r a c t i c a l question of 193-where, when, how, and i n regard to what are the general p r i n -c i p l e s to be a p p l i e d i n p a r t i c u l a r s i t u a t i o n s . For example, medical doctors have a general e t h i c a l commitment to preserve human l i f e , but i n the l a s t two decades i t has become p a r t of the " p a t r i o t i c duty" of some members of t h i s p r o f e s s i o n to develop m a t e r i a l s to be used d e s t r u c t i v e l y i n b i o l o g i c a l warfare. On what b a s i s i s the d.octor to solve t h i s dilemma of c o n f l i c t i n g p r i n c i p l e s ? Members of the l i b r a r i a n p r o f e s s i o n are faced w i t h a s i m i l a r dilemma i n r e c o n c i l i n g t h e i r advocacy of the freedom to read w i t h a l i b r a r y board's p o l i c y of removing s e l e c t e d books from the open shelves, thereby r e s t r i c t i n g t h e i r a v a i l a b i l i t y to the reading p u b l i c . S o c i a l xvorkers cannot escape the dilemma e i t h e r . One example that comes to mind from t h i s p r o f e s s i o n i s the c o n f l i c t between the commitment of the worker to t r e a t a l l i n f o r m a t i o n he acquires i n the performance of h i s pro-f e s s i o n a l d u t i e s as c o n f i d e n t i a l , and the xvell established-p o l i c y of u s i n g such i n f o r m a t i o n i n pre-sentence reports which may have a. s u b s t a n t i a l bearing on the judge's d i s p o s i t i o n of the case. U n t i l some system of c o n c i l i a t i n g e t h i c a l p r i n c i p l e s and questions of s o c i a l p o l i c y i s e s t a b l i s h e d , confusion and c o n f l i c t are i n e v i t a b l y d e t r i m e n t a l both to p r o f e s s i o n a l people and to the p u b l i c i n r e c e i p t of t h e i r s e r v i c e s . The Rights of the P u b l i c I t f o l l o w s t h a t nothing i s to be gained by e s t a b l i s h -194. i n g r e g u l a t i o n s or drawing out t h e i r s t r u c t u r a l i m p l i c a t i o n s I f one or the other group of the two i n v o l v e d , (the pro-f e s s i o n a l s and the p u b l i c ) i s unaware of what has been done. The p^^blic5 i n whose i n t e r e s t s p r o f e s s i o n a l people are a c t -i n g , has a r i g h t to know both the e t h i c a l standards adopted and t h e i r i m p l i c a t i o n s f o r p u b l i c p o l i c y . Only then w i l l the p u b l i c be i n a. p o s i t i o n to e x e r c i s e i t s r i g h t and r e -s p o n s i b i l i t y to p a r t i c i p a t e i n the judgment of p r o f e s s i o n a l competency and r e s p o n s i b i l i t y . Looked at i n the l i g h t of c o l d reason, there i s nothing so s p e c i a l about the r i g h t s and p r i v i l e g e s of pro-f e s s i o n a l people that none of them should become p a r t of the r i g h t s and p r i v i l e g e s of a l l people. For example, there i s a case f o r e s t a b l i s h i n g a l e g a l guarantee of s e c u r i t y of employment unless there are grounds f o r d i s m i s s a l . This would p r o t e c t a l l people, and not j u s t p r o f e s s i o n a l s , from a r b i t r a r y d i s m i s s a l from employment. Large numbers of un-s k i l l e d and. s k i l l e d workers would then be a.ssured that they would, not be displaced, from t h e i r jobs f o r c a p r i c i o u s or inadequate reasons. The Rights of the P r o f e s s i o n a l s P r o f e s s i o n a l p r a c t i t i o n e r s must be guaranteed cer-t a i n r i g h t s to conduct t h e i r l i v e s as they, as i n d i v i d u a l c i t i z e n s , see f i t . Wherever the l i n e i s drawn, i t must be done to preserve r i g h t s to p r i v a c y and w i t h the p u b l i c i n t e r -est i n mind. I f such were the case, the s o c i a l worker would 195-have the r i g h t to be a c t i v e i n an unpopular p o l i t i c a l p arty withotit r i s k i n g the l o s s of employment, a lawyer would be beyond censure by h i s p r o f e s s i o n a l a s s o c i a t i o n f o r an im-p a i r e d d r i v i n g charge, and a u n i v e r s i t y p r o f e s s o r could not be pressured by h i s employer i n t o l e g a l l y marrying h i s common-law w i f e . I t i s reasonable to conclude that a p r a c t i t i o n e r must be guaranteed a l l personal freedoms to the extent that h i s p r i v a t e a c t i v i t i e s do not adversely a f f e c t the perform-ance of h i s p r o f e s s i o n a l d u t i e s or d.eprive us of a l l con-fid e n c e that he w i l l continue to do so. Contents of the Codes of E t h i c s I t appears that some p o i n t s i n the Codes of E t h i c s are c l e a r l y designed as r e g u l a t i o n s a p p l y i n g to p r o f e s s i o n a l conduct of one k i n d or another. The I n s t i t u t e of P r o f e s s i o n -a l L i b r a r i a n s i n Ontario l i s t s s e v e r a l "do's and don't's" f o r members. S o c i a l workers are to p r a c t i c e only where the p r i n c i p l e s contained i n t h e i r Code of E t h i c s are adhered t o . Other p o i n t s i n p r o f e s s i o n a l Codes of E t h i c s a f f i r m c e r t a i n e s t a b l i s h e d e t h i c a l p r i n c i p l e s or i n d i c a t e p r o f e s s i o n a l id.eals t h a t are u n a t t a i n a b l e but are to be s t r i v e n f o r . The l i b r a r -i a n p r o f e s s i o n ' s statement about The Freedom to Read, and the L i b r a r y B i l l of Rights are examples of the l a t t e r . I f the s t a t e d e t h i c a l p r i n c i p l e s embodied i n the Codes of E t h i c s can be t r a n s l a t e d i n t o s p e c i f i c d e c i s i o n s and choices, they can become an important focus f o r p u b l i c d i s c u s s i o n of serious p o l i c y questions. I f , on the other 196. hand, these e t h i c a l proclamations are purely r h e t o r i c a l and s e l f congratulatory i n character, and cannot "be t r a n s l a t e d i n t o p r a c t i c a l p r o f e s s i o n a c t i o n or serve as the basis f o r the f o r m u l a t i o n of p u b l i c p o l i c y , they are i n s i d i o u s l y harmful. The i l l u s i o n i s created t h a t something germane has been s a i d and that something u s e f u l i s being done when the r e a l i t y i s q u i t e otherwise. S e c t i o n Ten of the American Medical A s s o c i a t i o n ' s Code of E t h i c s i l l u s t r a t e s t h i s . I t s t a t e s t h a t p h y s i c i a n s have a r e s p o n s i b i l i t y to improve the h e a l t h and welfare of i n d i v i d u a l s and of the community. Yet, American doctors vehemently oppose schemes f o r p r o v i d i n g un-i v e r s a l and comprehensive medical care. The e t h i c a l p r i n -c i p l e i s i n i t s e l f l a u d a b l e , but i n i t s e x c e s s i v e l y general terms i t provides no b a s i s f o r p r o f e s s i o n a l a c t i o n or p u b l i c p o l i c y . S i m i l a r examples can be drawn from other p r o f e s s i o n s . Review of Codes of E t h i c s This observation prompts the f u r t h e r remark that a systematic review of the contents of the Codes of E t h i c s i s r e q u i r e d i f they are to be kept up-to-date a.nd c o n s i s t e n t l y a p p l i c a b l e i n p r a c t i c e . A s e r i e s of t e s t s i s needed to i d e n t i f y and e l i m i n a t e from the Codes of E t h i c s those p o i n t s that are pu r e l y r h e t o r -i c a l and s e l f - c o n g r a t u l a t o r y and t h e r e f o r e misleading and harmful, and to e s t a b l i s h methods of a d j u d i c a t i o n by means of which the Codes could y i e l d or provide decision-making procedures. Both the content of the Codes and the methods by 198. which they are administered should give s u b s t a n t i a l i n d i c a t i o n of what to do i n s p e c i f i c s i t u a t i o n s . For the medical p r o f e s s i o n , methods of a d j u d i c a t i o n are l a i d down by the p r o v i n c i a l medical a c t s to be administer-ed by the p r o v i n c i a l College of P h y s i c i a n s . There i s nothing i n the Code i t s e l f to i n d i c a t e how i t should be adjudicated on the l o c a l l e v e l . The statements of e t h i c s by the l i b r a r -i a n ' s I n s t i t u t e and the Code of E t h i c s f o r s o c i a l workers make no p r o v i s i o n s or suggestions regarding the methods o f . deployment. Adherence to the Requirements of Due Process A t t e n t i o n must be given to developing or r e v i s i n g the p r o f e s s i o n a l Codes of E t h i c s i n accordance w i t h the r e -quirements of due process. Perhaps l e g a l c o n s u l t a t i o n i s e x p l i c i t l y r e q u i r e d to ensure th a t the Codes of E t h i c s meet c e r t a i n minimal standards of " n a t u r a l j u s t i c e " , -- as that term i s commonly understood by lawyers. This would r e q u i r e the establishment of w r i t t e n procedures f o r l a y i n g a com-p l a i n t and conducting an i n v e s t i g a t i o n . The "accused" would a u t o m a t i c a l l y be informed of the charge M t h which he i s being faced and the evidence a l l e g e d i n support of that charge. T r i b u n a l s to prosecute and to judge a l l e g e d e t h i c a l v i o l a t i o n s would be selected, on the b a s i s of w e l l de f i n e d c r i t e r i a . The "accused" would have a guaranteed r i g h t to l e g a l repre-s e n t a t i o n . The proceedings of the i n v e s t i g a t i o n would, be documented, and made a v a i l a b l e to other a d j u d i c a t o r s i n the 199-p r o f e s s i o n i n order to b u i l d up a s i g n i f i c a n t body of pre-cedents. A r i g h t of appeal would be guaranteed to the person found g u i l t y of v i o l a t i n g the Code of E t h i c s , and machinery would be e s t a b l i s h e d to enable that r i g h t to be e f f e c t i v e l y e x e r c i sed. I n a d d i t i o n to adhering to the requirements of due process w i t h i n the p r o f e s s i o n i t s e l f , there i s a case f o r e s t a b l i s h i n g a system of procedures ensuring c l i e n t s the r i g h t to appeal p r o f e s s i o n a l d e c i s i o n s , thereby more f i r m l y guaran-t e e i n g then p r o t e c t i o n . Separation of the Issues of E t h i c s and Competence One suggestion prompted by the data s t u d i e d i s t h a t there should, be a separation and c l a r i f i c a t i o n of the i s s u e s of e t h i c s and competence. I f a l l p r a c t i t i o n e r s were e l i g i b l e f o r membership i n t h e i r p r o f e s s i o n a l a s s o c i a t i o n by virtueo.of t h e i r having assumed the r e s p o n s i b i l i t i e s inherent i n t h e i r p a r t i c u l a r job, i n s t e a d of by v i r t u e of t h e i r p u t a t i v e t e c h n i c a l s k i l l , expertness and academic q u a l i f i -c a t i o n s , the p r o f e s s i o n a l a s s o c i a t i o n s would, then have the r i g h t to c l a i m j u r i s d i c t i o n over a l l personnel i n p r o f e s s i o n -a l p o s i t i o n s , and would consequently be i n a b e t t e r p o s i t i o n to ensure adherence to standards of e t h i c a l p r a c t i c e . This argument could c e r t a i n l y be a p p l i e d to the p r o f e s s i o n s of s o c i a l work and l i b r a r i a n s h i p i n which the e x i s t i n g p r o f e s s -i o n a l a s s o c i a t i o n s accept only those people performing pro-f e s s i o n a l tasks who have f u l f i l l e d f a i r l y s t r i n g e n t e l i g i -200. b i l i t y requirements. J u s t as u n t r a i n e d l i b r a r i a n s are un-able to j o i n the I n s t i t u t e of P r o f e s s i o n a l L i b r a r i a n s i n Ontario, so untrained s o c i a l workers are unable to j o i n the N a t i o n a l A s s o c i a t i o n of Canada. R e s p o n s i b i l i t i e s of Educators I t i s apparent that matters d e a l t w i t h by the Codes of E t h i c s should be an i n t e g r a l p a r t of p r o f e s s i o n a l and non-professional ed.uca.tion. At the present time, these matters are not handled s y s t e m a t i c a l l y or thoroughly. P r i n c i p l e s are transmitted, i n the form of p l a t i t u d e s , or through a process of e t h i c a l osmosis based on the expectation that they w i l l be acquired by p r a c t i t i o n e r s during academic p r e p a r a t i o n f o r the work or i n the performance of the work i t s e l f . Unless p r a c t i t i o n e r s have a thorough understanding of the e t h i c a l p r i n c i p l e s embodied i n the Codes, and unless they a,re pro-vided w i t h the r i g h t and. the opportunity to p a r t i c i p a t e i n f o r m u l a t i n g and. r e f i n i n g those p r i n c i p l e s , then the Codes of E t h i c s can be nothing e l s e but oppressive super-imposed, r u l e s to be adhered, to i n order to 'avoid censure by the p r o f e s s i o n -a l a s s o c i a t i o n s . Sound educational p r a c t i c e s i n the area of the teaching of e t h i c s would be the f i r s t step to ensuring t h a t the m a j o r i t y .of p r a c t i t i o n e r s would conduct themselves a p p r o p r i a t e l y i n the performance of t h e i r t a s k s . I n summary, we can f a i r l y say that the whole sub-j e c t of e t h i c a l p r i n c i p l e s and t h e i r i m p l i c a t i o n s f o r s o c i a l p o l i c y i s a sadly neglected one. Since the Codes of E t h i c s 2 0 1 . embody the e t h i c a l p r i n c i p l e s of the p r o f e s s i o n s , i t i s obvioiis that the p r o f e s s i o n s themselves must assume l e a d e r -s h i p i n f o c u s i n g more systematic and r a t i o n a l a t t e n t i o n on them i n order to j u s t i f y t h e i r existence and to ensure t h a t they do f u l f i l l t h e i r purpose of s p e c i f y i n g the forms of s e r v i c e and of r e g u l a t i n g the conduct of the p r a c t i t i o n e r i n h i s performance of the d u t i e s i m p l i c i t i n that s e r v i c e . 202. Appendix Canadian A s s o c i a t i o n of S o c i a l Workers A s s o c i a t i o n Canadienne des T r a v a i l l e u r s Sociaux Code of E t h i c s (Adopted. 1938) Preamble I t i s assumed that a p r o f e s s i o n a l s o c i a l worker i s motivated by an i n t e r e s t i n the w e l l - b e i n g of humanity r a t h e r than personal gain or advancement; that he w i l l have knowledge and competence i n h i s f i e l d , and that he i s a person of i n t e g r i t y and open-mindedness. 1. A s o c i a l worker's e s s e n t i a l r e s p o n s i b i l i t y i s the welfare of h i s c l i e n t s . . 2. A s o c i a l worker's r e l a t i o n s h i p to h i s colleagues should be based upon honesty, f a i r n e s s , open-mindedness and a p p r e c i a t i o n of the p a r t each plays i n the l a r g e r pro-f e s s i o n a l f i e l d . 3. A s o c i a l worker should so c o n t r o l h i s personal a c t i v i t i e s t hat he does not impair h i s p r o f e s s i o n a l c a p a b i l i t i e s nor b r i n g adverse c r i t i c i s m upon h i s p r o f e s s i o n . 4. A s o c i a l worker owes h i s employing agency conscientious s e r v i c e and adherence to the p o l i c i e s and r e g u l a t i o n s of h i s o r g a n i z a t i o n , which includes a r e s p o n s i b i l i t y to work toward t h e i r improvement and development. 2 0 3 . A s o c i a l worker i s r e s p o n s i b l e f o r undertaking and s t i m u l a t i n g p r o g r e s s i v e study, i n t e r p r e t a t i o n and a c t i o n w i t h a view to improving p r o f e s s i o n a l s e r v i c e s and com-munity s tandards. 204. Canadian A s s o c i a t i o n of S o c i a l workers A s s o c i a t i o n Canadienne des T r a v a i l l e u r s Sociaux Code of E t h i c s (Adopted 1956) P a r t I PREAMBLE The p r o f e s s i o n of s o c i a l work i s founded upon the r e c o g n i t i o n of the worth and d i g n i t y of persons of whatever ra c e , r e l i g i o n , p o l i t i c a l philosophy or s o c i a l s t a t u s . I t seeks to help i n d i v i d u a l s , groups and communities to a t t a i n s a t i s f y i n g r e l a t i o n s h i p s and standards of l i f e and to carry t h e i r r e s p o n s i b i l i t y f o r the common good. This commits s o c i a l workers to help b u i l d a s o c i e t y i n which man has freedom of worship, of speech and of assembly and reasonable s e c u r i t y against such hazards of l i f e as those attendant upon i l l n e s s and unemployment. While the community as a whole c a r r i e s the broad r e s p o n s i b i l i t y f o r ac h i e v i n g these goals, s o c i a l workers have s p e c i f i c r e s p o n s i b i l i t i e s i n the i n t e r p r e t a t i o n of need and i n the e f f e c t i v e a d m i n i s t r a t i o n of s e r v i c e s entrusted to them. C e r t a i n p r i n c i p l e s are b a s i c to e t h i c a l conduct. 205-The Canadian A s s o c i a t i o n of S o c i a l Workers subscribes to the f o l l o w i n g as a p p l i c a b l e to the p r o f e s s i o n of s o c i a l work and b i n d i n g upon i t s members. I t considers such requirements to be v a l i d f o r every person p r a c t i s i n g s o c i a l work as a pro-f e s s i o n . P a r t I I PRINCIPLES OF PROFESSIONAL CONDUCT The s o c i a l worker regards as h i s primary o b l i g a t i o n the w e l f a r e of the persons served. The S o c i a l Worker and the Persons Served. (a) The s o c i a l worker recognizes and accepts the r i g h t and r e s p o n s i b i l i t y of persons and groups served to make t h e i r own d e c i s i o n s and to act f o r themselves unless they give t h i s a u t h o r i t y to the agency, or unless the agency must act i n a p r o t e c t i v e r o l e i n order to safeguard the per-sons or the community. (b) The s o c i a l worker respects and safeguards the r i g h t of persons to c o n f i d e n t i a l treatment of i n f o r m a t i o n given. These r i g h t s are a l s o p r o t e c t e d by; 1. F u l f i l l i n g the standards of the agency r e s p e c t i n g c o n f i d e n t i a l i t y , and working towards t h e i r improve-ment where needed. 2. Refusing to accept employment or t e r m i n a t i n g employ-ment i n any s e t t i n g which does not meet or does not i n d i c a t e a w i l l i n g n e s s to achieve standards of con-206. f i d e n t i a l i t y . 3. U t i l i z i n g contacts w i t h members' of the'community to f u r t h e r the understanding and acceptance of the p r i n c i p l e s of c o n f i d e n t i a l i t y . The s o c i a l worker serves people, p r i m a r i l y i n agency s e t t i n g s . The worker has a r e s p o n s i b i l i t y to r e l a t e to the agency i n a manner designed to assure the best p o s s i b l e ser-v i c e . The S o c i a l Worker and the Employing Agency (a) I n c o n s i d e r i n g a p o s i t i o n of beginning employment or changing p o s i t i o n s w i t h i n an agency, the s o c i a l worker i s o b l i g a t e d to appraise himself of the needs of the agency i n r e l a t i o n to the p o s i t i o n s , and to evaluate w i t h the agency h i s s u i t a b i l i t y . (b) The s o c i a l worker c a r r i e s out agency o b j e c t i v e s and p o l i c i e s to the best of h i s c a p a c i t i e s , accepting no payment f o r himself from the c l i e n t e l e f o r s e r v i c e s rendered; u t i l i z e s the codes and standards endorsed by the CASW; works through agency and p r o f e s s i o n a l channels to improve s e r v i c e s . (c) I f agency p o l i c y or procedure, or the performance of s t a f f members, seem to v i o l a t e p r o f e s s i o n a l standards, the s o c i a l worker should: 1. Through agency channels r e g i s t e r h i s concern and itfork w i t h others to assess the s i t u a t i o n and to e f f e c t changes when i n d i c a t e d . 2 0 7 . 2 . I f the problem i s not r e s o l v e d i n t h i s way, the worker may consult w i t h and seek guidance from other r e s p o n s i b l e agency and/or p r o f e s s i o n a l personnel, (d) I n co n s i d e r i n g t e r m i n a t i o n of employment w i t h an agency, f o r whatever reason, the s o c i a l worker observes the terms of the employment contract and f u l f i l l s a l l the acts i n accordance w i t h p r o f e s s i o n a l e t h i c s regarding d i s c l o s u r e of i n f o r m a t i o n obtained during employment. The S o c i a l Worker and His Colleagues. (a) The s o c i a l worker respects the p o s i t i o n , accomplishments, and d i f f e r e n c e s i n op i n i o n of h i s colleagues; and acts i n such a way as to support them i n f u l f i l l i n g t h e i r r e s p o n s i b i l i t i e s . He uses the e s t a b l i s h e d channels to carry out h i s r e s p o n s i b i l i t i e s and to express c r i t i c a l judgement on matters r e l a t i v e to p r o f e s s i o n a l performance of h i s colleagues. (b) The s o c i a l worker as a p p l i c a n t obtains permission to o f f e r a colleague's name as reference and as a p o t e n t i a l employer seeks reference only w i t h the knowledge of p r o f e s s i o n a l performance i n the context known; the con-t e n t s are made known i n substance to the a p p l i c a n t ; and the references are used only f o r the purpose f o r which they were intended. As a r e p r e s e n t a t i v e of the p r o f e s s i o n of s o c i a l work and a c i t i z e n of the community, the s o c i a l worker has r e s p o n s i b i l i t i e s to act i n accordance w i t h the needs of the community. To t h i s end the s o c i a l worker: 208. ; The S o c i a l Worker and the Community. (a) Contributes h i s knowledge, s k i l l s and support to pro-grammes of community improvement. (b) Assumes r e s p o n s i b i l i t y f o r upholding and i n t e r p r e t i n g the standards of the p r o f e s s i o n , and p r o t e c t i n g the com-munity against u n e t h i c a l p r a c t i c e on the pa r t of i n d i v i d -u a l s or o r g a n i z a t i o n s engaged i n s o c i a l w e l f a r e programmes. (c) I s w i l l i n g i f appropriate to give p r o f e s s i o n a l s e r v i c e in. a p u b l i c emergency. The S o c i a l Worker and the P r o f e s s i o n of S o c i a l Work. Membership i n the p r o f e s s i o n a l a s s o c i a t i o n places upon the s o c i a l worker r e s p o n s i b i l i t y to a t t a i n f o r himself and f o r the p r o f e s s i o n ever higher standards of competence; to a s s i s t the p r o f e s s i o n to make f u l l c o n t r i b u t i o n to the betterment of l i f e ; and to work to extend p u b l i c confidence i n the p r o f e s s i o n . 209. Canadian A s s o c i a t i o n of S o c i a l Workers A s s o c i a t i o n Canadienne des T r a v a i l l e u r s Sociaux Code of E t h i c s (Adopted 1964) Guiding P r i n c i p l e s The p r o f e s s i o n of s o c i a l work i s "based upon, a humanitarian concern f o r the welfare of people, i n s o c i e t y . I t a f f i r m s the d i g n i t y and worth of human beings i r r e s p e c t i v e of o r i g i n , c o l o r and creed, and recognizes t h e i r r i g h t to i n d i v i d u a l d i f f e r e n c e s . I t upholds t h e i r r i g h t to,equal ' opportunity and to freedom of op i n i o n and b e l i e f s . S o c i a l work i s dedicated to the enhancement of human w e l l - b e i n g through the p r o v i s i o n and development of appropriate s e r v i c e s , and through the promotion of s o c i a l planning and a c t i o n . I t has developed methods of p r a c t i c e based on experience w i t h and i on s c i e n t i f i c knowledge about i n d i v i d u a l s , groups and com-munities and t h e i r i n t e r r e l a t i o n s h i p s . The s o c i a l worker has a commitment to the human and s o c i a l purposes of the p r o f e s s i o n * end an o b l i g a t i o n to serve these purposes w i t h i n t e g r i t y and s k i l l . He recognizes the competence of h i s p a r t i c u l a r d i s c i p l i n e and i t s i n t e r -dependence w i t h other d i s c i p l i n e s . He assumes r e s p o n s i b i l i t y f o r i n c r e a s i n g h i s own knowledge and the knowledge content which u n d e r l i e s p r o f e s s i o n a l p r a c t i c e . He s t r i v e s to in s u r e t h a t a l l p r o f e s s i o n a l tasks are performed by p r o f e s s i o n a l l y educated personnel. 210. Derived from the above p r i n c i p l e s , the f o l l o w i n g Rules of Conduct apply to a l l s o c i a l workers i n t h e i r pro-f e s s i o n a l r e l a t i o n s h i p s and p r a c t i c e . Rules of Conduct 1. The primary o b l i g a t i o n of the s o c i a l worker i s to the welfare of the c l i e n t s served, that i s ; i n d i v i d u a l s , groups or communities. 2. The s o c i a l worker holds himself r e s p o n s i b l e f o r the q u a l i t y of h i s p r o f e s s i o n a l performance. 3. The s o c i a l worker t r e a t s as c o n f i d e n t i a l a l l i n f o r m a t i o n acquired i n the course of h i s p r a c t i c e , and when such i n -formation i s revealed f o r p r o f e s s i o n a l purposes, i t i s done w i t h discernment and w i t h regard f o r the persons concerned. 4. The s o c i a l worker t r e a t s with, respect the statements and a c t i o n s of colle a g u e s , and uses p r o f e s s i o n a l l y approved channels to express personal judgment on these matters. 5. The s o c i a l worker works c o - o p e r a t i v e l y w i t h other pro-f e s s i o n a l d i s c i p l i n e s w i t h due regard to t h e i r recognized areas of competence. 6. The s o c i a l worker performs h i s p r o f e s s i o n a l f u n c t i o n s only i n co n d i t i o n s that permit him to f o l l o w these Rules of Conduct. 7. The s o c i a l worker makes c l e a r i n p u b l i c statements or ac t i o n s whether he i s speaking or a c t i n g as an i n d i v i d u a l or as a delegated r e p r e s e n t a t i v e of the p r o f e s s i o n a l 211. o r g a n i z a t i o n or any other o r g a n i z a t i o n . 8. The s o c i a l w o r k e r renders appropriate s e r v i c e i n a p u b l i c emergency. 9. The s o c i a l worker ac t s i n a r e s p o n s i b l e manner to pro-t e c t the community against p r a c t i c e s harmful to human wel f a r e . 10. The s o c i a l worker accepts r e s p o n s i b i l i t y to c o n t r i b u t e h i s knowledge and s k i l l to the s t i m u l a t i o n , development and support of programmes of s o c i a l w e l f a r e . 2 1 2 . Appendix CODE OF ETHICS FOR LIBRARIANS Preamble s 1. The l i b r a r y as an i n s t i t u t i o n e x i s t s f o r the b e n e f i t of a given constituency, whether i t be the c i t i z e n s of a c6mmunity, members of an educational i n s t i t u t i o n , or some l a r g e r or more s p e c i a l i z e d group. Those who enter the l i b r a r y p r o f e s s i o n assume an o b l i g a t i o n to maintain e t h i c a l standards of behavior i n r e l a t i o n to the govern-i n g a u t h o r i t y under which they work, to the l i b r a r y con-s t i t u e n c y , to the l i b r a r y as an i n s t i t u t i o n and to f e l l o w workers on the s t a f f , to other members of the l i b r a r y p r o f e s s i o n , and to s o c i e t y i n general. 2 . The term l i b r a r i a n i n t h i s code a p p l i e s to any person who i s employed by a l i b r a r y to do work t h a t i s recognized to be p r o f e s s i o n a l i n fcharacter according to standards e s t a b l i s h e d by the American L i b r a r y A s s o c i a t i o n . 3. This code sets f o r t h p r i n c i p l e s of e t h i c a l behavior f o r the p r o f e s s i o n a l l i b r a r i a n . I t i s not a d e c l a r a t i o n of p r e r o g a t i v e s nor a statement of recommended p r a c t i c e s i n s p e c i f i c s i t u a t i o n s . I . R e l a t i o n of the L i b r a r i a n to the Governing A u t h o r i t y 4-. The l i b r a r i a n should perform h i s d u t i e s w i t h r e a l i z a t i o n of the f a c t that f i n a l j u r i s d i c t i o n over the a d m i n i s t r a t i o n ^- of the l i b r a r y r e s t s i n the o f f i c i a l l y c o n s t i t u t e d govern-213. i n g a u t h o r i t y . This a u t h o r i t y may be vested i n a d e s i g -nated i n d i v i d u a l , or i n a group such as a cpmmittee or board. 5. The c h i e f l i b r a r i a n should keep the governing a u t h o r i t y informed on p r o f e s s i o n a l standards and progr e s s i v e a c t i o n . Each l i b r a r i a n should be r e s p o n s i b l e f o r c a r r y -i n g out the p o l i c i e s of the governing a u t h o r i t i e s and i t s appointed executives t i l t h a s p i r i t of l o y a l t y to the l i b r a r y . 6. The c h i e f l i b r a r i a n should i n t e r p r e t d e c i s i o n s of the governing a u t h o r i t y to the s t a f f , and should act as l i a i s o n o f f i c e r i n maintaining f r i e n d l y r e l a t i o n s between s t a f f members and those i n a u t h o r i t y . 7. Recommendations to the governing a u t h o r i t y f o r the appoint-ment of a s t a f f member should be. made by the c h i e f l i b r a r -i a n s o l e l y upon the b a s i s of the candidate's p r o f e s s i o n a l and persona.1 q u a l i f i c a t i o n s f o r the p o s i t i o n . Continu-ance i n s e r v i c e and promotion should depend upon the q u a l i t y of performance, f o l l o w i n g a d e f i n i t e and known p o l i c y . Whenever the good of the s e r v i c e r e q u i r e s a change i n personnel, timely warning should be given. I f d e s i r a b l e adjustment cannot be made, u n s a t i s f a c t o r y ser-v i c e should be terminated i n accordance w i t h the p o l i c y of the l i b r a r y and the r u l e s of tenure. 8. R e s o l u t i o n s , p e t i t i o n s and requests of a s t a f f organ-i z a t i o n or group should be submitted through a duly 21k. appointed r e p r e s e n t a t i v e to the c h i e f l i b r a r i a n . I f a mutually s a t i s f a c t o r y s o l u t i o n ca.nnot be reached, the ch i e f l i b r a r i a n , on request of the s t a f f , should t r a n s -mit the matter to the governing a u t h o r i t y . The s t a f f may f u r t h e r request that they be alloxfed to send a represent-a t i v e to the governing a u t h o r i t y , i n order to present t h e i r opinions i n person. I I . R e l a t i o n of the L i b r a r i a n to His Constituency 9 . The c h i e f l i b r a r i a n , aided by s t a f f members i n touch w i t h the constituency, should study the present and f u t u r e needs of the l i b r a r y , and should acquire m a t e r i a l s on the b a s i s of those needs. P r o v i s i o n should, be made f o r as wide a range of p u b l i c a t i o n s and as v a r i e d a repre-s e n t a t i o n of viewpoints as i s c o n s i s t e n t w i t h the p o l -i c i e s of the l i b r a r y and xtfith the funds a v a i l a b l e . 10. I t i s the l i b r a r i a n ' s r e s p o n s i b i l i t y to make the resources and s e r v i c e s of the l i b r a r y known to i t s p o t e n t i a l users. I m p a r t i a l s e r v i c e should be rendered to a l l who are en-t i t l e d to use the l i b r a r y . 11. I t i s the l i b r a r i a n ' s o b l i g a t i o n to t r e a t as c o n f i d e n t i a l any p r i v a t e i n f o r m a t i o n obtained through contact w i t h l i b r a r y patrons. 12. The l i b r a r i a n should t r y to p r o t e c t l i b r a r y property and. to i n c u l c a t e i n users a sense of t h e i r r e s p o n s i b i l i t y f o r i t s p r e s e r v a t i o n . 215-I I I . R e l a t i o n s of the L i b r a r i a n W i t h i n H i s L i b r a r y 13. The c h i e f l i b r a r i a n should delegate a u t h o r i t y , encourage a sense of r e s p o n s i b i l i t y and i n i t i a t i v e on the p a r t ' o f s t a f f members, provide f o r t h e i r p r o f e s s i o n a l develop-ment and appreciate good work. S t a f f members should be informed of the d u t i e s of t h e i r p o s i t i o n s and the p o l i c i e s and problems of the l i b r a r y . Ik. L o y a l t y to f e l l o w workers and a s p i r i t of courteous co-operation, whether between i n d i v i d u a l s or between de-partments, are e s s e n t i a l to e f f e c t i v e l i b r a r y s e r v i c e . 15. C r i t i c i s m of l i b r a r y p o l i c i e s , s e r v i c e and personnel should be o f f e r e d only to the proper a u t h o r i t y f o r the sole purpose of improvement of the l i b r a r y . 16. Acceptance of a p o s i t i o n i n a l i b r a r y i n c u r s an o b l i -g a t i o n to remain long enough to repay the l i b r a r y f o r the expense i n c i d e n t to adjustment. A con t r a c t signed or agreement made should be adhered to f a i t h f u l l y u n t i l i t expires or i s d i s s o l v e d by mutual consent. 17. Resignations should be made long enough before they are to take e f f e c t to allow adequate time f o r the work to be put i n shape and a successor appointed. 18. A l i b r a r i a n should never enter i n t o a business d e a l i n g on behalf of the l i b r a r y which w i l l r e s u l t i n personal p r o f i t . 216. 19. A l i b r a r i a n should never t u r n the l i b r a r y ' s resources to personal use, to the detriment of s e r v i c e s which the l i b r a r y renders to i t s patrons. IV. R e l a t i o n of the L i b r a r i a n to His P r o f e s s i o n 20. L i b r a r i a n s should recognize l i b r a r i a n s h i p as an education-a l p r o f e s s i o n and r e a l i z e that the growing e f f e c t i v e n e s s of t h e i r s e r v i c e i s dependent upon t h e i r own development. 21. I n view of the importance of a b i l i t y and p e r s o n a l i t y t r a i t s i n l i b r a r y work a l i b r a r i a n should encourage only those persons w i t h s u i t a b l e a p t i t u d e s to enter the l i b r a r y pro-f e s s i o n and should discourage the continuance i n s e r v i c e of the u n f i t . 22. Recommendations should be c o n f i d e n t i a l and should be f a i r to the candidate and the p r o s p e c t i v e employer by pre-senting an unbiased statement of strong and weak p o i n t s . 23. L i b r a r i a n s should have a s i n c e r e b e l i e f and a c r i t i c a l i n t e r e s t i n the l i b r a r y p r o f e s s i o n . They should endeavor to achieve and maintain adequate s a l a r i e s and proper work-i n g c o n d i t i o n s . 24. Formal a p p r a i s a l of the p o l i c i e s or p r a c t i c e s of another l i b r a r y should be given only upon the i n v i t a t i o n of that l i b r a r y ' s governing a u t h o r i t y or c h i e f l i b r a r i a n . 25. L i b r a r i a n s , i n r e c o g n i z i n g the e s s e n t i a l u n i t y of t h e i r p r o f e s s i o n , should have membership i n l i b r a r y o r g a n i z a t i o n s and should be ready to attend and p a r t i c i p a t e i n l i b r a r y meetings and conferences. 21?. V. R e l a t i o n of the L i b r a r i a n to Society 26. L i b r a r i a n s should encourage a general r e a l i z a t i o n of the m value of l i b r a r y s e r v i c e and be informed concerning move-ments, o r g a n i z a t i o n s and i n s t i t u t i o n s whose aims are com-p a t i b l e w i t h those of the l i b r a r y . 27. L i b r a r i a n s should p a r t i c i p a t e i n p u b l i c and community a f f a i r s and so represent the l i b r a r y t h a t i t w i l l take i t s place among e d u c a t i o n a l , s o c i a l and c u l t u r a l agencies. 28. A L i b r a r i a n ' s conduct should be such as to maintain p u b l i c esteem f o r the l i b r a r y and l i b r a r y work. From? Bowker. American L i b r a r y Annual 1958. pp. 111-112. 218. LIBRARY BILL OF RIGHTS The C o u n c i l of the American L i b r a r y A s s o c i a t i o n r e a f f i r m s i t s b e l i e f i n the f o l l o w i n g b a s i c p o l i c i e s which should govern the s e r v i c e s of a l l l i b r a r i e s : 1. As a r e s p o n s i b i l i t y of l i b r a r y s e r v i c e , books and other reading matter s e l e c t e d should be chosen f o r values of i n t e r e s t , i n f o r m a t i o n and enlightenment of a l l the peo-p l e of the community. I n no case should any book be ex-cluded because of the race or n a t i o n a l i t y o r the p o l i t i c a l or r e l i g i o u s views of the w r i t e r . 2. There should be the f u l l e s t p r a c t i c a b l e p r o v i s i o n of m a t e r i a l p r e s e n t i n g a l l p o i n t s of view concerning the pro-blems and i s s u e s of our times, i n t e r n a t i o n a l , n a t i o n a l , and l o c a l ; and books or other reading matter of sound f a c t u a l a u t h o r i t y should not be p r o s c r i b e d or removed from l i b r a r y shelves because of p a r t i s a n or d o c t r i n a l d i s -approval . 3. Censorship of books, urged or p r a c t i c e d by volunteer a r -b i t e r s of moral or p o l i t i c a l o p i n i o n or by organizations, t h a t would e s t a b l i s h a coercive concept of Americanism, must be challenged by l i b r a r i e s i n maintenance of t h e i r r e s p o n s i b i l i t y to provide p u b l i c i n f o r m a t i o n and e n l i g h t -enment through the p r i n t e d word. 4. L i b r a r i e s should e n l i s t the cooperation of a l l i e d groups i n the f i e l d s of science, of education, and of book p u b l i s h i n g i n r e s i s t i n g a l l abridgment of the f r e e access 219. to ideas and f u l l freedom of expression that are the t r a d i t i o n and h e r i t a g e of Americans. The r i g h t s of an i n d i v i d u a l to the use of a li b r a r y -should not be denied or abridged because of h i s race, r e l i g i o n , n a t i o n a l o r i g i n s or p o l i t i c a l views. As an i n s t i t u t i o n of education f o r democratic l i v i n g , the l i b r a r y should welcome the use of i t s meeting rooms f o r s o c i a l l y u s e f u l and c u l t u r a l a c t i v i t i e s and d i s -c ussion of current p u b l i c questions. Such meeting place should be a v a i l a b l e on equal terms to a l l groups i n the community r e g a r d l e s s of the b e l i e f s and a f f i l i a t i o n s of t h e i r members. Adopted June 18, 1948; Amended February 1, 1961, by the A.L.A. C o u n c i l . .220. THE FREEDOM TO READ A statement prepared by the Westchester Conference of the American L i b r a r y A s s o c i a t i o n and the American Book P u b l i s h e r s C o u n c i l , May 2 and 3, 1953. 'The freedom to read i s e s s e n t i a l to our democracy. I t i s under a t t a c k . P r i v a t e groups and p u b l i c a u t h o r i t i e s i n v a r i o u s p a r t s of the country are working to remove books from s a l e , to censor textbooks, to l a b e l " c o n t r o v e r s i a l " books, to d i s t r i b u t e l i s t s of " o b j e c t i o n a b l e " books or authors, and to purge l i b r a r i e s . These a c t i o n s apparently r i s e from a view that our n a t i o n a l t r a d i t i o n of f r e e expression i s no longer v a l i d ; that censorship and suppression are needed to avoi d the subversion of p o l i t i c s and the c o r r u p t i o n of morals. We, as c i t i z e n s devoted to the use of books and as l i b r a r -i a n s and p u b l i s h e r s r e s p o n s i b l e f o r d i s s e m i n a t i n g them, wish to a s s e r t the p u b l i c i n t e r e s t i n the p r e s e r v a t i o n of the freedom to read. We are deeply concerned about these attempts at suppression. Most such attempts r e s t on a d e n i a l of the fundamental premise of democracy: that the ordinary c i t i z e n , by e x e r c i s i n g h i s c r i t i c a l judgment, w i l l accept the good and r e j e c t the bad. The censors, p u b l i c and p r i v a t e , assume th a t they should determine what i s good and what i s bad f o r t h e i r f e l l o w - c i t i z e n s . We t r u s t Americans to recognize propaganda, and to r e j e c t obscenity. We do not b e l i e v e they need the help of censors to a s s i s t them i n t h i s task. We do not b e l i e v e they are prepared to s a c r i f i c e t h e i r h e r i t a g e of a f r e e press i n order to be "protected" against what others t h i n k may be bad f o r them. We b e l i e v e they s t i l l favor f r e e e n t e r p r i s e i n ideas and expression. We are aware, of course, that books are not alone i n being subjected to e f f o r t s at suppression. We are aware t h a t these e f f o r t s are r e l a t e d to a l a r g e r p a t t e r n of pressures being brought aga i n s t education, the press, f i l m s , r a d i o and t e l e v i s i o n . The problem i s not only one of a c t u a l censorship. The shadow of f e a r cast by these pressures l e a d s , we suspect, to an even l a r g e r voluntary c u r t a i l m e n t of expression by those who seek to avoid controversy. Such pressure toward conformity i s perhaps n a t u r a l to a time of uneasy change and pervading f e a r . E x p e c i a l l y x<hen so many of our apprehensions are d i r e c t e d against an ideo l o g y , the expression of a d i s s i d e n t i d e a becomes a t h i n g feared i n i t s e l f , and we tend to move against i t as against a h o s t i l e deed, w i t h suppression. And yet suppression i s never more dangerous than i n such a time of s o c i a l t e n s i o n . Freedom has given the Uni t e d States the e l a s t i c i t y to endure s t r a i n . Freedom keeps open the path of novel and c r e a t i v e s o l u t i o n s , and enables change to come by choice. Every s i l e n c i n g of a heresy, every enforcement of an orthodoxy, diminishes the toughness and r e s i l i e n c e of our s o c i e t y and leaves i t the l e s s able to deal w i t h s t r e s s . 222. Now as always i n our h i s t o r y , books are among our gre a t e s t instruments of freedom. They are almost the only means f o r making g e n e r a l l y a v a i l a b l e ideas or manners of expression t h a t can i n i t i a l l y command only a small audience. They are the n a t u r a l medium f o r the new i d e a and the u n t r i e d v o i c e from which come the o r i g i n a l c o n t r i b u t i o n s to s o c i a l growth. They are e s s e n t i a l to the extended d i s c u s s i o n which seriou s thought r e q u i r e s , and to the accumulation of know-ledge and ideas i n t o organized c o l l e c t i o n s . We b e l i e v e that f r e e communication i s e s s e n t i a l to the p r e s e r v a t i o n of a f r e e s o c i e t y and a c r e a t i v e c u l t u r e . We b e l i e v e t h a t these pressures towards conformity present the danger of l i m i t i n g the range and v a r i e t y of i n q u i r y and expression on which our democracy and our c u l t u r e depend. We b e l i e v e t h a t every American community must j e a l o u s l y guard the freedom to p u b l i s h and to c i r c u l a t e , i n order to pre-serve i t s oxsrn freedom to read. We b e l i e v e t h a t p u b l i s h e r s and l i b r a r i a n s have a profound r e s p o n s i b i l i t y to give v a l i d i t y to that freedom to read by making i t p o s s i b l e f o r the readers to choose f r e e l y from a v a r i e t y of o f f e r i n g s . The freedom to read i s guaranteed by the C o n s t i t u -t i o n . Those w i t h f a i t h i n f r e e men x v i l l stand f i r m on these c o n s t i t u t i o n a l guarantees of e s s e n t i a l r i g h t s and w i l l exer-c i s e the r e s p o n s i b i l i t i e s that accompany these r i g h t s . We therefore a f f i r m these p r o p o s i t i o n s ; 1. I t i s i n the p u b l i c i n t e r e s t f o r p u b l i s h e r s and l i b r a r -2 2 3 . i a n s to make a v a i l a b l e the widest d i v e r s i t y of views and ex-pr e s s i o n s , i n c l u d i n g those which are unorthodox or unpopular w i t h the m a j o r i t y . C r e a t i v e thought i s by d e f i n i t i o n new, and what i s new i s d i f f e r e n t . The bearer of every new thought i s a r e b e l u n t i l h i s i d e a i s r e f i n e d and t e s t e d . T o t a l i t a r i a n systems attempt to maintain themselves i n power by the r u t h -l e s s suppression of any concept which challenges the e s t a b l i s h -ed orthodoxy. The power of a democratic system to adapt to change i s v a s t l y strengthened by the freedom of i t s c i t i z e n s to choose widely from among c o n f l i c t i n g opinions o f f e r e d f r e e -l y to them. To s t i f l e every non-conformist i d e a at b i r t h would mark the end of the democratic process. Furthermore, only through the constant a c t i v i t y of weighing and s e l e c t i n g can the democratic mind a t t a i n the strength demanded by times l i k e these. We need to know not only what we b e l i e v e but why we b e l i e v e i t . 2 . P u b l i s h e r s and l i b r a r i a n s do not need to endorse every i d e a or p r e s e n t a t i o n contained i n the books they make a v a i l -a b l e . I t would c o n f l i c t w i t h the p u b l i c i n t e r e s t f o r them to e s t a b l i s h t h e i r own p o l i t i c a l , moral or a e s t h e t i c views as the sole standard f o r determining Ttfhat books should be published or c i r c u l a t e d . P u b l i s h e r s and l i b r a r i a n s serve the educational process by h e l p i n g to make a v a i l a b l e knowledge and ideas r e q u i r e d f o r the growth of the mind and the increase of l e a r n i n g . They do not f o s t e r education by imposing as men-224. t o r s the pa t t e r n s of t h e i r own thought. The people should have the freedom to read and consider a broader range of ideas than those that may be h e l d by any s i n g l e l i b r a r i a n or p u b l i s h e r or government of church. I t i s wrong that what one man can read should be confined to what another t h i n k s proper. 3. I t i s contrary to the p u b l i c i n t e r e s t f o r p u b l i s h e r s or l i b r a r i a n s to determine the a c c e p t a b i l i t y of a book s o l e l y on the b a s i s of the personal h i s t o r y or p o l i t i c a l a f f i l i a t i o n s of the author. A book should be judged as a book. No a r t or l i t e r a t u r e can f l o u r i s h i f i t i s to be measured by the p o l i t i c a l viexis or p r i v a t e l i v e s of i t s c r e a t o r s . No s o c i e t y of f r e e men can f l o u r i s h which draws up l i s t s of w r i t e r s to whom i t w i l l not l i s t e n , whatever they may have to say. 4. The present laws d e a l i n g w i t h obscenity should be v i g o r -ously enforced. Beyond t h a t , there i s no place i n our s o c i e t y f o r e x t r a - l e g a l e f f o r t s to coerce the t a s t e of others, to confine a d u l t s to the reading matter deemed s u i t a b l e f o r adolescents, or to i n h i b i t the e f f o r t s of w r i t e r s to achieve a r t i s t i c expression. To some, much of modern l i t e r a t u r e i s shocking. But i s not much of l i f e i t s e l f shocking? We cut o f f l i t e r -a ture at the source i f we prevent serious a r t i s t s from d e a l -i n g w i t h the s t u f f of l i f e . Parents and teachers have a r e s p o n s i b i l i t y to prepare the young to meet the d i v e r s i t y 2 2 5 . of experiences i n l i f e to which they w i l l be exposed, as they have a r e s p o n s i b i l i t y to help them l e a r n to t h i n k c r i t i c a l l y f o r themselves. These are a f f i r m a t i v e r e s p o n s i b i l i t i e s , not to be discharged simply by preventing them from reading works f o r vj'hich they are not yet prepared. I n these matters t a s t e d i f f e r s , and t a s t e cannot be l e g i s l a t e d ; nor can machinery be devised which w i l l s u i t the demands of one group without l i m i t i n g the freedom of others. We deplore the c a t e r i n g to the immature, the ret a r d e d or the maladjusted t a s t e . But those concerned w i t h freedom have the r e s p o n s i b i l i t y of see-i n g to i t tha.t each i n d i v i d u a l book or p u b l i c a t i o n , whatever i t s contents, p r i c e or method of d i s t r i b u t i o n , i s d e a l t w i t h i n accordance w i t h due process of laitf. 5 . I t i s not i n the p u b l i c i n t e r e s t to f o r c e a reader to accept w i t h any book the prejudgment of a l a b e l character-i z i n g the book or author as subversive or dangerous. The i d e a l of l a b e l i n g presupposes the existence of i n d i v i d u a l s or groups w i t h wisdom to determine by author-i t y what i s good or bad f o r the c i t i z e n . I t presupposes that each i n d i v i d u a l must be d i r e c t e d i n making up h i s mind about the ideas he examines. But Americans do not need others to do t h e i r t h i n k i n g f o r them. 6. I t i s the r e s p o n s i b i l i t y of p u b l i s h e r s and. l i b r a r i a n s , as guardians of the people's freed_om to read, to contest encroachments upon that freedom by i n d i v i d u a l s or groups seeking to impose t h e i r own standards or t a s t e s upon the com-226. munity at l a r g e . I t i s i n e v i t a b l e i n the give and take of the demo-c r a t i c process that the p o l i t i c a l , the moral, or the a e s t h e t i c concepts of an i n d i v i d u a l or group w i l l o c c a s i o n a l l y c o l l i d e w i t h those of another i n d i v i d u a l or group. I n a f r e e s o c i e t y each i n d i v i d u a l i s f r e e to determine f o r himself what he wishes to read, and each group i s f r e e to determine what i t w i l l recommend to i t s f r e e l y a s s o c i a t e d members. But no group has the r i g h t to take the law i n t o i t s own hands, and. to i m p o s e 1 i t s own concept of p o l i t i c s or m o r a l i t y upon other members of a democratic s o c i e t y . Freedom i s no freedom i t i t i s accorded only to the accepted and the i n o f f e n s i v e . 7. I t i s the r e s p o n s i b i l i t y of p u b l i s h e r s and l i b r a r i a n s to give f u l l meaning to the freedom to read, by p r o v i d i n g books that e n r i c h the q u a l i t y of thought and expression. By the e x e r c i s e of t h i s a f f i r m a t i v e r e s p o n s i b i l i t y , bookmen can demonstrate that the answer to a bad book i s a good one, the answer to a bad i d e a i s a good one. The freedom to read, i s of l i t t l e consequence when expended on the t r i v i a l ; i t i s f r u s t r a t e d when the reader cannot o b t a i n matter f i t f o r h i s purpose. What i s needed i s not only the absence of r e s t r a i n t , but the p o s i t i v e pro-v i s i o n of opportunity f o r the people to read the best t h a t has been thought and s a i d . Books are the major channel by which the i n t e l l e c t u a l i n h e r i t a n c e i s handed, down, and. the p r i n c i p a l means of i t s t e s t i n g and growth. The defense of t h e i r freedom and i n t e g r i t y , and the enlargement of t h e i r 227. s e r v i c e to s o c i e t y , r e q u i r e s of a l l bookmen the utmost ol t h e i r f a c u l t i e s , and deserves of a l l c i t i z e n s the f u l l e s t of t h e i r support. We s t a t e these p r o p o s i t i o n s n e i t h e r l i g h t l y nor as easy g e n e r a l i z a t i o n s . We here stake out a l o f t y c l a i m f o r the value of books. We do so because we b e l i e v e that they are good, possessed of enormous v a r i e t y and use f u l n e s s , worthy of c h e r i s h i n g and. keeping f r e e . We r e a l i z e that the a p p l i c a t i o n of these p r o p o s i t i o n s may mean the disse m i n a t i o n of ideas and manners of expression that are repugnant to many persons. We do not s t a t e these p r o p o s i t i o n s i n the comfortable b e l i e f t h a t what people read i s unimportant. We b e l i e v e r a t h e r that what people read, i s .deeply important; t h a t ideas can be dangerous: but that the suppression of id.eas i s f a t a l to a democratic s o c i e t y . Freedom i t s e l f i s a dangerous way of l i f e , but i t i s ours. Endorsed, by? American L i b r a r y A s s o c i a t i o n C o u n c i l American Book P u b l i s h e r s C o u n c i l Board of D i r e c t o r s American B o o k s e l l e r s A s s o c i a t i o n Board, of D i r e c t o r s Book Manufacturers* I n s t i t u t e Board of D i r e c t o r s N a t i o n a l Education A s s o c i a t i o n Commission For The Defense Of Democracy Through Education 228. THE LIBRARIAN'S PROFESSIONAL CREDO Par t I The L i b r a r i a n 1. THE LIBRARIAN AS A PROFESSIONAL WORKER DOES NOT REQUIRE CLOSE SUPERVISION OR DIRECTION. He has been taught i n h i s p r o f e s s i o n a l l i b r a r y school how to d i r e c t h i s a c t i v -i t i e s once he i s made acquainted w i t h h i s work programme. I t i s h i s duty to d i r e c t h i m s e l f , to p l a n h i s own a c t i v -i t i e s and to work independently. 2. THE LIBRARIAN DOES NOT REGARD HIMSELF AS AN EMPLOYEE. He does not consider himself to be working f o r a "boss." He regards h i s supervisors as f e l l o w p r o f e s s i o n a l workers, and they regard him i n the same way. 3. THE LIBRARIAN DOES NOT WORK BY THE HOUR. He does not ex-pect to adhere s t r i c t l y to a minimum time schedule. He adj u s t s h i s working hours to meet the n e c e s s i t i e s and r e s p o n s i b i l i t i e s of h i s ' d u t i e s , without thought as to "overtime" or "standard work week". 4. THE LIBRARIAN DOES NOT EXFECT TO BE PAID BY THE HOUR. He expects the o v e r a l l sum f o r which he has agreed to per-form h i s d u t i e s . This sum i s based upon the r e s p o n s i b i l -i t i e s i n v o l v e d and the p r o f e s s i o n a l s e r v i c e rendered.. I t cannot be measured i n hours. P r o f e s s i o n s whose members r e g u l a r l y demonstrate t h i s are those where compensation i s h i ghest. 5. THE LIBRARIAN TAKES FULL RESPONSIBILITY FOR THE RESULTS OF HIS EFFORTS AND ACTIONS. He makes h i s own d e c i s i o n s and acts upon them. He may seek advice and counsel but he does not attempt to t r a n s f e r r e s p o n s i b i l i t y f o r h i s own mistakes to others. 6. THE LIBRARIAN CONTINUALLY SEEKS SELF-IMPROVEMENT. He takes advantage of every opportunity to improve h i s know-ledge and understanding i n connection w i t h h i s p r o f e s s i o n -a l d.uties. 7. THE LIBRARIAN CONTRIBUTES TO THE SKILL AND KNOWLEDGE OF THE PROFESSION. He develops new i d e a s , plans and. mater-i a l s and. g l a d l y shares them wi t h f e l l o w workers. 8. TEE LIBRARIAN RESPECTS THE CONFIDENCE OF OTHERS. The welfare of those he serves o f t e n r e q u i r e s that i n f o r m a t i o n concerning them remain c o n f i d e n t i a l . He never v i o l a t e s t h i s confidence. 9. THE LIBRARIAN IS LOYAL TO HIS FELLOW WORKERS. He never gossips about them nor about those he serves. 10. THE LIBRARIAN AVOIDS RUMOUR AND HEARSAY. He does not c r e d i t or repeat i n f o r m a t i o n r e c e i v e d through the "grape-v i n e " . He obtains i n f o r m a t i o n which i s important to him d i r e c t l y from those authorized, to r e l e a s e i t . 11. THE LIBRARIAN ADJUSTS HIS GRIEVANCES THROUGH PROPER CHANNELS. He discusses them d i r e c t l y and p r i v a t e l y w i t h those a u t h o r i z e d to make adjustments. He r e f r a i n s from 230. complaining and grumbling to others. 12. THE LIBRARIAN MEETS HIS PROFESSIONAL OBLIGATIONS. He f u l f i l l s completely a l l agreements and o b l i g a t i o n s enter-ed, i n t o w i t h f e l l o w workers, whether they are l e g a l or moral o b l i g a t i o n s . 13. THE LIBRARIAN IS SENSITIVE TO THE PROBLEMS OF HIS FELLOW WORKERS. He always considers the e f f e c t of h i s a c t i o n s on the welfare of f e l l o w workers. 14. THE LIBRARIAN DOES NOT ADVANCE HIMSELF AT THE EXPENSE OF OTHERS. He s t r i v e s f o r promotion and advancement i n the p r o f e s s i o n only on the ba s i s of su p e r i o r p r e p a r a t i o n and worthy p r o f e s s i o n a l performance. 15. THE LIBRARIAN" IS PROUD OF HIS PROFESSION. He always r e -f l e c t s to those outside the p r o f e s s i o n a p r i d e and s a t i s -f a c t i o n i n the work i n which he i s engaged. 16. THE LIBRARIAN'S CHIEF DESIRE IS TO RENDER A SERVICE. To improve men's welfar e i s the end toward which the l i b r a r -i a n devotes h i s career. 231.. Information B u l l e t i n No. 2 Revised October, 1961. Subjects UNION ORGANIZATION IN ONTARIO LIBRARIES While r e c o g n i s i n g the value of trade unions i n t h e i r own f i e l d and adm i t t i n g the r i g h t of c l e r i c a l employees and maintenance workers to j o i n a union i f they choose to do so, the I n s t i t u t e of P r o f e s s i o n a l L i b r a r i a n s wishes to st a t e i t s viewpoint regarding p r o f e s s i o n a l p a r t i c i p a t i o n i n union a c t i v i t y . A l l p r o f e s s i o n a l L i b r a r i a n s i n Ontario are urged to consider the matter c a r e f u l l y before they are f o r c e d i n t o a sudden d e c i s i o n . The I.P.L. Board of D i r e c t o r s maintains that pro-f e s s i o n a l L i b r a r i a n s should c l a i m and maintain t h e i r s t a t u s as a p r o f e s s i o n , not be j o i n i n g a union, but by u n i t i n g i n a province-wide a s s o c i a t i o n and by o b t a i n i n g s t a t u t o r y r e -c o g n i t i o n f o r the p r o f e s s i o n of L i b r a r i a n s h i p through enact-ment of the necessary p r o v i n c i a l l e g i s l a t i o n . Ontario teachers, f o r example, are governed by the Teaching Pro- , f e s s i o n Act and are s p e c i f i c a l l y excluded from the p r o v i s i o n s of The Labour R e l a t i o n s Act. As lon g as L i b r a r i a n s do not have the necessary p r o v i n c i a l l e g i s l a t i o n they w i l l have n e i t h e r s t a t u t o r y r e c o g n i t i o n as a p r o f e s s i o n nor exemption from the p r o v i s i o n s of The Labour R e l a t i o n s Act. I n e v i t a b l y they w i l l be subject to union o r g a n i z a t i o n . Under the p r o v i s i o n s of The Labour R e l a t i o n s Act i f the m a j o r i t y of a l i b r a r y s t a f f should vote to j o i n a union, a l l personnel below the managerial l e v e l , i n c l u d i n g p r o f e s s i o n a l L i b r a r i a n s , are o b l i g e d to pay union dues 2 3 2 . whether or not they j o i n the union. (The "Rand Formula") The Board of D i r e c t o r s f e e l s t h a t a strong pro-f e s s i o n a l o r g a n i z a t i o n i n Ontario i s the best guarantee of independence and we urge a l l L i b r a r i a n s to become a c t i v e members of I.P.L. and to support i t s programme f o r the advancement of the p r o f e s s i o n . 233. INSTITUTE OF PROFESSIONAL LIBRARIANS Information B u l l e t i n No. 4 January 1962 RECOMMENDATIONS RE PROFESSIONAL CONDUCT: SOME DO'S AND DON'TS FOR I.P.L. MEMBERS These recommendations have been worked out by a s p e c i a l Committee of the IPL, and have been p r i n t e d here f o r your p r o t e c t i o n and guidance. One of the IPL's primary purposes i s to encourage high p r o f e s s i o n a l e t h i c s and job r e s p o n s i b i l i t y among pro-f e s s i o n a l L i b r a r i a n s and i t hopes to be of a s s i s t a n c e i n c l a r i f y i n g i n d i v i d u a l employment problems as they a r i s e . Any L i b r a r i a n who i s an IPL member may ask f o r a s s i s t a n c e and l e g a l advice w i l l be made a v a i l a b l e i f necessary. 1. Don't apply f o r or accept a l i b r a r y p o s i t i o n not properly declared vacant. 2. Make sure that your appointment and. your acceptance are made i n w r i t i n g s t a t i n g s p e c i f i c a l l y the p o s i t i o n you are accepting and the i n i t i a l s a l a r y . 3. Once you have accepted, a p o s i t i o n , observe your c o n t r a c t , whether Tvritten or v e r b a l . 4. Do not accept an appointment f o r a. permanent p o s i t i o n unless you intend, to stay f o r at l e a s t one year. 5. Do not accept employment w i t h a l i b r a r y whose r e -l a t i o n s w i t h the IPL are u n s a t i s f a c t o r y . The onus i s on you to a s c e r t a i n p e r s o n a l l y from the I n s t i -234. tute whether an u n s a t i s f a c t o r y r e l a t i o n s h i p e x i s t s . 6. I f you f i n d y o u r s e l f i n any p r o f e s s i o n a l d i f f i c u l t y contact the I n s t i t u t e . 7. I f you intend to r e s i g n , f u r n i s h w r i t t e n n o t i c e at l e a s t one month i n advance. I f you are dismissed, you should r e c e i v e n o t i c e i n w r i t i n g s t a t i n g the reasons f o r d i s m i s s a l . 8. I f you are i n an a d m i n i s t r a t i v e or supervisory c a p a c i t y , do make and honest and determined e f f o r t to help and counsel a L i b r a r i a n before s u b s c r i b i n g to h i s d i s m i s s a l . 9. Do attempt to extend the p u b l i c knowledge of L i b r a r i a n s h i p and to discourage untrue, u n f a i r or exaggerated statements w i t h respect to the L i b r a r y p r o f e s s i o n . 10. Keep y o u r s e l f informed as to I n s t i t u t e p o l i c i e s and a c t i v i t i e s and take an a c t i v e p a r t i n your I n s t i t u t e ' s work. IPL hopes (through the work of such committees) to b u i l d up a procedure manual. More studi e s w i l l be published as they are completed. Members of the committee d r a f t i n g the above suggestions were Jean Burness, Margaret Cockshutt and B r i a n Land (Chairman). PROPOSED STATEMENT OF OBJECTIVES 235-- Argument .. 1. I t i s i n the p u b l i c i n t e r e s t to have a high q u a l i t y of l i b r a r y s e r v i c e . 11. Such s e r v i c e can be provided only by a p r o f e s s i o n which works co n s t a n t l y toward improvement of i t s q u a l i f i -c a t i o n s and standards of s e r v i c e . 111. This p r o f e s s i o n can provide a high q u a l i t y of l i b r a r y s e r v i c e only i f : 1) the p u b l i c recognizes the importance of t h i s ser-v i c e , and 2) gives the p r o f e s s i o n the r i g h t to c o n t r o l the p r o f e s s i o n a l performance of l i b r a r y s e r v i c e a) through determining the p r o f e s s i o n a l p o s i t i o n s r e q u i r e d i n p r o v i d i n g such s e r v i c e , and b) through j u r i s d i c t i o n over l i b r a r i a n s i n matters p e r t a i n i n g to the p r o f e s s i o n . Therefore, the l i b r a r y s e r v i c e , p r o f e s s i o n a l p o s i t i o n s and q u a l i f i c a t i o n of l i b r a r i a n s are matters of p u b l i c i n t e r e s t and are subject to p u b l i c l e g i s l a t i o n . Objectives 1. R a i s i n g standards of p r o f e s s i o n a l s e r v i c e by - upholding recognized standards of l i b r a r y s e r v i c e - c l a s s i f i c a t i o n of p o s i t i o n s ( d e f i n i t i o n of types of p r o f e s s i o n a l p o s i t i o n s and du t i e s normally considered p r o f e s s i o n a l i n any type of l i b r a r y , E v a l u a t i o n of p o s i t i o n s according to t h i s d e f i n i -t i o n i n any l i b r a r y employing IPLO members) 236. c o n t r o l of p r o f e s s i o n a l p o s i t i o n s (ensuring that only q u a l i f i e d IPLO members are appointed to p r o f e s s i o n a l p o s i t i o n s ) 2. Upholding standards of l i b r a r i a n s h i p - d e f i n i t e standards of p r o f e s s i o n a l performance - d e f i n i t e p r o f e s s i o n a l q u a l i f i c a t i o n s - i n t e r n s h i p (e.g. one year of s u c c e s s f u l p r a c t i c e a f t e r BLS) - co n t i n u i n g education, both p r o f e s s i o n a l and i n subject f i e l d s - l i c e n c i n g ( e n f o r c i n g employment of q u a l i f i e d l i b r a r i a n s i n p r o f e s s i o n a l p o s i t i o n s ) - l i m i t a t i o n of the t i t l e " L i b r a r i a n " to members of IPLO - compulsory membership ( a l l persons occupying pro-f e s s i o n a l p o s i t i o n s must be members of IPLO) -. d i s c i p l i n g of members-code of e h t i c s d i s c i p l i n a r y measures 3. I n t e r e s t s of l i b r a r i a n s - job s e c u r i t y ? tenure, c o n t r a c t s , r i g h t s of r e f e r -ence, e t c . - remuneration - working c o n d i t i o n s ^ - welfare - co-operation w i t h o r g a n i z a t i o n s and p r o f e s s i o n s w i t h s i m i l a r o b j e c t i v e s 237. - c o l l e c t i v e b a r g a i n i n g (Exemption from Labour R e l a t i o n Act p r o v i s i o n s i s i m p l i c i t i n the above o b j e c t i v e s of the I n s t i t u t e . I t Is assumed that c o l l e c t i v e b a r g a i n i n g normally would not have to be e x e r c i s e d since employment co n d i t i o n s would be con-t r o l l e d by the p r o v i s i o n s enumerated above. When necessary 5 the IPLO may, however, act on behalf of l i b r a r i a n s should they s p e c i f i c a l l y request t h i s . ) 238. BIBLIOGRAPHY American Medloal t_Association P r i n c i p l e s , of M e d i c a l _ E t h i c s . Chicago, I l l i n o i s ^ 19^ -9. 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