From: kadie@eff.org (Carl M. Kadie)
Subject: ACM Code of Ethics .... Guidelines
Originator: kadie@eff.org
Organization: EFF mail-news gateway
Date: Thu, 12 Nov 1992 12:26:56 GMT

ACM CODE OF ETHICS AND PROFESSIONAL CONDUCT GUIDELINES


1.    GENERAL MORAL IMPERATIVES.  As an ACM member I will...



1.1  Contribute to society and human well-being.



This principle concerning the quality of life of all people affirms an
obligation to protect fundamental human rights and to respect the
diversity of all cultures.  An essential aim of computing professionals
is to minimize negative consequences of computing systems, including
threats to health and safety.  When designing or implementing systems,
computing professionals must attempt to ensure that the products of
their efforts will be used in socially responsible ways, will meet
social needs, and will avoid harmful effects to health and welfare.



     In addition to a safe social environment, human well-being
includes a safe natural environment.  Therefore, computing profession
als who design and develop systems must be alert to, and make others
aware of, any potential damage to the local or global environment.



1.2  Avoid harm to others.



"Harm" means injury or negative consequences, such as undesirable loss
of information, loss of property, property damage, or unwanted envi
ronmental impacts. This principle prohibits use of computing technology
in ways that result in harm to any of the following:  users, general
public, employees, employers.  Harmful actions include intentional
destruction or modification of files and programs leading to serious
loss of resources or unnecessary expenditure of human resources such as
the time and effort required to purge systems of "computer viruses."

     Well-intended actions, including those that accomplish assigned
duties, may lead to harm unexpectedly.  In such an event the respon
sible person or persons are obliged to undo or mitigate the negative
consequences as much as possible.  One way to avoid unintentional harm
is to carefully consider potential impacts on all those affected by
decisions made during design and implementation.

     To minimize the possibility of indirectly harming others, comput
ing professionals must minimize malfunctions by following generally
accepted standards for system design and testing.  Furthermore, it is
often necessary to assess the social consequences of systems to project
the likelihood of any serious harm to others.  If system features are
misrepresented to users, coworkers, or supervisors, the individual
computing professional is responsible for any resulting injury.

     In the work environment the computing professional has the addi
tional obligation to report any signs of system dangers that might
result in serious personal or social damage.  If one's superiors do not
act to curtail or mitigate such dangers, it may be necessary to "blow
the whistle" to help correct the problem or reduce the risk.  However,
capricious or misguided reporting of violations can, itself, be harm
ful.  Before reporting violations, all relevant aspects of the incident
must be thoroughly assessed.  In particular, the assessment or risk and
responsibility must be credible.  It is suggested that advice be sought
from other computing professionals.  See principle 2.5 regarding thor
ough evaluations.



1.3  Be honest and trustworthy.



Honesty is an essential component of trust.  Without trust an organi
zation cannot function effectively.  The honest computing professional
will not make deliberately false or deceptive claims about a system or
system design, but will instead provide full disclosure of all perti
nent system limitations and problems.

     A computer professional has a duty to be honest about his or her
own qualifications, and about any circumstances that might lead to
conflicts of interest.

     Membership in volunteer organizations such as ACM may at times
place individuals in situations where their statements or actions could
be interpreted as carrying the "weight" of a larger group of profes
sionals.  An ACM member will exercise care to not misrepresent ACM or
positions and policies of ACM or any ACM units.



1.4  Be fair and take action not to discriminate.



The values of equality, tolerance, respect for others, and the prin
ciples of equal justice govern this imperative.  Discrimination on the
basis of race, sex, religion, age, disability, national origin, or
other such factors is an explicit violation of ACM policy and will not
be tolerated.

     Inequities between different groups of people may result from the
use or misuse of information and technology.  In a fair society, all
individuals would have equal opportunity to participate in, or benefit
from, the use of computer resources regardless of race, sex, religion,
age, disability, national origin or other such similar factors.  How
ever, these ideals do not justify unauthorized use of computer
resources nor do they provide an adequate basis for violation of any
other ethical imperatives of this code.



1.5  Honor property rights including copyrights and patents.



Violation of copyrights, patents, trade secrets and the terms of
license agreements is prohibited by law in most circumstances.  Even
when software is not so protected, such violations are contrary to
professional behavior.  Copies of software should be made only with
proper authorization.  Unauthorized duplication of materials must not
be condoned.



1.6  Give proper credit for intellectual property



Computing professionals are obligated to protect the integrity of
intellectual property.  Specifically, one must not take credit for
other's ideas or work, even in cases where the work has not been
explicitly protected by copyright, patent, etc.



1.7  Respect the privacy of others.



Computing and communication technology enables the collection and
exchange of personal information on a scale unprecedented in the his
tory of civilization.  Thus there is increased potential for violating
the privacy of individuals and groups.  It is the responsibility of
professionals to maintain the privacy and integrity of data describing
individuals.  This includes taking precautions to ensure the accuracy
of data, as well as protecting it from unauthorized access or acciden
tal disclosure to inappropriate individuals.  Furthermore, procedures
must be established to allow individuals to review their records and
correct inaccuracies.

     This imperative implies that only the necessary amount of personal
information be collected in a system, that retention and disposal
periods for that information be clearly defined and enforced, and that
personal information gathered for a specific purpose not be used for
other purposes with the consent of the individual(s).  These principles
apply to electronic communications, including electronic mail, and
prohibit procedures that capture or monitor electronic user data,
including messages, without the permission of users or bona fide
authorization related to system operation and maintenance.  User data
observed during the normal duties of system operation and maintenance
must be treated with strictest confidentiality, except in cases where
it is evidence for the violation of law, organizational regulations, or
this Code.  In these cases, the nature or contents of that information
must be disclosed only to proper authorities.  (See 1.9)



1.8  Honor confidentiality.



The principle of honesty extends to issues of confidentiality of
information whenever one has made an explicit promise to honor confi
dentiality or, implicitly, when private information not directly
related to the performance of one's duties becomes available.  The
ethical concern is to respect all obligations of confidentiality to
employers, clients, and users unless discharged from such obligations
by requirements of the law or other principles of this Code.





2.    MORE SPECIFIC PROFESSIONAL RESPONSIBILITIES.  As an ACM computing

        professional I will...



2.1  Strive to achieve the highest quality in both the process and
products of  professional work.



Excellence is perhaps the most important obligation of a professional.
The computing profession must strive to achieve quality and to be cog
nizant of the serious negative consequences that may result from poor
quality in a system.



2.2  Acquire and maintain professional competence.



Excellence depends on individuals who take responsibility for acquiring
and maintaining professional competence.  A professional must partici
pate in setting standards for appropriate levels of competence, and
strive to achieve those standards.  Upgrading technical knowledge and
competence can be achieved in several ways:  doing independent study,
attending seminars, conferences, or courses; and being involved in
professional organizations.



2.3  Know and respect existing laws pertaining to professional work.



ACM members must obey existing local, state, province, national and
international laws unless there is a compelling ethical basis not to do
so.  Policies and procedures of the organizations in which one par
ticipates must also be obeyed.  But compliance must be balanced with
the recognition that sometimes existing laws and rules may be immoral
or inappropriate and, therefore, must be challenged.  Violation of a
law or regulation may be ethical when that law or rule has inadequate
moral basis or when it conflicts with another law judged to be more
important.  If one decides to violate a law or rule because it is
viewed as unethical, or for any other reason, one must fully accept
responsibility for one's actions and the consequences.



2.4  Accept and provide appropriate professional review.



Quality professional work, especially in the computing profession,
depends on professional reviewing and critiquing.  Whenever appropri
ate, individual members should seek and utilize peer review as well as
provide critical review of the work of others.



2.5  Give comprehensive and thorough evaluations of computer systems
and their impacts, including analysis of possible risks.



Computer professionals must strive to be perceptive, thorough, and
objective when evaluating, recommending, and presenting system
descriptions and alternatives.  Computer professionals are in a posi
tion of special trust, and therefore have a special responsibility to
provide objective, credible evaluations to employers, clients, users,
and the public.  When providing evaluations the professional must also
identify any relevant conflicts of interest as stated in imperative
1.3.

     As noted in the discussion of principle 1.2 on avoiding harm, any
signs of danger from systems must be reported to those who have oppor
tunity and/or responsibility to resolve them.  See the guidelines for
imperative 1.2 for more details concerning harm, including the report
ing of professional violations.



2.6  Honor contracts, agreements, and assigned responsibilities.



Honoring one's commitment is a matter of integrity and honesty.  For
the computer professional this includes ensuring that system elements
perform as intended.  Also, when one contracts for work with another
party, one has an obligation to keep that party properly informed about
progress toward completing that work.

     A computing professional has a responsibility to request a change
in any assignment that he or she feels cannot be completed as defined.
Only after serious consideration and with full disclosure of risks and
concerns to the employer or client, should one accept the assignment.
The major underlying principle here is the obligation to accept per
sonal accountability for professional work.  On some occasions other
ethical principles may take greater priority.

     A judgment that a specific assignment should not be performed may
not be accepted.  Having clearly identified one's concerns and reasons
for that judgment, but failing to procure a change in that assignment,
one may yet be obligated, by contract or by law, to proceed as
directed.  The computing professional's ethical judgment should be the
final guide in deciding whether or not to proceed.  Regardless of the
decision, one must accept the responsibility for the consequences.

     However, performing assignments "against one's own judgment" does
not relieve the professional of responsibility for any negative conse
quences.



2.7  Improve public understanding of computing and its consequences.



Computing Professionals have a responsibility to share technical
knowledge with the public by encouraging understanding of computing,
including the impacts of computer systems and their limitations.  This
imperative implies an obligation to counter any false views related to
computing.



2.8  Access computing and communication resources only when authorized
to do so.



Theft or destruction of tangible and electronic property is prohibited
by imperative 1.2 - "Avoid harm to others."  Trespassing and unautho
rized use of a computer or communication system is addressed by this
imperative.  Trespassing includes accessing communication networks and
computer systems, or accounts and/or files associated with those sys
tems, without explicit authority to do so.  Individuals and
organizations have the right  to restrict access to their systems so
long as they do not violate the discrimination principle (see 1.4).  No
one should enter or use another's computer system, software, or data
files without permission.  One must always have appropriate approval
before using system resources, including communication ports, file
space, other system peripherals, and computer time.





3.     ORGANIZATIONAL LEADERSHIP IMPERATIVES.  As an ACM member and an

        organizational leader, I will...



BACKGROUND NOTE:  This section draws extensively from the draft IFIP
Code of Ethics, especially its sections on organizational ethics and
international concerns.  The ethical obligations or organizations tend
to be neglected in most codes of professional conduct, perhaps because
these codes are written from the perspective of the individual member.
This dilemma is addressed by stating these imperatives from the per
spective of the organizational leader.  In this context "leader" is
viewed as any organizational member who has leadership or educational
responsibilities.  These imperatives generally may apply to organiza
tions as well as their leaders.  In this context  "organizations" are
corporations, government agencies, and other "employers" as well as
volunteer professional organizations.





3.1  Articulate social responsibilities of members of an organizational
unit and encourage full acceptance of those responsibilities.



Because organizations of all kinds have impacts on the public, they
must accept responsibilities to society.  Organizational procedures and
attitudes oriented toward quality and the welfare of society will
reduce harm to members of the public, thereby serving public interest
and fulfilling social responsibility.  Therefore, organizational lead
ers must encourage full participation in meeting social
responsibilities as well as quality performance.



3.2  Manage personnel and resources to design and build information
systems that enhance the quality, effectiveness and dignity of working life.



Organizational leaders are responsible for ensuring that computer sys
tems enhance, not degrade, the quality of working life.  When
implementing a computer system, organizations must consider the per
sonal and professional development, physical safety, and human dignity
of all workers.  Appropriate human-computer ergonomic standards should
be considered in system design and in the workplace.



3.3  Acknowledge and support proper and authorized uses of an
organization's computing and communication resources.



Because computer systems can become tools to harm as well as benefit an
organization, the leadership has the responsibility to clearly define
appropriate and inappropriate uses of organizational computing
resources.  While the number and scope of such rules should be minimal,
they should be fully enforced when established.



3.4  Ensure that users and those who will be affected by a computing
system have their needs clearly articulated during the assessment and
design of requirements; later the system must be validated to meet requirements.



Current system users, potential users and other persons whose lives may
be affected by a system must have their needs assessed and incorporated
in the statement of requirements.  System validation should ensure
compliance with those requirements.



3.5  Articulate and support policies that protect the dignity of users
and other affected by a computing system.



Designing or implementing systems that deliberately or inadvertently
demean individuals or groups is ethically unacceptable.  Computer pro
fessionals who are in decision making positions should verify that
systems are designed and implemented to protect personal privacy and
enhance personal dignity.



3.6  Create opportunities for members of the organization to learn the
principles and limitations of computer systems.



This complements the imperative on public understanding (2.7).  Educa
tional opportunities are essential to facilitate optimal participation
of all organizational members.  Opportunities must be available to all
members to help them improve their knowledge and skills in computing,
including courses that familiarize them with the consequences and
limitations of particular types of systems.  In particular, profes
sionals must be aware of the dangers of building systems around
oversimplified models, the improbability of anticipating and designing
for every possible operating condition, and other issues related to the
complexity of this profession.





4.    COMPLIANCE WITH THE CODE.  As an ACM member, I will...



4.1  Uphold and promote the principles of this Code.



The future of the computing profession depends on both technical and
ethical excellence.  Not only is it important for computing profes
sionals to adhere to the principles expressed in this Code, each member
should encourage and support adherence by other members.



4.2  Treat violations of this Code as inconsistent with membership in
the ACM.



Adherence by professionals to a code of ethics is largely a voluntary
matter.  However, if a member does not follow this code by engaging in
gross misconduct, membership in ACM may be terminated.

-- 
Carl Kadie -- I do not represent EFF; this is just me.
 =kadie@eff.org, kadie@cs.uiuc.edu =
Newsgroups: alt.comp.acad-freedom.talk