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.