Professional Responsibility and Codes of Conduct presents an overview of major issues concerning professionalism as they relate to the Responsible

Conduct of Research (RCR). Joe Her ert emphasi!es both the micro (between individuals) and macro (between professionals and society) ethical dimensions of professional responsibility and codes of conduct. "e compare ethical codes with aspects of moral theory# e$panding the discussion with some of the classical readings for this topic. "e present a case study from the %ssociation for Practical and Professional &thics. "e consider the comple$ issue of whistle'blowing. "e close with a sampling of additional resources.

(able of Contents )) *ntroduction+ "hy do we need professional codes in the first place, Resource+ -i e ". -artin Meaningful Work: Rethinking Professional Ethics. .) Central %rticle+ Future Directions in Engineering Ethics Research: Microethics, Macroethics and the Role of Professional Societies by Joe Her ert /) %pplied &thics+ Professional Codes and -oral (heory# Resources+ -ichael 0avis+ Thinking Like An Engineer: The Place of a ode of Ethics in the Practice of a Profession! Heta and -atti Hayry# The nature and role of "rofessional codes in #odern societ$ 1) Central (heme+ the relationship between professionalism and ethical codes2 basic definitions from Joe Her ert# Resource+ Center for the 3tudy of &thics in the Professions 4) Case 3tudy+ A pHis Tale from the %ssociation for Practical and Professional &thics. 5) 3tudy 6uestion+ Can a 7ood Professional Code -a e "histleblowers 8bsolete, Resources+ Roger Boisjoly and the Challenger Disaster, and 9oisjoly# Roger Professionalis#. :) Resources+ a sampling of articles# boo s and websites

2 )) *ntroduction "hy do we need Professional Codes in the first place, *sn;t behaving ethically part of the job of a professional and thus# part of the educational process that every person receives as part of their training, %ctually# it isn;t that simple. <o one starts out trying to be unethical=it;s more a >uestion of juggling several responsibilities at once# a situation -argaret ?ing described in The Mentoring of Graduate Students in -odule /. *n trying to fulfill our various obligations# we may honestly be unsure of the best way to proceed. *n -odule )# we discussed this dilemma of conflicting loyalties# as one of the central challenges for a professional. *n this -odule# our faculty e$pert is Joe Her ert# 0epartment of %rts and 3ciences# %ri!ona 3tate @niversity. 8ne way to loo at Professional Codes is to see them as a systemati!ed approach to mediating the conflicts that can occur when one person# acting in their professional capacity# wears several hats. %nother view is that formal Codes of Conduct are a reflection of the relationship between society and trained e$perts. A"hile codes vary from one professional society to another# they typically share common features in describing the responsibilities of engineers to the public# their employers and clients# and their fellow engineers. %ll modern engineering codes state that the most significant responsibility of engineers is to protect the public safety# health# and welfare. Codes often also emphasi!e such characteristics as competence# trustworthiness# honesty and fairness.B Her ert# Joe. AFuture Directions in Engineering Ethics Research. 3cience and &ngineering &thics# :./# .DD). 1D:.

(he topic of professional responsibility is about more than right or wrong conduct. (hose of us# who train in areas of research# whatever the discipline# see our wor as a form of public service. (his is why we go into the field in the first place# to honor our discipline and to wor in the public interest. *n# Meaningful Work Rethin ing Professional &thics# -i e ". -artin spea s of this larger conte$t to professionalism.

A%s usually understood# professional ethics consists of shared duties and episodic dilemmas2 the responsibilities incumbent on all members of specific professions# together with the dilemmas that arise when these responsibilities conflict. -ore recently# attention has been paid to the virtues# although usually limiting their role to promoting shared duties# * see to widen professional ethics to include personal commitments# especially commitments to ideals not mandatory for all members of a profession. *n doing so# * discuss neglected issues about meaningful wor # moral psychology# character and virtues# self'fulfillment and self'betrayal# and the interplay of private and professional life.B -artin# -i e ". Meaningful Work: Rethinking Professional Ethics% <ew Cor + 8$ford @niversity Press# .DDD. vii.

3 /) %pplied &thics+ Professional Codes and -oral (heory % professional code is a statement of shared values# out of which arises a prescription for right action. %s such# these codes share characteristics with moral theory. % good professional code# li e a good moral theory# will have inner consistency. (hus# what is right for one person will be right for another# in all# or at least most situations. % code is similar to moral theory of behavior in that both attempt to answer the >uestion AHow should *Ewe behave,B %t the same time# a moral code should leave room for interpretation. For simplicity# let us thin about moral theory as being of two types# Conse>uentialist and <on'Conse>uentialist. (he former focuses on the results of our actions# deciding whether or not an action is good by loo ing at the conse>uences. @tilitarianism is one of the more common theories of this sort. % phrase that captures this attitude is Athe greatest good for the greatest number.B <on'Conse>uentalist theories focus on the principle behind the action# deciding that an action is good based on the principle we follow. For e$ample# are we treating people fairly or not# regardless of the conse>uences, (heories that follow this approach are called 0eontological# after the 7ree word AdeontosB for duty or obligation. % phrase that captures this approach is Awe have an obligation to respect the rights of the individual.B *n trying to clarify what Aright actionB is# codes of conduct are often a combination of both 0eontological and @tilitarian approaches. (hey are e$pressions of the deontological approach# in that they are saying# AHere are the principles to follow.B Cet they have a utilitarian flavor in that they say# A&veryone will be better off if we all observe the same standards.B (here is a third approach to defining right action# neither conse>uentialist nor non' conse>uentialist# which is called Girtue (heory. Here# we decide that Athe right thing to doB is based on an idea of how a virtuous person would behave in such a situation. (he fourth approach# that of Care &thics# is different. Here# instead of intellectual analysis# right action consists of feeling from the heart+ what ma es an action right is how greatly the action will increase the networ of caring relationships. Conse>uentalist# for e$ample# @tilitarian %n act is good in so far as it provides for the greatest good for the greatest number. Girtue (heory %n act is good if it is in accordance to the way that a virtuous person would act. Care &thics %n act is good if it increases the networ of caring relationships.

<on' Conse>u entalist# for e$ample # 0eontol ogical %n act is right if it

4 -ost professional codes are actually a combination of all four approaches. (he idea of following the rules is central to a code# as is the idea of the code acting for the general welfare. (here is also the implication that following a code is an act of virtue. %nd codes subtly bring out the Care &thics approach as well+ a good code will wor to strengthen ties between professionals and between professionals and the public. "hether a professional group follows a more conse>uentalist or non' conse>uentalist scheme when formulating ethical codes of conduct# they are similar in that both are focusing on clarifying the special duties professions have# both to each other and to the public they serve. *f we loo at -ichael 0avis; definition of a professional code we can see that he is following the deontological# or non'conse>uentialist school of thought# where an action is good in and of itself. His articulation of Aright conductB is >uite similar to what (om Regan calls the A@niversali!ation (estB that we have seen in -odule ).

A(o be a code of professional ethics# a code must be a morally permissible standard of conduct each member of the profession wants all others to follow even if their following it would mean he must do the same.B -ichael 0avis# Thinking Like An Engineer: The Place of a ode of Ethics in the Practice of a Profession

A(he @niversali!ation (est as s whether we would be willing to have everyone act in this manner.B (om Regan# Research Ethics, An Introduction# -odule )# p. ..

*n both statements we can see that the idea of having a duty or obligation to behave in a particular way is important. Professional codes of conduct are in this same spirit of setting down a consistent set of principles to guide us when faced with dilemmas of Awhat is the right thing to do.B

A% complete professional code enumerates both the obligations and the privileges of the vocation or association they are attached to. (he positive rights and duties of the professional groupH are directly or indirectly related to the satisfaction of the needs# which ought to be promoted by the members of the groupH Professionals of all descriptions have a firm obligation to satisfy the needs# to promote the interests and to respect the values of their clientele# as the fulfillment of this duty constitutes and the basis of their privileged position in Professional Responsibility Codes of Conduct society.B 9y Joe Her ert Hayry# Heta and -atti. AThe nature and role of "rofessional codes in #odern societ$. &thics and the Professions# Ruth F. Chadwic # &d. %vebury+ 9roo field# )II1. )/I.

1) -ajor (heme+ (he Relationship 9etween Professionalism and &thical Codes Joe Her ert notes that when thin ing about the interface of professional responsibility and ethical action# it is useful to start with some basic definitions. ). "H%( *3 % PR8F&33*8<,

% profession is a group having speciali!ed training# nowledge and s ills and a commitment to a social good. .. "H%( *3 PR8F&33*8<%J R&3P8<3*9*J*(C,

Professional responsibility is the responsibility to use the speciali!ed nowledge and s ills for the benefit of both individuals and society in general. /. %R& 3C*&<(*F*C R&3&%RCH&R3 PR8F&33*8<%J3,

Research scientists do have speciali!ed training# nowledge and s ills and use these abilities to benefit both individuals and society. 1. "H%( *3 % PR8F&33*8<%J C80&,

% group agreement# the contract# the values of the group made tangible and concrete# guidelines for how to use the speciali!ed s ills. *t is discipline and conte$t specific. G. H8" 08&3 (H*3 0*FF&R FR8- % P&R38<%J A&(H*C%J C80&B,

%n ethical code is about the values we live by in general and refers to our behavior in society2 a general ethical code is not discipline or conte$t specific. % professional code of ethics is discipline and conte$t specific. G*. %R& (H&R& 3*-*J%R*(*&3 8R 3H%R&0 G%J@&3 9&("&&< &(H*C%J C80&3 %<0 PR8F&33*8<%J C80&3,

Ces# both types of codes have many shared values# some of which are honesty# fairness# doing no harm and the desire to improve the >uality of life for as many people as possible. G**. "H%( %R& 38-& 8F (H& J*-*(%(*8<3 8F PR8F&33*8<%J C80&3,

Professional codes can be difficult to enforce. *n attempting to both set standards and allow for individual moral freedom a code can end up as only a minimal standard. (here is also the problem of having a multiplicity of codes2 for e$ample# one specific to a discipline# another set forth by the university# a third set of rules

6 from the funding agency and a fourth established by the government# leading to confusion. (om Regan (see Research Ethics: An Introduction) believes that nothing can ta e the place of personal# moral deliberation when faced with ethical conflicts. Joe Her ert agrees with this K in his article he as s if codes can lead to minimal standards if they are utili!ed in the place of rigorous personal decision ma ing. *n addition# 0r. Her ert brings up the particular responsibility a professional has when acting with moral autonomy. He points out the need for professional codes to be conte$t specific so that they are useful to the issue at hand. "hat ma es sense is to be concrete since issues relevant to one profession may be irrelevant to another. For e$ample# ta e %rcheology. Here are some of the professional hats an archeologist might wear=i.e.# these are the people for whom she might feel a particular responsibility. "e can see that there might indeed be a conflict between the desire to e$pand nowledge and to broaden the public understanding of past history and that of honoring the past of an indigenous tribe. 3pecial 0uties Category ). .. /. 1. (he museum (he archeological site (he indigenous people at the site (he field of archeology itself2 i.e. to e$pand nowledge in this area 4. (he public# i.e. to eep the public informed as to past history

How might Aright balanceB be achieved, "e can see in this sort of e$ample# the relevance of Joe Her ert;s point that a professional will strive to balance both micro and macro ethics. %s an e$ample of micro ethics# the archeologists at the site must objectively report their findings2 in terms of macro ethics# how the field of archeology relates to different indigenous tribes is an issue of macro ethics. 0oes the Archeological Institute o A!erica"s #uidelines help in clarifying professional responsibilities in all five areas at the same time, 8r does it leave areas open to personal interpretation, *s it possible to be )DDL sure in every situation, How might a more general ethical code relate to specific disciplinary >uestions, Recall the Code developed by 7regory 9roc that we discussed in -odule )+ How might the #uidelines or the Responsi$le Conduct o Researchers, help out in resolving conflicts such as those an archeologist might face, 0o you thin that every professional should loo to two codes for guidance# )) a discipline specific one# and .) the more general code such as 9roc ;s code, %t what point do we have codes that are useful and conte$t'specific and when do we have too many, (hought 6uestion+ How is it possible for your decisions as a professional to be self directed and at the same time# responsive to your professional code of ethics, 3ee an essay written by a student on this theme# Autono!y# by <oe 9rambila.

7 4) Case 3tudy+ (his case study is from the collection published by the Association or %ractical and %ro essional Ethics &A%%E', posted by the (nline Ethics Center hosted $y the )ational Acade!y o Engineering. (he case# A pHis Tale# e$plores the comple$ issues that can arise when doing research in environmental areas. (his case is an e$cellent springboard for a discussion about the different between micro and macro ethics and the role of professionalism in dealing with the inherent tension that can arise when issues of public interest are part of the mi$.

"e will present a summary of the Case 3tudy here in the bo$ to the right# but reading the original Case 3tudy# 0iscussion 6uestions and Commentaries will enable you to go more deeply into the issues. Cou will find that with this case# as well as others# there are three levels of >uestions andEor concerns2 firstly# there will be specific issues germane to the specific la e research# secondly# there are concerns about researcher objectivity and obligations to the discipline to collect information without bias# and thirdly# there are the deeper# more comple$ societal and ecological implications to ponder. &.g. how do we distinguish between professional responsibility to honor the scientific imperative to be )DDL certain before releasing results vs. the professional responsibility to ta e action concerning an environmental concern,

(om is studying pH levels in a series of la es covering a )DD s>uare miles. Jarge numbers of fish have been dying and the study hopes to determine the reason for this. (om begins to suspect that acid rain# a result of emissions from nearby power plants is the source of the problem. (he data are not yet sufficient to prove this and another study is in the wor s. (om shares his concern that action to save the fish# both for the ecosystem and the fisherman who depend on them# should be started even if all the data is not yet in. He discusses the issue with friends who are in a local environmental group. (om is torn because his professional responsibility as a researcher to stay objective is important# and yet he feels he also has a responsibility to the fish and the fisherman.

%ccess the original Case 3tudy# A pHis Tale# read it thoroughly# including the 0iscussion 6uestions. Review Tom Regan s !heck "ist from page 1 of -odule ). 0oing this will enable you to see the inter'relationship of research ethics in general to the conte$t specific concerns of using animals in research. For e$ample# we see in the Case 3tudy that (om and Richard are discussing publication and meeting with a local environmental group. Can we relate (om;s

8 dilemma to the issue of conflicting obligations, "ho is (om most obligated to+ the senior scientist on the project# his own career# or his conscience, How might this Case 3tudy lin to Regan;s point M+ AAre an# duties of $ustice in%ol%ed& If so, 'ho has 'hat rights& Against 'hom& Cast a wide net in your thin ing about these issues in terms of Regan;s Morall# Rele%ant (uestions. %gain# as in the case study for -odule )# "hat seems to you to be resol%ed in your own mind, "hat seems to you to be unresol%ed in your own mind, "hat do you find challenging to articulate, <ow review the Co!!entary $y Brian *chrag# and %. Aarne +esilind,s co!!entary# which accompany this case. Reading their ideas when you have already struggled with this case will add to your ability to thin through the ethical issues and help you wor on areas that you feel are still unresolved. 0oing this will help you articulate the deeper issues of this case. 8ne of the realities of both case studies and real life situations that involve moral dilemmas is that you might have decided on how to go forward# and yet still feel the pull of the dilemma or find that there are still areas that feel unresolved to you.

9 5) 3tudy 6uestion+ Can a Code of &thics -a e "histle'blowing 8bsolete, 8ne of the most famous real life situations that involved whistle blowing was that of the lead up to the tragic launch of the Challenger. (he engineers on the team were strongly against the launch. However# they were pressured by their bosses to support the launch. (he famous phrase# Anow put your management hats onB has become famous. (he Engineering Code o Ethics is clear that wor must be done with the prime goal of the health and safety of the public. Cet this was not followed. "hy, -uch has been written about this case+ The (nline Ethics Center has an e$cellent presentation in their category of A-oral &$emplars.B (hese are professionals that have gone beyond the normal call of duty in their actions. Cou can read about this case titled Roger Boisjoly and the Challenger Disaster, the main whistle blower in the launch scenario. "e might as + if there are Professional &thical Codes in place# why would whistle' blowing be necessary, "hy didn;t the officials follow their code and decide against the launch, Here is an e$cellent e$ample of how competing obligations comes into play. (he management team at -orton (hio ol was concerned that if they further delayed the launch# a launch the @nited 3tates 7overnment was e$ceedingly interested in for publicity reasons# they might lose their contract. 9ut this does indeed bring up the >uestion of what to do when a professional ethical code either is not being followed or does not wor . "hat is one to do, (his is the painful problem a whistle blower faces. Read through the 8nline &thics Center presentation of the Challenger disaster. %s yourself# why did the codes of ethics not wor , "ere different ideas about professionalism part of the problem, "hat do you thin the core problem was, A%bout 4 years into my original engineering career# * was observed by a senior 6EC manager as * was being pressured by a project manager# on the %pollo space program# to sign off on a discrepant part that was part of the hardware that would eventually land on the moon. * refused to sign the paperwor and the project manager stormed off in a huff. (he 6EC manager approached me and gave me a congratulating handsha e for my stand but * told him that * was just doing my job. He then shared the following advice with me to help me defuse any and all future ethical dilemmas concerning the acceptability of a product. He said# N%s yourself the following >uestion. "ould you allow your spouse or another member of your family to use the product in >uestion without any reservations whatsoever, *f you cannot answer that >uestion with an immediate OCesO# then you have no business signing off on that product for a stranger to use.N %ro essionalis! Roger 9oisjoly

*n the bo$ to the right# we have >uoted from an online essay on professionalism written by Roger 9oisjoly. Cou can see how Girtue &thics is part of his professional stance.

10 :) Resources

%rticles Aagaard-Hansen, .ens and /aria +ang Johansen% Research Ethics Across Disci"lines%& Anthro"olog$ Toda$, '(%), .DDM. )4')I. 9o # 3issela. AWhistle *lo+ing and Professional Res"onsi,ilities &thical *ssues in Professional Jife. Callahan# Joan# Coeditor. <C+ 8$ford @niversity Press# )IMM. //)'//1 &lliot# 0en. AResearchers as )rofessionals, )rofessionals as Researchers: A !onte*t for "a+orator# Research Ethics.B Professional &thics. 1. /P1# )II4. 4')5 . Pritchard# -ichael 3. AProfessional Res"onsi,ilit$: Focusing on the E-e#"lar$. 3cience and &ngineering &thics# 1. .# )IIM. .)4'..I. Reiser# 3tanley Joel and Ruth &llen 9ulger. ASocial Res"onsi,ilities of *iological Scientists%& 3cience and &ngineering &thics# /..# )II:. )/:')1/ . "alsh# ?enneth 0. ADo i.il Engineers /a.e An Ethical Res"onsi,ilit$ To Their lient At The E-"ense 0f The En.iron#ent1 Civil &ngineering# )II4. 5.' 5/. "at ins# Joe. A!onflicting !odes: )rofessional, Ethical and "egal ,+ligations in Archeolog#. 3cience and &ngineering &thics# 4./# )III. //:'/14 . "erhane# Patricia and Jeffrey 0oering. A onflicts of 2nterest and o##it#ent. Professional &thics# 1. / P 1. 1:'M). onflicts of

3ee the 3pecial *ssue on 0histle $lo1ing from 3cience and &ngineering &thics.

11 9oo s 9ayles# -ichael 0. AThe Professions &thical *ssues in Professional Jife# Joan C. Callahan# &d. <ew Cor + 8$ford @niversity Press# )IMM. .:'/D. Da2is, /ichael, Thinking Like an Engineer: Studies in the Ethics of a Profession. %ssociation for Practical and Professional &thics# )IIM. Da2is, /ichael and Andre1 *tar3, Eds% onflict of 2nterest in the Professions. %ssociation for Practical and Professional &thics# .DD) Jeffrey# Cynthia# &d. Research on Professional Responsibility and &thics in %ccounting# Golume )). J%* Press# .DD5. Pritchard# -ichael 3. ARes"onsi,ilities. -eaningful "or + Rethin ing Professional &thics. <ew Cor + 8$ford @niversity Press# .DDD. /.'4D. Resni # 0avid 9. AScience as a Profession.B (he &thics of 3cience+ %n *ntroduction. <ew Cor + Routledge# )IIM. /1'4. 3chreder'Frechette# ?ristin. AProfessional Codes and the 0uty to 0o Research.B &thics of 3cientific Research. Rowman P Jittlefield Publishers# *nc.# )II1. "ebsites (he Center for %pplied &thics has a website devoted to resources about Professionalism+ *tarting %oints in %ro essional Ethics. The Center or the *tudy o site# sponsored by the *llinois of Codes of &thics from many 3ee their Ethics Resources %ro essions# Ethics in the %ro essions4 this is a well' nown *nstitute of (echnology. %side from a large database disciplines# they have many other resources# e.g. ro! the Center or the *tudy o Ethics in the

Ha2e 5ou Read the Code o Ethics or 5our #raduate Discipline6 (his is a website focused on codes of ethics by disciplines. (his site is based at <C3@. %ro essional %ractice a website sponsored by the <ational %cademy of &ngineering;s 8nline &thics Center.