@prefix vivo: . @prefix edm: . @prefix ns0: . @prefix dcterms: . @prefix skos: . vivo:departmentOrSchool "Arts, Faculty of"@en, "Social Work, School of"@en ; edm:dataProvider "DSpace"@en ; ns0:degreeCampus "UBCV"@en ; dcterms:creator "Brown, Rosemary"@en ; dcterms:issued "2011-09-06T23:29:04Z"@en, "1965"@en ; vivo:relatedDegree "Master of Social Work - MSW"@en ; ns0:degreeGrantor "University of British Columbia"@en ; dcterms:description """Traditionally, one of the major characteristics of established professions such as medicine and law has been the possession of a Code of Ethics. The last three decades have seen the formulation of Codes of Ethics by many new professions and semi-professions as well as by many of the service occupations. In view of the intense concern of these professions, semi-professions and service occupations with the formation of codes of ethics, we set out to examine the codes of three professions to ascertain their functional significance both to the professions themselves and to the public. The rationale for the choice of the three professions of Medicine, Social Work, and Librarianship lay in their being professions whose codes of ethics were in different stages of development. A theoretical framework formulated in the first chapter was used in the following three chapters to examine the judicial viability of the codes of ethics of these professions. As main features of this analysis, we considered the formulation, promulgation, administration, review and revision procedures, jurisdiction, and implications for social policy of the codes. On the basis of the analysis and discussion of the codes of ethics studied we drew the conclusion that many of the existing codes are, to a great extent, deplorably non-specific and even rhetorical. It would therefore seem to be desirable that some measures should be taken to improve the judicial viability of these Codes; and we have made a number of recommendations calculated to achieve this end."""@en ; edm:aggregatedCHO "https://circle.library.ubc.ca/rest/handle/2429/37147?expand=metadata"@en ; skos:note "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 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