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Ethical code

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An ethical code is adopted by an organization in an attempt to assist those in the organization


called upon to make a decision (usually most, if not all) understand the difference between 'right'
and 'wrong' and to apply this understanding to their decision. The ethical code therefore
generally implies documents at three levels:

Contents
[hide]

• 1 Code of ethics (corporate or business ethics)


• 2 Code of conduct (employee ethics)
• 3 Code of practice (professional ethics)
• 4 General notes
• 5 Examples of Ethical Codes
• 6 See also
• 7 References

• 8 External links

[edit] Code of ethics (corporate or business ethics)


A code of ethics: A code of ethics often focuses on social issues. It may set out general
principles about an organization's beliefs on matters such as mission, quality, privacy or the
environment. It may delineate proper procedures to determine whether a violation of the code of
ethics has occurred and, if so, what remedies should be imposed. The effectiveness of such codes
of ethics depends on the extent to which management supports them with sanctions and rewards.
Violations of a private organization's code of ethics usually can subject the violator to the
organization's remedies (such as restraint of trade based on moral principles). The code of ethics
links to and gives rise to a code of conduct for employees.

[edit] Code of conduct (employee ethics)


A code of conduct is a document designed to influence the behavior of employees: They set out
the procedures to be used in specific ethical situations - such as conflicts of interest or the
acceptance of gifts, and delineate the procedures to determine whether a violation of the code of
ethics occurred and, if so, what remedies should be imposed. The effectiveness of such codes of
ethics depends on the extent to which management supports them with sanctions and rewards.
Violations of a code of conduct may subject the violator to the organization's remedies which can
under particular circumstances result in the termination of employment.

[edit] Code of practice (professional ethics)


A code of practice is adopted by a profession or by a governmental or non-governmental
organization to regulate that profession, a code of practice may be styled as a code of
professional responsibility, which will discuss difficult issues, difficult decisions that will often
be need to made and provide clear account of what behavior is considered "ethical" or "correct"
or "right" in the circumstances. In a membership context, failure to comply with a code of
practice can result in expulsion from the professional organization. In its 2007 International
Good Practice Guidance, Defining and Developing an Effective Code of Conduct for
Organizations, the International Federation of Accountants [1] provided the following working
definition: "Principles, values, standards, or rules of behavior that guide the decisions,
procedures and systems of an organization in a way that (a) contributes to the welfare of its key
stakeholders, and (b) respects the rights of all constituents affected by its operations."

Code of Ethics
of the National Association of Social Workers

Approved by the 1996 NASW Delegate Assembly and revised by the 2008 NASW Delegate
Assembly

Preamble
The primary mission of the social work profession is to enhance human wellbeing and help meet the basic human
needs of all people, with particular attention to the needs and empowerment of people who are vulnerable,
oppressed, and living in poverty. A historic and defining feature of social work is the profession’s focus on individual
wellbeing in a social context and the wellbeing of society. Fundamental to social work is attention to the
environmental forces that create, contribute to, and address problems in living.

Social workers promote social justice and social change with and on behalf of clients. “Clients” is used inclusively to
refer to individuals, families, groups, organizations, and communities. Social workers are sensitive to cultural and
ethnic diversity and strive to end discrimination, oppression, poverty, and other forms of social injustice. These
activities may be in the form of direct practice, community organizing, supervision, consultation administration,
advocacy, social and political action, policy development and implementation, education, and research and
evaluation. Social workers seek to enhance the capacity of people to address their own needs. Social workers also
seek to promote the responsiveness of organizations, communities, and other social institutions to individuals’ needs
and social problems.

The mission of the social work profession is rooted in a set of core values. These core values, embraced by social
workers throughout the profession’s history, are the foundation of social work’s unique purpose and perspective:

• service
• social justice
• dignity and worth of the person
• importance of human relationships
• integrity
• competence.

This constellation of core values reflects what is unique to the social work profession. Core values, and the principles
that flow from them, must be balanced within the context and complexity of the human experience.

Purpose of the NASW Code of Ethics


Professional ethics are at the core of social work. The profession has an obligation to articulate its basic values,
ethical principles, and ethical standards. The NASW Code of Ethics sets forth these values, principles, and
standards to guide social workers’ conduct. The Code is relevant to all social workers and social work students,
regardless of their professional functions, the settings in which they work, or the populations they serve.

The NASW Code of Ethics serves six purposes:

1. The Code identifies core values on which social work’s mission is based.
2. The Code summarizes broad ethical principles that reflect the profession’s core values and establishes a
set of specific ethical standards that should be used to guide social work practice.
3. The Code is designed to help social workers identify relevant considerations when professional obligations
conflict or ethical uncertainties arise.
4. The Code provides ethical standards to which the general public can hold the social work profession
accountable.
5. The Code socializes practitioners new to the field to social work’s mission, values, ethical principles, and
ethical standards.
6. The Code articulates standards that the social work profession itself can use to assess whether social
workers have engaged in unethical conduct. NASW has formal procedures to adjudicate ethics complaints
filed against its members.* In subscribing to this Code, social workers are required to cooperate in its
implementation, participate in NASW adjudication proceedings, and abide by any NASW disciplinary rulings
or sanctions based on it.

The Code offers a set of values, principles, and standards to guide decision making and conduct when ethical issues
arise. It does not provide a set of rules that prescribe how social workers should act in all situations. Specific
applications of the Code must take into account the context in which it is being considered and the possibility of
conflicts among the Code‘s values, principles, and standards. Ethical responsibilities flow from all human
relationships, from the personal and familial to the social and professional.

Further, the NASW Code of Ethics does not specify which values, principles, and standards are most important and
ought to outweigh others in instances when they conflict. Reasonable differences of opinion can and do exist among
social workers with respect to the ways in which values, ethical principles, and ethical standards should be rank
ordered when they conflict. Ethical decision making in a given situation must apply the informed judgment of the
individual social worker and should also consider how the issues would be judged in a peer review process where
the ethical standards of the profession would be applied.

Ethical decision making is a process. There are many instances in social work where simple answers are not
available to resolve complex ethical issues. Social workers should take into consideration all the values, principles,
and standards in this Code that are relevant to any situation in which ethical judgment is warranted. Social workers’
decisions and actions should be consistent with the spirit as well as the letter of this Code.

In addition to this Code, there are many other sources of information about ethical thinking that may be useful. Social
workers should consider ethical theory and principles generally, social work theory and research, laws, regulations,
agency policies, and other relevant codes of ethics, recognizing that among codes of ethics social workers should
consider the NASW Code of Ethics as their primary source. Social workers also should be aware of the impact on
ethical decision making of their clients’ and their own personal values and cultural and religious beliefs and practices.
They should be aware of any conflicts between personal and professional values and deal with them responsibly.
For additional guidance social workers should consult the relevant literature on professional ethics and ethical
decision making and seek appropriate consultation when faced with ethical dilemmas. This may involve consultation
with an agencybased or social work organization’s ethics committee, a regulatory body, knowledgeable colleagues,
supervisors, or legal counsel.

Instances may arise when social workers’ ethical obligations conflict with agency policies or relevant laws or
regulations. When such conflicts occur, social workers must make a responsible effort to resolve the conflict in a
manner that is consistent with the values, principles, and standards expressed in this Code. If a reasonable
resolution of the conflict does not appear possible, social workers should seek proper consultation before making a
decision.

The NASW Code of Ethics is to be used by NASW and by individuals, agencies, organizations, and bodies (such as
licensing and regulatory boards, professional liability insurance providers, courts of law, agency boards of directors,
government agencies, and other professional groups) that choose to adopt it or use it as a frame of reference.
Violation of standards in this Code does not automatically imply legal liability or violation of the law. Such
determination can only be made in the context of legal and judicial proceedings. Alleged violations of the Code would
be subject to a peer review process. Such processes are generally separate from legal or administrative procedures
and insulated from legal review or proceedings to allow the profession to counsel and discipline its own members.

A code of ethics cannot guarantee ethical behavior. Moreover, a code of ethics cannot resolve all ethical issues or
disputes or capture the richness and complexity involved in striving to make responsible choices within a moral
community. Rather, a code of ethics sets forth values, ethical principles, and ethical standards to which professionals
aspire and by which their actions can be judged. Social workers’ ethical behavior should result from their personal
commitment to engage in ethical practice. The NASW Code of Ethics reflects the commitment of all social workers to
uphold the profession’s values and to act ethically. Principles and standards must be applied by individuals of good
character who discern moral questions and, in good faith, seek to make reliable ethical judgments.

Ethical Principles
The following broad ethical principles are based on social work’s core values of service, social justice, dignity and
worth of the person, importance of human relationships, integrity, and competence. These principles set forth ideals
to which all social workers should aspire.

Value: Service

Ethical Principle: Social workers’ primary goal is to help people in need and to address social problems.
Social workers elevate service to others above selfinterest. Social workers draw on their knowledge, values, and
skills to help people in need and to address social problems. Social workers are encouraged to volunteer some
portion of their professional skills with no expectation of significant financial return (pro bono service).

Value: Social Justice

Ethical Principle: Social workers challenge social injustice.


Social workers pursue social change, particularly with and on behalf of vulnerable and oppressed individuals and
groups of people. Social workers’ social change efforts are focused primarily on issues of poverty, unemployment,
discrimination, and other forms of social injustice. These activities seek to promote sensitivity to and knowledge
about oppression and cultural and ethnic diversity. Social workers strive to ensure access to needed information,
services, and resources; equality of opportunity; and meaningful participation in decision making for all people.

Value: Dignity and Worth of the Person

Ethical Principle: Social workers respect the inherent dignity and worth of the person.
Social workers treat each person in a caring and respectful fashion, mindful of individual differences and cultural and
ethnic diversity. Social workers promote clients’ socially responsible selfdetermination. Social workers seek to
enhance clients’ capacity and opportunity to change and to address their own needs. Social workers are cognizant of
their dual responsibility to clients and to the broader society. They seek to resolve conflicts between clients’ interests
and the broader society’s interests in a socially responsible manner consistent with the values, ethical principles, and
ethical standards of the profession.

Value: Importance of Human Relationships

Ethical Principle: Social workers recognize the central importance of human relationships.
Social workers understand that relationships between and among people are an important vehicle for change. Social
workers engage people as partners in the helping process. Social workers seek to strengthen relationships among
people in a purposeful effort to promote, restore, maintain, and enhance the wellbeing of individuals, families, social
groups, organizations, and communities.

Value: Integrity

Ethical Principle: Social workers behave in a trustworthy manner.


Social workers are continually aware of the profession’s mission, values, ethical principles, and ethical standards and
practice in a manner consistent with them. Social workers act honestly and responsibly and promote ethical practices
on the part of the organizations with which they are affiliated.

Value: Competence

Ethical Principle: Social workers practice within their areas of competence and develop and enhance their
professional expertise.
Social workers continually strive to increase their professional knowledge and skills and to apply them in practice.
Social workers should aspire to contribute to the knowledge base of the profession.

Ethical Standards
The following ethical standards are relevant to the professional activities of all social workers. These standards
concern (1) social workers’ ethical responsibilities to clients, (2) social workers’ ethical responsibilities to colleagues,
(3) social workers’ ethical responsibilities in practice settings, (4) social workers’ ethical responsibilities as
professionals, (5) social workers’ ethical responsibilities to the social work profession, and (6) social workers’ ethical
responsibilities to the broader society.

Some of the standards that follow are enforceable guidelines for professional conduct, and some are aspirational.
The extent to which each standard is enforceable is a matter of professional judgment to be exercised by those
responsible for reviewing alleged violations of ethical standards.

1. SOCIAL WORKERS’ ETHICAL RESPONSIBILITIES TO CLIENTS

1.01 Commitment to Clients


Social workers’ primary responsibility is to promote the wellbeing of clients. In general, clients’ interests are primary.
However, social workers’ responsibility to the larger society or specific legal obligations may on limited occasions
supersede the loyalty owed clients, and clients should be so advised. (Examples include when a social worker is
required by law to report that a client has abused a child or has threatened to harm self or others.)

1.02 SelfDetermination

Social workers respect and promote the right of clients to selfdetermination and assist clients in their efforts to
identify and clarify their goals. Social workers may limit clients’ right to selfdetermination when, in the social workers’
professional judgment, clients’ actions or potential actions pose a serious, foreseeable, and imminent risk to
themselves or others.

1.03 Informed Consent

(a) Social workers should provide services to clients only in the context of a professional relationship based, when
appropriate, on valid informed consent. Social workers should use clear and understandable language to inform
clients of the purpose of the services, risks related to the services, limits to services because of the requirements of a
thirdparty payer, relevant costs, reasonable alternatives, clients’ right to refuse or withdraw consent, and the time
frame covered by the consent. Social workers should provide clients with an opportunity to ask questions.

(b) In instances when clients are not literate or have difficulty understanding the primary language used in the
practice setting, social workers should take steps to ensure clients’ comprehension. This may include providing
clients with a detailed verbal explanation or arranging for a qualified interpreter or translator whenever possible.

(c) In instances when clients lack the capacity to provide informed consent, social workers should protect clients’
interests by seeking permission from an appropriate third party, informing clients consistent with the clients’ level of
understanding. In such instances social workers should seek to ensure that the third party acts in a manner
consistent with clients’ wishes and interests. Social workers should take reasonable steps to enhance such clients’
ability to give informed consent.

(d) In instances when clients are receiving services involuntarily, social workers should provide information about the
nature and extent of services and about the extent of clients’ right to refuse service.

(e) Social workers who provide services via electronic media (such as computer, telephone, radio, and television)
should inform recipients of the limitations and risks associated with such services.

(f) Social workers should obtain clients’ informed consent before audiotaping or videotaping clients or permitting
observation of services to clients by a third party.

1.04 Competence

(a) Social workers should provide services and represent themselves as competent only within the boundaries of
their education, training, license, certification, consultation received, supervised experience, or other relevant
professional experience.

(b) Social workers should provide services in substantive areas or use intervention techniques or approaches that
are new to them only after engaging in appropriate study, training, consultation, and supervision from people who
are competent in those interventions or techniques.

(c) When generally recognized standards do not exist with respect to an emerging area of practice, social workers
should exercise careful judgment and take responsible steps (including appropriate education, research, training,
consultation, and supervision) to ensure the competence of their work and to protect clients from harm.

1.05 Cultural Competence and Social Diversity

(a) Social workers should understand culture and its function in human behavior and society, recognizing the
strengths that exist in all cultures.

(b) Social workers should have a knowledge base of their clients’ cultures and be able to demonstrate competence in
the provision of services that are sensitive to clients’ cultures and to differences among people and cultural groups.

(c) Social workers should obtain education about and seek to understand the nature of social diversity and
oppression with respect to race, ethnicity, national origin, color, sex, sexual orientation, gender identity or
expression, age, marital status, political belief, religion, immigration status, and mental or physical disability.

1.06 Conflicts of Interest

(a) Social workers should be alert to and avoid conflicts of interest that interfere with the exercise of professional
discretion and impartial judgment. Social workers should inform clients when a real or potential conflict of interest
arises and take reasonable steps to resolve the issue in a manner that makes the clients’ interests primary and
protects clients’ interests to the greatest extent possible. In some cases, protecting clients’ interests may require
termination of the professional relationship with proper referral of the client.

(b) Social workers should not take unfair advantage of any professional relationship or exploit others to further their
personal, religious, political, or business interests.

(c) Social workers should not engage in dual or multiple relationships with clients or former clients in which there is a
risk of exploitation or potential harm to the client. In instances when dual or multiple relationships are unavoidable,
social workers should take steps to protect clients and are responsible for setting clear, appropriate, and culturally
sensitive boundaries. (Dual or multiple relationships occur when social workers relate to clients in more than one
relationship, whether professional, social, or business. Dual or multiple relationships can occur simultaneously or
consecutively.)

(d) When social workers provide services to two or more people who have a relationship with each other (for
example, couples, family members), social workers should clarify with all parties which individuals will be considered
clients and the nature of social workers’ professional obligations to the various individuals who are receiving
services. Social workers who anticipate a conflict of interest among the individuals receiving services or who
anticipate having to perform in potentially conflicting roles (for example, when a social worker is asked to testify in a
child custody dispute or divorce proceedings involving clients) should clarify their role with the parties involved and
take appropriate action to minimize any conflict of interest.

1.07 Privacy and Confidentiality

(a) Social workers should respect clients’ right to privacy. Social workers should not solicit private information from
clients unless it is essential to providing services or conducting social work evaluation or research. Once private
information is shared, standards of confidentiality apply.

(b) Social workers may disclose confidential information when appropriate with valid consent from a client or a
person legally authorized to consent on behalf of a client.

(c) Social workers should protect the confidentiality of all information obtained in the course of professional service,
except for compelling professional reasons. The general expectation that social workers will keep information
confidential does not apply when disclosure is necessary to prevent serious, foreseeable, and imminent harm to a
client or other identifiable person. In all instances, social workers should disclose the least amount of confidential
information necessary to achieve the desired purpose; only information that is directly relevant to the purpose for
which the disclosure is made should be revealed.

(d) Social workers should inform clients, to the extent possible, about the disclosure of confidential information and
the potential consequences, when feasible before the disclosure is made. This applies whether social workers
disclose confidential information on the basis of a legal requirement or client consent.

(e) Social workers should discuss with clients and other interested parties the nature of confidentiality and limitations
of clients’ right to confidentiality. Social workers should review with clients circumstances where confidential
information may be requested and where disclosure of confidential information may be legally required. This
discussion should occur as soon as possible in the social workerclient relationship and as needed throughout the
course of the relationship.

(f) When social workers provide counseling services to families, couples, or groups, social workers should seek
agreement among the parties involved concerning each individual’s right to confidentiality and obligation to preserve
the confidentiality of information shared by others. Social workers should inform participants in family, couples, or
group counseling that social workers cannot guarantee that all participants will honor such agreements.

(g) Social workers should inform clients involved in family, couples, marital, or group counseling of the social
worker’s, employer’s, and agency’s policy concerning the social worker’s disclosure of confidential information
among the parties involved in the counseling.

(h) Social workers should not disclose confidential information to thirdparty payers unless clients have authorized
such disclosure.

(i) Social workers should not discuss confidential information in any setting unless privacy can be ensured. Social
workers should not discuss confidential information in public or semipublic areas such as hallways, waiting rooms,
elevators, and restaurants.

(j) Social workers should protect the confidentiality of clients during legal proceedings to the extent permitted by law.
When a court of law or other legally authorized body orders social workers to disclose confidential or privileged
information without a client’s consent and such disclosure could cause harm to the client, social workers should
request that the court withdraw the order or limit the order as narrowly as possible or maintain the records under
seal, unavailable for public inspection.

(k) Social workers should protect the confidentiality of clients when responding to requests from members of the
media.

(l) Social workers should protect the confidentiality of clients’ written and electronic records and other sensitive
information. Social workers should take reasonable steps to ensure that clients’ records are stored in a secure
location and that clients’ records are not available to others who are not authorized to have access.

(m) Social workers should take precautions to ensure and maintain the confidentiality of information transmitted to
other parties through the use of computers, electronic mail, facsimile machines, telephones and telephone answering
machines, and other electronic or computer technology. Disclosure of identifying information should be avoided
whenever possible.

(n) Social workers should transfer or dispose of clients’ records in a manner that protects clients’ confidentiality and
is consistent with state statutes governing records and social work licensure.

(o) Social workers should take reasonable precautions to protect client confidentiality in the event of the social
worker’s termination of practice, incapacitation, or death.
(p) Social workers should not disclose identifying information when discussing clients for teaching or training
purposes unless the client has consented to disclosure of confidential information.

(q) Social workers should not disclose identifying information when discussing clients with consultants unless the
client has consented to disclosure of confidential information or there is a compelling need for such disclosure.

(r) Social workers should protect the confidentiality of deceased clients consistent with the preceding standards.

1.08 Access to Records

(a) Social workers should provide clients with reasonable access to records concerning the clients. Social workers
who are concerned that clients’ access to their records could cause serious misunderstanding or harm to the client
should provide assistance in interpreting the records and consultation with the client regarding the records. Social
workers should limit clients’ access to their records, or portions of their records, only in exceptional circumstances
when there is compelling evidence that such access would cause serious harm to the client. Both clients’ requests
and the rationale for withholding some or all of the record should be documented in clients’ files.

(b) When providing clients with access to their records, social workers should take steps to protect the confidentiality
of other individuals identified or discussed in such records.

1.09 Sexual Relationships

(a) Social workers should under no circumstances engage in sexual activities or sexual contact with current clients,
whether such contact is consensual or forced.

(b) Social workers should not engage in sexual activities or sexual contact with clients’ relatives or other individuals
with whom clients maintain a close personal relationship when there is a risk of exploitation or potential harm to the
client. Sexual activity or sexual contact with clients’ relatives or other individuals with whom clients maintain a
personal relationship has the potential to be harmful to the client and may make it difficult for the social worker and
client to maintain appropriate professional boundaries. Social workers—not their clients, their clients’ relatives, or
other individuals with whom the client maintains a personal relationship—assume the full burden for setting clear,
appropriate, and culturally sensitive boundaries.

(c) Social workers should not engage in sexual activities or sexual contact with former clients because of the
potential for harm to the client. If social workers engage in conduct contrary to this prohibition or claim that an
exception to this prohibition is warranted because of extraordinary circumstances, it is social workers—not their
clients—who assume the full burden of demonstrating that the former client has not been exploited, coerced, or
manipulated, intentionally or unintentionally.

(d) Social workers should not provide clinical services to individuals with whom they have had a prior sexual
relationship. Providing clinical services to a former sexual partner has the potential to be harmful to the individual and
is likely to make it difficult for the social worker and individual to maintain appropriate professional boundaries.

1.10 Physical Contact

Social workers should not engage in physical contact with clients when there is a possibility of psychological harm to
the client as a result of the contact (such as cradling or caressing clients). Social workers who engage in appropriate
physical contact with clients are responsible for setting clear, appropriate, and culturally sensitive boundaries that
govern such physical contact.

1.11 Sexual Harassment


Social workers should not sexually harass clients. Sexual harassment includes sexual advances, sexual solicitation,
requests for sexual favors, and other verbal or physical conduct of a sexual nature.

1.12 Derogatory Language

Social workers should not use derogatory language in their written or verbal communications to or about clients.
Social workers should use accurate and respectful language in all communications to and about clients.

1.13 Payment for Services

(a) When setting fees, social workers should ensure that the fees are fair, reasonable, and commensurate with the
services performed. Consideration should be given to clients’ ability to pay.

(b) Social workers should avoid accepting goods or services from clients as payment for professional services.
Bartering arrangements, particularly involving services, create the potential for conflicts of interest, exploitation, and
inappropriate boundaries in social workers’ relationships with clients. Social workers should explore and may
participate in bartering only in very limited circumstances when it can be demonstrated that such arrangements are
an accepted practice among professionals in the local community, considered to be essential for the provision of
services, negotiated without coercion, and entered into at the client’s initiative and with the client’s informed consent.
Social workers who accept goods or services from clients as payment for professional services assume the full
burden of demonstrating that this arrangement will not be detrimental to the client or the professional relationship.

(c) Social workers should not solicit a private fee or other remuneration for providing services to clients who are
entitled to such available services through the social workers’ employer or agency.

1.14 Clients Who Lack DecisionMaking Capacity

When social workers act on behalf of clients who lack the capacity to make informed decisions, social workers
should take reasonable steps to safeguard the interests and rights of those clients.

1.15 Interruption of Services

Social workers should make reasonable efforts to ensure continuity of services in the event that services are
interrupted by factors such as unavailability, relocation, illness, disability, or death.

1.16 Termination of Services

(a) Social workers should terminate services to clients and professional relationships with them when such services
and
relationships are no longer required or no longer serve the clients’ needs or interests.

(b) Social workers should take reasonable steps to avoid abandoning clients who are still in need of services. Social
workers should withdraw services precipitously only under unusual circumstances, giving careful consideration to all
factors in the situation and taking care to minimize possible adverse effects. Social workers should assist in making
appropriate arrangements for continuation of services when necessary.

(c) Social workers in feeforservice settings may terminate services to clients who are not paying an overdue balance
if the financial contractual arrangements have been made clear to the client, if the client does not pose an imminent
danger to self or others, and if the clinical and other consequences of the current nonpayment have been addressed
and discussed with the client.
(d) Social workers should not terminate services to pursue a social, financial, or sexual relationship with a client.

(e) Social workers who anticipate the termination or interruption of services to clients should notify clients promptly
and seek the transfer, referral, or continuation of services in relation to the clients’ needs and preferences.

(f) Social workers who are leaving an employment setting should inform clients of appropriate options for the
continuation of services and of the benefits and risks of the options.

2. SOCIAL WORKERS’ ETHICAL RESPONSIBILITIES TO COLLEAGUES

2.01 Respect

(a) Social workers should treat colleagues with respect and should represent accurately and fairly the qualifications,
views, and obligations of colleagues.
(b) Social workers should avoid unwarranted negative criticism of colleagues in communications with clients or with
other professionals. Unwarranted negative criticism may include demeaning comments that refer to colleagues’ level
of competence or to individuals’ attributes such as race, ethnicity, national origin, color, sex, sexual orientation,
gender identity or expression, age, marital status, political belief, religion, immigration status, and mental or physical
disability.
(c) Social workers should cooperate with social work colleagues and with colleagues of other professions when such
cooperation serves the wellbeing of clients.

2.02 Confidentiality

Social workers should respect confidential information shared by colleagues in the course of their professional
relationships and transactions. Social workers should ensure that such colleagues understand social workers’
obligation to respect confidentiality and any exceptions related to it.

2.03 Interdisciplinary Collaboration

(a) Social workers who are members of an interdisciplinary team should participate in and contribute to decisions
that affect the wellbeing of clients by drawing on the perspectives, values, and experiences of the social work
profession. Professional and ethical obligations of the interdisciplinary team as a whole and of its individual members
should be clearly established.

(b) Social workers for whom a team decision raises ethical concerns should attempt to resolve the disagreement
through appropriate channels. If the disagreement cannot be resolved, social workers should pursue other avenues
to address their concerns consistent with client wellbeing.

2.04 Disputes Involving Colleagues

(a) Social workers should not take advantage of a dispute between a colleague and an employer to obtain a position
or otherwise advance the social workers’ own interests.

(b) Social workers should not exploit clients in disputes with colleagues or engage clients in any inappropriate
discussion of conflicts between social workers and their colleagues.

2.05 Consultation

(a) Social workers should seek the advice and counsel of colleagues whenever such consultation is in the best
interests of clients.
(b) Social workers should keep themselves informed about colleagues’ areas of expertise and competencies. Social
workers should seek consultation only from colleagues who have demonstrated knowledge, expertise, and
competence related to the subject of the consultation.

(c) When consulting with colleagues about clients, social workers should disclose the least amount of information
necessary to achieve the purposes of the consultation.

2.06 Referral for Services

(a) Social workers should refer clients to other professionals when the other professionals’ specialized knowledge or
expertise is needed to serve clients fully or when social workers believe that they are not being effective or making
reasonable progress with clients and that additional service is required.

(b) Social workers who refer clients to other professionals should take appropriate steps to facilitate an orderly
transfer of responsibility. Social workers who refer clients to other professionals should disclose, with clients’
consent, all pertinent information to the new service providers.

(c) Social workers are prohibited from giving or receiving payment for a referral when no professional service is
provided by the referring social worker.

2.07 Sexual Relationships

(a) Social workers who function as supervisors or educators should not engage in sexual activities or contact with
supervisees, students, trainees, or other colleagues over whom they exercise professional authority.

(b) Social workers should avoid engaging in sexual relationships with colleagues when there is potential for a conflict
of interest. Social workers who become involved in, or anticipate becoming involved in, a sexual relationship with a
colleague have a duty to transfer professional responsibilities, when necessary, to avoid a conflict of interest.

2.08 Sexual Harassment

Social workers should not sexually harass supervisees, students, trainees, or colleagues. Sexual harassment
includes sexual advances, sexual solicitation, requests for sexual favors, and other verbal or physical conduct of a
sexual nature.

2.09 Impairment of Colleagues

(a) Social workers who have direct knowledge of a social work colleague’s impairment that is due to personal
problems, psychosocial distress, substance abuse, or mental health difficulties and that interferes
with practice effectiveness should consult with that colleague when feasible and assist the colleague in taking
remedial action.

(b) Social workers who believe that a social work colleague’s impairment interferes with practice effectiveness and
that the colleague has not taken adequate steps to address the impairment should take action through appropriate
channels established by employers, agencies, NASW, licensing and regulatory bodies, and other professional
organizations.

2.10 Incompetence of Colleagues

(a) Social workers who have direct knowledge of a social work colleague’s incompetence should consult with that
colleague when feasible and assist the colleague in taking remedial action.
(b) Social workers who believe that a social work colleague is incompetent and has not taken adequate steps to
address the incompetence should take action through appropriate channels established by employers, agencies,
NASW, licensing and regulatory bodies, and other professional organizations.

2.11 Unethical Conduct of Colleagues

(a) Social workers should take adequate measures to discourage, prevent, expose, and correct the unethical
conduct of colleagues.

(b) Social workers should be knowledgeable about established policies and procedures for handling concerns about
colleagues’ unethical behavior. Social workers should be familiar with national, state, and local procedures for
handling ethics complaints. These include policies and procedures created by NASW, licensing and regulatory
bodies, employers, agencies, and other professional organizations.

(c) Social workers who believe that a colleague has acted unethically should seek resolution by discussing their
concerns with the colleague when feasible and when such discussion is likely to be productive.

(d) When necessary, social workers who believe that a colleague has acted unethically should take action through
appropriate formal channels (such as contacting a state licensing board or regulatory body, an NASW committee on
inquiry, or other professional ethics committees).

(e) Social workers should defend and assist colleagues who are unjustly charged with unethical conduct.

3. SOCIAL WORKERS’ ETHICAL RESPONSIBILITIES IN PRACTICE SETTINGS

3.01 Supervision and Consultation

(a) Social workers who provide supervision or consultation should have the necessary knowledge and skill to
supervise or consult appropriately and should do so only within their areas of knowledge and competence.

(b) Social workers who provide supervision or consultation are responsible for setting clear, appropriate, and
culturally sensitive boundaries.

(c) Social workers should not engage in any dual or multiple relationships with supervisees in which there is a risk of
exploitation of or potential harm to the supervisee.

(d) Social workers who provide supervision should evaluate supervisees’ performance in a manner that is fair and
respectful.

3.02 Education and Training

(a) Social workers who function as educators, field instructors for students, or trainers should provide instruction only
within their areas of knowledge and competence and should provide instruction based on the most current
information and knowledge available in the profession.

(b) Social workers who function as educators or field instructors for students should evaluate students’ performance
in a manner that is fair and respectful.

(c) Social workers who function as educators or field instructors for students should take reasonable steps to ensure
that clients are routinely informed when services are being provided by students.
(d) Social workers who function as educators or field instructors for students should not engage in any dual or
multiple relationships with students in which there is a risk of exploitation or potential harm to the student. Social
work educators and field instructors are responsible for setting clear, appropriate, and culturally sensitive boundaries.

3.03 Performance Evaluation

Social workers who have responsibility for evaluating the performance of others should fulfill such responsibility in a
fair and considerate manner and on the basis of clearly stated criteria.

3.04 Client Records

(a) Social workers should take reasonable steps to ensure that documentation in records is accurate and reflects the
services provided.

(b) Social workers should include sufficient and timely documentation in records to facilitate the delivery of services
and to ensure continuity of services provided to clients in the future.

(c) Social workers’ documentation should protect clients’ privacy to the extent that is possible and appropriate and
should include only information that is directly relevant to the delivery of services.

(d) Social workers should store records following the termination of services to ensure reasonable future access.
Records should be maintained for the number of years required by state statutes or relevant contracts.

3.05 Billing

Social workers should establish and maintain billing practices that accurately reflect the nature and extent of services
provided and that identify who provided the service in the practice setting.

3.06 Client Transfer

(a) When an individual who is receiving services from another agency or colleague contacts a social worker for
services, the social worker should carefully consider the client’s needs before agreeing to provide services. To
minimize possible confusion and conflict, social workers should discuss with potential clients the nature of the clients’
current relationship with other service providers and the implications, including possible benefits or risks, of entering
into a relationship with a new service provider.

(b) If a new client has been served by another agency or colleague, social workers should discuss with the client
whether consultation with the previous service provider is in the client’s best interest.

3.07 Administration

(a) Social work administrators should advocate within and outside their agencies for adequate resources to meet
clients’ needs.

(b) Social workers should advocate for resource allocation procedures that are open and fair. When not all clients’
needs can be met, an
allocation procedure should be developed that is nondiscriminatory and based on appropriate and consistently
applied principles.

(c) Social workers who are administrators should take reasonable steps to ensure that adequate agency or
organizational resources are available to provide appropriate staff supervision.
(d) Social work administrators should take reasonable steps to ensure that the working environment for which they
are responsible is consistent with and encourages compliance with the NASW Code of Ethics. Social work
administrators should take reasonable steps to eliminate any conditions in their organizations that violate, interfere
with, or discourage compliance with the Code.

3.08 Continuing Education and Staff Development

Social work administrators and supervisors should take reasonable steps to provide or arrange for continuing
education and staff development for all staff for whom they are responsible. Continuing education and staff
development should address current knowledge and emerging developments related to social work practice and
ethics.

3.09 Commitments to Employers

(a) Social workers generally should adhere to commitments made to employers and employing organizations.

(b) Social workers should work to improve employing agencies’ policies and procedures and the efficiency and
effectiveness of their services.

(c) Social workers should take reasonable steps to ensure that employers are aware of social workers’ ethical
obligations as set forth in the NASW Code of Ethics and of the implications of those obligations for social work
practice.

(d) Social workers should not allow an employing organization’s policies, procedures, regulations, or administrative
orders to interfere with their ethical practice of social work. Social workers should take reasonable steps to ensure
that their employing organizations’ practices are consistent with the NASW Code of Ethics.

(e) Social workers should act to prevent and eliminate discrimination in the employing organization’s work
assignments and in its employment policies and practices.

(f) Social workers should accept employment or arrange student field placements only in organizations that exercise
fair personnel practices.

(g) Social workers should be diligent stewards of the resources of their employing organizations, wisely conserving
funds where appropriate and never misappropriating funds or using them for unintended purposes.

3.10 LaborManagement Disputes

(a) Social workers may engage in organized action, including the formation of and participation in labor unions, to
improve services to clients and working conditions.

(b) The actions of social workers who are involved in labormanagement disputes, job actions, or labor strikes should
be guided by the profession’s values, ethical principles, and ethical standards. Reasonable differences of opinion
exist among social workers concerning their primary obligation as professionals during an actual or threatened labor
strike or job action. Social workers should carefully examine relevant issues and their possible impact on clients
before deciding on a course of action.

4. SOCIAL WORKERS’ ETHICAL RESPONSIBILITIES AS PROFESSIONALS

4.01 Competence

(a) Social workers should accept responsibility or employment only on the basis of existing competence or the
intention to acquire the necessary competence.

(b) Social workers should strive to become and remain proficient in professional practice and the performance of
professional functions. Social workers should critically examine and keep current with emerging knowledge relevant
to social work. Social workers should routinely review the professional literature and participate in continuing
education relevant to social work practice and social work ethics.

(c) Social workers should base practice on recognized knowledge, including empirically based knowledge, relevant
to social work and social work ethics.

4.02 Discrimination

Social workers should not practice, condone, facilitate, or collaborate with any form of discrimination on the basis of
race, ethnicity, national origin, color, sex, sexual orientation, gender identity or expression, age, marital status,
political belief, religion, immigration status, or mental or physical disability.

4.03 Private Conduct

Social workers should not permit their private conduct to interfere with their ability to fulfill their professional
responsibilities.

4.04 Dishonesty, Fraud, and Deception

Social workers should not participate in, condone, or be associated with dishonesty, fraud, or deception.

4.05 Impairment

(a) Social workers should not allow their own personal problems, psychosocial distress, legal problems, substance
abuse, or mental health difficulties to interfere with their professional judgment and performance or to jeopardize the
best interests of people for whom they have a professional responsibility.

(b) Social workers whose personal problems, psychosocial distress, legal problems, substance abuse, or mental
health difficulties interfere with their professional judgment and performance should immediately seek consultation
and take appropriate remedial action by seeking professional help, making adjustments in workload, terminating
practice, or taking any other steps necessary to protect clients and others.

4.06 Misrepresentation

(a) Social workers should make clear distinctions between statements made and actions engaged in as a private
individual and as a representative of the social work profession, a professional social work organization, or the social
worker’s employing agency.

(b) Social workers who speak on behalf of professional social work organizations should accurately represent the
official and authorized positions of the organizations.

(c) Social workers should ensure that their representations to clients, agencies, and the public of professional
qualifications, credentials, education, competence, affiliations, services provided, or results to be achieved are
accurate. Social workers should claim only those relevant professional credentials they actually possess and take
steps to correct any inaccuracies or misrepresentations of their credentials by others.

4.07 Solicitations
(a) Social workers should not engage in uninvited solicitation of potential clients who, because of their
circumstances, are vulnerable to undue influence, manipulation, or coercion.

(b) Social workers should not engage in solicitation of testimonial endorsements (including solicitation of consent to
use a client’s prior statement as a testimonial endorsement) from current clients or from other people who, because
of their particular circumstances, are vulnerable to undue influence.

4.08 Acknowledging Credit

(a) Social workers should take responsibility and credit, including authorship credit, only for work they have actually
performed and to which they have contributed.

(b) Social workers should honestly acknowledge the work of and the contributions made by others.

5. SOCIAL WORKERS’ ETHICAL RESPONSIBILITIES TO THE SOCIAL WORK PROFESSION

5.01 Integrity of the Profession

(a) Social workers should work toward the maintenance and promotion of high standards of practice.

(b) Social workers should uphold and advance the values, ethics, knowledge, and mission of the profession. Social
workers should protect, enhance, and improve the integrity of the profession through appropriate study and
research, active discussion, and responsible criticism of the profession.

(c) Social workers should contribute time and professional expertise to activities that promote respect for the value,
integrity, and competence of the social work profession. These activities may include teaching, research,
consultation, service, legislative testimony, presentations in the community, and participation in their professional
organizations.

(d) Social workers should contribute to the knowledge base of social work and share with colleagues their knowledge
related to practice, research, and ethics. Social workers should seek to contribute to the profession’s literature and to
share their knowledge at professional meetings and conferences.

(e) Social workers should act to prevent the unauthorized and unqualified practice of social work.

5.02 Evaluation and Research

(a) Social workers should monitor and evaluate policies, the implementation of programs, and practice interventions.

(b) Social workers should promote and facilitate evaluation and research to contribute to the development of
knowledge.

(c) Social workers should critically examine and keep current with emerging knowledge relevant to social work and
fully use evaluation and research evidence in their professional practice.

(d) Social workers engaged in evaluation or research should carefully consider possible consequences and should
follow guidelines developed for the protection of evaluation and research participants. Appropriate institutional review
boards should be consulted.

(e) Social workers engaged in evaluation or research should obtain voluntary and written informed consent from
participants, when appropriate, without any implied or actual deprivation or penalty for refusal to participate; without
undue inducement to participate; and with due regard for participants’ wellbeing, privacy, and dignity. Informed
consent should include information about the nature, extent, and duration of the participation requested and
disclosure of the risks and benefits of participation in the research.

(f) When evaluation or research participants are incapable of giving informed consent, social workers should provide
an appropriate explanation to the participants, obtain the participants’ assent to the extent they are able, and obtain
written consent from an appropriate proxy.

(g) Social workers should never design or conduct evaluation or research that does not use consent procedures,
such as certain forms of naturalistic observation and archival research, unless rigorous and responsible review of the
research has found it to be justified because of its prospective scientific, educational, or applied value and unless
equally effective alternative procedures that do not involve waiver of consent are not feasible.

(h) Social workers should inform participants of their right to withdraw from evaluation and research at any time
without penalty.

(i) Social workers should take appropriate steps to ensure that participants in evaluation and research have access
to appropriate supportive services.

(j) Social workers engaged in evaluation or research should protect participants from unwarranted physical or mental
distress, harm, danger, or deprivation.

(k) Social workers engaged in the evaluation of services should discuss collected information only for professional
purposes and only with people professionally concerned with this information.

(l) Social workers engaged in evaluation or research should ensure the anonymity or confidentiality of participants
and of the data obtained from them. Social workers should inform participants of any limits of confidentiality, the
measures that will be taken to ensure confidentiality, and when any records containing research data will be
destroyed.

(m) Social workers who report evaluation and research results should protect participants’ confidentiality by omitting
identifying information unless proper consent has been obtained authorizing disclosure.

(n) Social workers should report evaluation and research findings accurately. They should not fabricate or falsify
results and should take steps to correct any errors later found in published data using standard publication methods.

(o) Social workers engaged in evaluation or research should be alert to and avoid conflicts of interest and dual
relationships with participants, should inform participants when a real or potential conflict of interest arises, and
should take steps to resolve the issue in a manner that makes participants’ interests primary.

(p) Social workers should educate themselves, their students, and their colleagues about responsible research
practices.

6. SOCIAL WORKERS’ ETHICAL RESPONSIBILITIES TO THE BROADER SOCIETY

6.01 Social Welfare

Social workers should promote the general welfare of society, from local to global levels, and the development of
people, their communities, and their environments. Social workers should advocate for living conditions conducive to
the fulfillment of basic human needs and should promote social, economic, political, and cultural values and
institutions that are compatible with the realization of social justice.
6.02 Public Participation

Social workers should facilitate informed participation by the public in shaping social policies and institutions.

6.03 Public Emergencies

Social workers should provide appropriate professional services in public emergencies to the greatest extent
possible.

6.04 Social and Political Action

(a) Social workers should engage in social and political action that seeks to ensure that all people have equal access
to the resources, employment, services, and opportunities they require to meet their basic human needs and to
develop fully. Social workers should be aware of the impact of the political arena on practice and should advocate for
changes in policy and legislation to improve social conditions in order to meet basic human needs and promote
social justice.

(b) Social workers should act to expand choice and opportunity for all people, with special regard for vulnerable,
disadvantaged, oppressed, and exploited people and groups.

(c) Social workers should promote conditions that encourage respect for cultural and social diversity within the
United States and globally. Social workers should promote policies and practices that demonstrate respect for
difference, support the expansion of cultural knowledge and resources, advocate for programs and institutions that
demonstrate cultural competence, and promote policies that safeguard the rights of and confirm equity and social
justice for all people.

(d) Social workers should act to prevent and eliminate domination of, exploitation of, and discrimination against any
person, group, or class on the basis of race, ethnicity, national origin, color, sex, sexual orientation, gender identity or
expression, age, marital status, political belief, religion, immigration status, or mental or physical disability.

Code of Ethics & Code of Conduct


Vice-Chancellor’s Address

Code of Ethics

Equity and Justice


Respect for People
Personal and Professional Responsibility

Code of Conduct

Introduction

1.0 Equity and Justice


1.1 Equity of Access to Employment and Programmes

1.2 Harassment

Discrimination
Bullying
Racial Harassment
Sexual Harassment

1.3 Academic Freedom


1.4 Union Membership
1.5 Lawful Obedience

2.0 Respect for People

2.1 Confidentiality
2.2 Grievances
2.3 Intellectual Property

3.0 Personal and Professional Responsibility

3.1 Fraud and Corruption


3.2 Ethical Conduct of Research
3.3 Information Technology
3.4 Conflicts of Interest

Research Conduct
Professional and Personal Relationships
Recruitment and Employment
Outside Employment and Private Practice
Procurement
Acceptance of Gifts or Benefits

3.5 Use of University Facilities and Equipment


3.6 Public Comment
3.7 Professional Development

Appendix 1: Relevant Acts


Appendix 2: list of contacts for further information

A CODE OF ETHICS AND A CODE OF CONDUCT


Members of The University of Western Australia

This Code of Ethics and Code of Conduct forms part of the University’s
accountability framework and offers guidance and direction to you on a range of
ethical issues that you may confront in your day-to-day work or study. The
University of Western Australia is committed to complying with all applicable
laws and standards, promoting a culture of fair and ethical behaviour and
encouraging the reporting of corrupt practices, breaches of the law and matters
detrimental to the University or its reputation.

The University Senate fully supports the principles and related practices
espoused by the UWA Code of Ethics and Code of Conduct.

The Codes are part of a three-tiered package. The Code of Ethics is a set of
broad-based statements centred around three key principles:

• equity and justice;


• respect for people; and
• personal and professional responsibility.

The Code of Conduct then identifies a number of specific ethical issues likely
to emerge in a University setting relating to these three principles and provides
further guidance. It does not and cannot cover every possible situation.

The third level is that of University Policy. The University of Western Australia
has a well-developed policy framework in regard to the items identified in the
Code of Conduct. Rather than restate these in full in this document, reference is
made to the website addresses where further information can be obtained.

Professor Alan Robson


Vice-Chancellor

CODE OF ETHICS
This Code of Ethics is a statement of the ethical principles, values and
behaviours expected of staff and students at The University of Western
Australia. It flows from the following statement in the University’s Strategic
Plan:

The University fosters the values of openness, honesty, tolerance, fairness and
responsibility in social and moral, as well as academic, matters.
The Code of Ethics is intended to assist staff and students to identify and
resolve ethical issues that might arise during their employment or in the course
of their studies. It is designed to guide them in their dealings with colleagues,
students, the University, and local, national and international communities. The
Code puts forward a set of general principles rather than detailed prescriptions.
It stands beside, but does not exclude or replace, the rights and obligations of
staff and students under common law or legislation.

The University is a complex organisation comprising diverse groups that have


different relationships to one another. These may be relations of power and/or
status. It is essential in such a community that all members recognise and
respect not only their own rights and responsibilities, but also the rights and
responsibilities of other members of the community and those of the University
itself.

The University recognises that many of its staff are also bound by codes of
conduct or ethics defined by learned or professional societies or groups. Staff
may have multiple allegiances: to their disciplines or profession at national and
international levels (the invisible colleges), to the academic profession, to the
community at large and to the University. Staff and students may also have
allegiances to particular religious or cultural traditions. It is recognised that
these allegiances are not always in harmony. It is an obligation of a staff
member or student to weigh the importance of these allegiances in each
particular set of circumstances and to notify an appropriate officer of the
University where such conflict does or may arise.

The Code of Ethics is based on three universal ethical principles. These are:

Equity and Justice

People are to be treated fairly – not discriminated against, abused or exploited.


Justice is concerned with power sharing and preventing the abuse of power. In
a just community all members can access opportunities that allow for their full
participation in that community.

Respect for People

People should be treated as individuals with rights to be honoured and


defended. Respect empowers others to claim their rights and to achieve their
potential. Respect for the rights of other people is the basis on which individuals
become members of a community and accept their social responsibilities to
behave with integrity.

Membership of a community means that individuals not only have rights


but also duties and responsibilities to others to act openly and honestly.
Demonstrating respect for persons requires, for example, dealing with
disagreements by reasoned argument rather than by using language (words,
style and tone) that have the effect of inappropriately attacking or demeaning
the listener.

Personal and Professional Responsibility

The principle of taking personal and professional responsibility requires not only
that people avoid doing harm to others but that they exhibit courteous
behaviour upholding the standards expected of all members of the University
community as part of achieving a common good. In so doing they are expected
to protect the rights of others and respect the diversity of cultures and peoples.
Those well-positioned enough to assert their rights have a reciprocal duty to
exercise care towards those who depend on them for their well-being. This
principle involves stewardship of assets, resources and the environment.

When a conflict arises between a staff member’s or student’s self-interest and


duty to the University, the issue should be disclosed to an appropriate officer of
the University. Wherever feasible the staff member or student should not play a
role in decision-making that might be associated with that issue.

The Code of Ethics underpins a Code of Conduct that defines guidelines on


specific actions or procedures applicable to employees and students at The
University of Western Australia for a range of specific ethical issues.

CODE OF CONDUCT
The Code of Conduct is based on principles, values and behaviours outlined in
the Code of Ethics. It is a formulation of policies, rules or guidelines that define
the specific actions or procedures applicable to members of The University of
Western Australia for a range of specific ethical issues. The Code of Conduct is
based on the three universal ethical principles described in the Code of Ethics.

This Code applies to all staff and students of the University. Contractors, their
employees and representatives, and visitors engaging in any university-related
activity are expected to conduct themselves in a manner consistent with this
Code.

The Code of Conduct underlines:

• The rights of employees to be treated fairly and equitably in the


workplace;
• Avenues for resolving complaints or breaches of policies and Codes; and
• The legal and ethical obligations and expectations of all students and staff
to act in accordance with the expressed standards of conduct, integrity
and accountability contained in relevant legislation, University policies
and relevant Agreements.

The objectives of the Code are to:

• Assist staff and students in dealing with ethical issues in ways that reflect
the University’s values and standards;
• Promote professionalism and excellence;
• Express shared assumptions and organisational values;
• Provide staff and students with guidance in ethically ambiguous
situations;
• Communicate the University’s standards;
• Detail the University’s social responsibilities;
• Motivate staff and students to do the right thing;
• Provide a statement on public accountability and corporate governance;
and
• Assist staff and students to meet the minimum standards of conduct and
integrity described in the Code of Ethics.

The Code does not supersede other policies or agreements that The University
of Western Australia has in place. Appendix 1 contains a list of Acts relevant to
the Code of Conduct, and reference is made to relevant University policies and
agreements throughout this document. Appendix 2 provides a list of contact
positions for further information on specific matters contained in the Code of
Ethics and Code of Conduct.

The Code of Conduct does not and cannot cover every possible situation. You
can, however, test yourself on whether your behaviour is ethical by asking
yourself three questions:

• Would I be happy to have what I am saying or doing appear on the front


page of the newspaper?
• Does what I am saying or doing serve a purpose beyond self-interest?
• Would I like to be spoken to or treated in this way?

Members of this University should be aware that any breach of this Code may
result in disciplinary action being taken.

Because the University falls under the WA Corruption and Crime Commission
Act, staff and students who are alleged to have committed, corrupt or other
improper behaviour are protected by that Act’s provisions on confidentiality, as
are those who report such behaviour. The University is also bound by the WA
Public Interest Disclosure Act which permits complaints about University staff to
be investigated on a protected, anonymous, basis. The University Lawyer is the
UWA Public Interest Disclosure Officer.

If you believe that a colleague has breached this Code you can discuss that
person’s behaviour confidentially with your supervisor or other senior member
of the University. If you are unsure about any aspect of this Code please consult
your supervisor, the Director of Human Resources, or the relevant contact
provided in Appendix 2.

1.0 Equity and Justice

The University has adopted the following Equal Opportunity Policy Statement.

The University of Western Australia is committed to a policy of equal


opportunity in employment and education. The University accepts that it has a
responsibility to create an environment free from discrimination, and to ensure
that the principle of merit operates unhindered by regard to irrelevant criteria.
To this end the University will act to ensure that its structures are free from
direct or indirect discrimination on the grounds of sex, marital status or
pregnancy, race, age, sexual orientation, gender identity, religious or political
beliefs, impairment, family responsibility or family status. (Senate, 1993,
amended 2002)

Equal Opportunity and Affirmative Action Policy Statement

1.1 Equity of access to employment and programs

The University of Western Australia remains committed to 'the recruitment,


development and retention of the highest quality staff' to achieve its mission.
This objective is supported by an employment philosophy of providing job
security through ongoing employment where possible, and encouraging flexible
work practices that accommodate a range of needs in a diverse workforce. The
University seeks to remove any barriers that may impede full access to the
benefits and conditions of employment and the delivery of University services.

The University is committed to providing an environment of equal opportunity,


free from discrimination, for existing and prospective staff and students in the
pursuit of their academic goals and the realisation of their potential to
contribute to the achievement of the University’s mission. (UWA Strategic Plan
2007).

The UWA Disability Access and Inclusion Action Plan 2007-2011

Flexible Work and Leave Practices Policy

Policy and Procedures for Dealing with Equity Enquiries and Grievances

1.2 Harassment
The University is committed to maintaining a campus culture of inclusivity and
respect. Harassment of any form such as sexism, racism or bullying has no
place in such a culture, as it denies respect for the rights of staff and students
to fair treatment. Harassment can be extremely detrimental to the University’s
effectiveness as an institution of higher learning, as an employer, and as a
responsible organisational and community citizen. Harassment is contrary to the
principles developed in the University’s Code of Conduct and to the University
Equal Opportunity policy. It may also be unlawful.

Discrimination

Under Equal Opportunity legislation, discrimination occurs when a person, or a


group of people, are treated less favourably than another person or group, in
the same or similar circumstances, because of irrelevant attributes including
their age; race, colour, descent, national or ethic origin; sex; marital status,
pregnancy, or family responsibilities; disability; political or religious conviction;
or sexual orientation or gender history.

Indirect discrimination occurs when an apparently neutral requirement,


condition or rule has a negative effect on a substantially higher proportion of
people with a particular attribute or characteristic (for example, race) compared
to people without that attribute or characteristic, and the rule or requirement is
not reasonable in the circumstances.

in addition to the University policies on Equal Opportunity, Conduct in the


Workplace, Racial Harassment and sexual Harassment, the University is bound
by legislation which makes discrimination unlawful. This legislation includes the
WA Equal Opportunity Act, Disability Services Act and Lesbian and Gay Law
Reform Act, and the Commonwealth Age Discrimination Act, Disability
Discrimination Act, Disability Standards for Education Act, Equal Opportunity for
Women in the Workplace Act, Racial Discrimination Act and Sex Discrimination
Act.

Equity and Diversity Lectopia: Workplace Discrimination Series

Bullying

Due to the effect on the safety and health of employees and others at the
workplace, violence, aggression and bullying are unacceptable under the
Occupational Safety and Health Act. WorkSafe Western Australia advises that
bullying in the workplace should be treated like any other workplace hazard.
Bullying is a term used to describe behaviour that undermines an individual’s
right to dignity and respect at work. At The University of Western Australia it is
also used to describe similar inappropriate behaviour towards or from a student.
Bullying behaviour can be described as:
… the repeated less favourable treatment of a person by another or others on
the campus, which may be considered unreasonable and inappropriate practice.
It includes behaviour that intimidates, offends, degrades, threatens or
humiliates. (Conduct in the Workplace Policy)

The general 'duty of care' provisions embedded in legislation apply to all staff,
and every employee must be aware of their duty not to place the safety and
health of others at risk by engaging in violence, aggression or bullying
behaviour. This behaviour contravenes the ethical values underpinning the
University’s Code of Ethics and is addressed in the University’s Conduct in the
Workplace Policy. Bullying behaviour will not be condoned by the University and
sanctions will apply to any staff member or student who is found to have bullied
another member of the University community.

Conduct in the Workplace Policy

Statute 17 Student Discipline and Regulations for Student Conduct and


Discipline

Equity and Diversity Lectopia – Workplace Bullying Prevention Series

Racial Harassment

Racial harassment is any verbal, physical or written act which is based on a


person's colour, physical characteristics, descent, country of origin, ethnic
background or nationality, and is unwanted, unacceptable and offensive to the
person, or those related to, or closely associated with, that person. The WA
Equal Opportunity Act and Commonwealth Racial Discrimination Act make racial
harassment in employment and education unlawful. Racial harassment conflicts
with the University's Equal Opportunity and Affirmative Action Policy and with
the rights of all staff and students to receive fair and equitable treatment.

Racial harassment is a serious issue that undermines morale and can adversely
affect the ability of staff and students to achieve their full potential within the
University. Such behaviour is unacceptable and all complaints will be dealth with
fairly and promptly. Sanctions will apply to any staff member or student who is
found to have racially harassed another member of the University community.

Racial Harassment

Sexual Harassment

Sexual harassment is any form of conduct of a sexual nature that is unwanted.


Such conduct can be in the form of words or actions. Sexual harassment is not
about sexual attraction: it is about inappropriate and unacceptable behaviour
towards a member of the University’s staff or student body, or towards a visitor
to the University.

Sexual harassment conflicts with the University's Equal Opportunity Policy and
denies respect for the rights of staff and students to fair treatment. Under the
Western Australian Equal Opportunity Act and the Commonwealth Sex
Discrimination Act, sexual harassment in employment and education is
unlawful.

Sexual harassment is a serious issue that undermines morale and can adversely
affect the ability of staff and students to achieve their full potential within the
University. Such behaviour is unacceptable and all complaints will be dealt with
fairly and promptly. Sanctions will apply to any staff member or student who is
found to have sexually harassed another member of the University community.

Sexual Harassment

Charter of Student Rights and Responsibilities 2006

Equity and Diversity Lectopia – Introduction to Sexual Harassment in the


Workplace

1.3 Academic Freedom

Academic freedom is recognised and protected by this University as essential to


the proper conduct of teaching, research and scholarship. Academic and
research staff should be guided by a commitment to freedom of inquiry and
exercise their traditional rights to examine social values and to criticise and
challenge the belief structures of society in the spirit of a responsible and
honest search for knowledge and its dissemination. In this context students
have the right to participate in political activities on campus.

The University is committed to the belief that freedom of intellectual thought


and enquiry and the open exchange of ideas and evidence are essential to the
achievement of its mission, and it will seek to protect staff and students from
any attempts to remove or reduce this freedom. (UWA Strategic Plan 2007)

1.4 Union Membership

University staff and students have the right to choose whether or not to join a
trade union or association. Similarly, those who choose to join may also choose
whether or not to participate in union activities.

1.5 Lawful Obedience

All members of the University must comply with all relevant legislative and
industrial requirements, as well as the rules and regulations of the University.
See the list of the relevant Acts at Appendix 1.

2.0 Respect for People

2.1 Confidentiality

Staff members who have access to official University documentation and


information must take care to maintain the integrity, confidentiality and privacy
of such information to protect any individual concerned. Members of the
University should also undertake to maintain the privacy of oral communications
where that has been requested.

Staff files are highly confidential records relating to staff members. It is


essential that staff members be able to feel confident that information relating
to them is treated in an appropriate manner, with due attention paid to the
need for non-disclosure of file contents outside normal University business
transactions. Failure by a staff member to comply with the guidelines outlined
below may result in disciplinary action. (Access to and Use of Personal Files)

Staff must take care to respect the confidentiality and privacy of students and
only provide information when authorised by the Registrar’s Office or for
legitimate academic purposes.

Access to and Use of Personal Files

Professional and Consultative Work: Policy Requirements

About the Freedom of Information Act

2.2 Grievances

Staff and students of this University are entitled to fair and equitable grievance
procedures. The University has a number of avenues for assistance with
grievances and disputes, depending on their nature. These include the Equity
and Diversity Adviser Scheme, Employee Relations and Management Services,
Equity and Diversity, the Manager, Compaints Resolution, and the UWA Student
Guild. Contact details are listed in Appendix 2.

Procedures for Settlement of Grievances (Academic Staff)

Grievance Settlement Procedures (Professional Staff)

Dispute Settling and Grievance Procedures (ELICOS Teachers)

Dispute Settling Procedures (Childcare Employees)


Policy and Procedures for Dealing with Equity and Diversity Enquiries and
Grievances

Code of Good Practice for Graduate Research Supervision

Charter of Student Rights and Responsibilities 2006

2.3 Intellectual Property

Intellectual Property is recognised by this University and stipulates that the


benefits should provide equitable returns to the originators of intellectual
property, both as an incentive and reward, as well as to the University.
Regulations provide for the ownership of intellectual property created by
students and staff of the University. Intellectual Property includes inventions
and copyright in various types of work.

University Policy on: Intellectual Property

3.0 Personal and Professional Responsibility

3.1 Fraud and Corruption

All employees contribute to creating an honest, ethical and professional


workplace through the minimisation and prevention of activities which may be
considered as fraud or corrupt conduct. Employees at all levels within the
University, as Public Officers, have a duty to report any act or situation that
may be suspected as fraudulent or corrupt conduct as soon as they are aware of
these circumstances. Fraudulent and corrupt conduct generally involves
behaviour that is deliberately dishonest or deceitful and involves the abuse of
trust which leads to a person gaining a benefit from these types of actions. This
Code of Ethics and Code of Conduct may assist in identifying activities
considered as fraudulent or corrupt conduct within the University. Examples
include unauthorised use of University property, undeclared conflicts of interest,
falsifying or manipulating research data, misrepresenting a person’s
involvement in research/projects, or making false claims of expenses or leave
entitlements.

University Policy on: Anti-Fraud and Corruption

3.2 Ethical Conduct of Research

The University expects all those engaged in research to observe high ethical
standards in the conduct of that research and, when relevant, to comply with
the obligations imposed by the codes of practice as outlined by the relevant
funding bodies. Ethical clearances must be gained where appropriate.
Guidelines on Research Ethics and Research Conduct

3.3 Information Technology

The University places a high value on integrity, professionalism and respect for
others. These values can be compromised by inappropriate use of information
technology. In particular, accessing or disseminating offensive material via the
internet or email contravenes University Regulations and may be unlawful. The
University has formally adopted a number of IT Policies and, unless otherwise
indicated, they are binding upon all members of and visitors to the University.
Disciplinary action will apply to staff or students found in breach of the
University’s IT Policies and the Computer and Software Use Regulations.

University Information Technology Regulations

University Information Technology and Communications Policies

3.4 Conflicts of Interest

A conflict of interest includes any circumstance, whether actual or perceived,


arising from conflict between the performance of public duty and private or
personal interests. It arises where there is a reasonable expectation of direct or
indirect benefit or loss for an individual employee with a particular personal
interest that could be influenced in favour of that interest, in the performance of
their duties. The benefit or loss may be financial or non-financial.

Staff members should take suitable measures to avoid, or appropriately deal


with, any situation or relationship in which they may have, or be seen to have,
a conflict of interest that could, directly or indirectly, compromise the
performance of their duties. When staff members become aware of such a
situation they should take appropriate steps to disclose the conflict or potential
conflict. Failure to do so and continuation of such a conflict of interest will lead
to disciplinary action.

The following questions may assist in identifying whether a situation or


relationship is potentially a conflict of interest:

• Do I have personal or private interests that may conflict, or be perceived


to conflict, with my public duty?
• Could there be benefits for me now, or in the future, that could cast
doubt on my objectivity?
• How will my involvement in the decision or action be viewed by others?
• Does my involvement appear fair and reasonable in all the
circumstances?
Research Conduct

Disclosure of any potential conflict of interest is essential for the responsible


conduct of research. Researchers have an obligation to disclose any affiliation
with, or financial involvement in, any organisation or entity with a direct interest
in the subject matter or materials of researchers. A conflict of interest may also
arise if any organisation or entity with a direct interest in the subject matter
provides direct benefits to the researchers such as sponsorship of the
investigation, or indirect benefits such as the provision of materials or facilities,
or the support of individuals such as provision of travel or accommodation
expenses to attend conferences.

Guidelines on Research Ethics and Research Conduct

Professional and Personal Relationships

Examples of relationships that may cause conflicts of interest are: family


relationships, positive and negative emotional relationships (including all sexual
relationships, antagonisms, close friendships), and financial relationships,
including sponsorships.

Professional Relationships in the University of Western Australia: Workplace


Policy

Recruitment and Employment

The employment of relatives is only acceptable when the appointment is made


in line with University policy regarding appointment of new employees. Prior
approval must be sought from the Dean or Vice Chancellor where a staff
member is required to directly supervise a relative. A member of staff should
not take any direct part in the selection process for an appointment for which a
family member is a candidate. The relationship to which this policy applies
includes those of parent and child, wife and husband, including de-facto
relationships, same sex partners and siblings.

Employment of Close Relatives

Outside Employment and Private Practice

Professional and consultative work carried out by members of staff in their area
of expertise may be of benefit to the University, the individual and the
community, provided certain conditions are met. Professional and consultative
work should be related to the work of the University and should not conflict with
the interests of the University. Consulting is a privilege not a right and requires
approval by the Head of School.
Professional and Consultative Work: Policy Requirements

Private Practice

Procurement

It is the responsibility of every staff member of the University involved in the


supply of goods or services, to or for the University, to declare in writing all
relevant interest that the staff member may have in any proposed transaction.

In particular, those staff who deal directly with suppliers must:

• Ensure that their processes are open and transparent;


• Not engage in misleading or deceptive conduct;
• Not transact with suppliers for private or unauthorised use;
• Not compromise the University’s standing or integrity of its purchasing
activities through the acceptance of gifts or hospitality.

All Business Units should ensure that employees and their agents are aware of
the requirements to not disclose confidential information and to properly
manage the information they receive as part of the procurement process.

In the event of doubt or perceptions of conflict, further advice should be sought


from Strategic Procurement.

Conflicts of Interest in University Business

Professional and Consultative Work: Policy Requirements

Acceptance of Gifts or Benefits

Staff members should not solicit, encourage or accept gifts or benefits if it could
be reasonably seen as an inducement to act in a particular way or to place a
staff member under an obligation that may either directly or indirectly
compromise or influence them in their official capacity. In particular, University
employees should indicate to the prospective gift bearers that gifts cannot be
accepted from those with whom the University has, or potentially has,
commercial dealings.

Gifts of a nominal value (under $100) used for promotional purposes by the
donor or ones in accordance with social or cultural practice are acceptable. Gifts
and Benefits received by staff members should be declared to the relevant Dean
or Executive Director.

3.5 Use of University Facilities and Equipment


Members of the University are expected to use all University facilities and
equipment efficiently, carefully and honestly. Resources should be used
economically, secured against theft or misuse and waste avoided. These
resources should not be used for personal purposes unless express permission
has been granted in accordance with University policy.

Professional and Consultative Work: Policy Requirements

University Information Technology and Communications Policies

3.6 Public Comment

Public comment includes public speaking engagements, comments on radio or


television, and expressing views in letters to newspapers or in books, journals
or notices or where it might be expected that the publication or circulation of
the comment may spread to the community at large.

Staff members are encouraged to comment publicly in relation to their area of


professional expertise. When staff members are representing the University the
highest ethical and professional standards are expected of them primarily due
to the sensitivity of some issues within the community.

Staff members in their capacity as private citizens have a right to make public
comments. If a staff member is publicly commenting on an issue not within
their professional expertise, the staff member must make it clear that the
comment is being made in a private capacity.

Guidelines on Public Comment by University Staff

3.7 Professional Development

All staff must maintain and develop knowledge and understanding of their area
of expertise or professional field. They should continuously seek to improve
work performance with an emphasis on quality skills. All staff should actively
seek out ways to bring about quality improvements in their workplaces.
Students should endeavour to take full value of their learning opportunities
while at The University of Western Australia.

Staff Development Policy Statement

Staff Development Grants for Professional Staff

Leave for Staff Development Purposes

Student Contribution Amount – Payment of Fees for University Staff


Code of Good Practice for Graduate Research Supervision

For a list of useful publications on professional development see:


On-line publications from OSDS

APPENDIX 1

Relevant Acts

There are a number of Commonwealth and State Acts relevant to members of


this University. While the University has policies, guidelines, awards and
agreements that reflect this legislation, such Acts take precedence over any
internal policies or practices (including this Code). Relevant examples of this
legislation are:

• State Legislation

• Corruption and Crime Commission Act


• Criminal Law Amendment Act
• Disability Services Act
• Equal Opportunity Act
• Financial Management Act
• Freedom of Information Act
• Gender Reassignment Act
• Industrial Relations Act
• Industrial Training Act
• Lesbian and Gay Law Reform Act
• Minimum Terms of Employment Act
• Occupational Safety and Health Act
• Public Interest Disclosure Act
• The University of Western Australia Act
• Worker's Compensation and Rehabilitation Act

• Commonwealth Legislation

• Age Discrimination Act


• Copyright Act
• Disability Discrimination Act
• Disability Standards for Education Act
• Equal Opportunity for Women in the Workplace Act
• Human Rights and Equal Opportunity Commission Act
• Privacy Act
• Racial Discrimination Act
• Sex Discrimination Act
• Superannuation Acts (various)
• Taxation Acts (various)
• Telecommunications Acts (various)
• Workplace Relations Act

This list of legislation is current as of January 2009. For a full listing of major
statutes affecting the University, see Major Statutes Affecting the University.

APPENDIX 2

For further information regarding specific areas within the Code of Conduct,
contact:

Bullying, Discrimination, Harassment and Grievances


Equity and Diversity Advisers – various locations across campus.
For a listing, please see – www.equity.uwa.edu.au/page/148374
Equity and Diversity 6488 3873
Employee Relations and Management Services 6488 8528
Graduate Education Officer 6488 1726 or 6488 3783
Guild Senior Education Officer 6488 2292

Complaints Resolution
Manager, Complaints Resolution 6488 1410

Conduct of Research
Deputy Director, Research Services 6488 7882

Confidentiality
Freedom of Information Coordinator 6488 2414
Manager, Archives and Records 6488 1854

Conflicts of Interest
Director of Human Resources 6488 3223
Deputy Director, Research Services 6488 7882
Manager, Strategic Procurement 6488 1172

Information Technology
ITS Helpdesk 6488 2822

Intellectual Property
Intellectual Property Lawyer 6488 4710

Personal and Professional Development


Organisational and Staff Development Services 6488 1504
Public Comment
Director of Public Affairs 6488 2889

Employment Conditions
Employee Relations and Management Services 6488 8528

Public Interest Disclosure (PID) Officer


University Lawyer 6488 1965

The Code of Ethics and Code of Conduct is maintained and updated by Equity
and Diversity in Human Resources. Should there be any changes to law or
policy in your area which may need to be altered, amended or included in the
Codes, please contact Equity and Diversity on 6488 3873.

Code of Ethics
Table of Contents

• Preamble
• Principle of Ethics I
• Principle of Ethics II
• Principle of Ethics III
• Principle of Ethics IV

Preamble
The preservation of the highest standards of integrity and ethical principles is vital to the
responsible discharge of obligations by speech-language pathologists, audiologists, and speech,
language, and hearing scientists. This Code of Ethics sets forth the fundamental principles and
rules considered essential to this purpose.

Every individual who is (a) a member of the American Speech-Language-Hearing Association,


whether certified or not, (b) a nonmember holding the Certificate of Clinical Competence from
the Association, (c) an applicant for membership or certification, or (d) a Clinical Fellow seeking
to fulfill standards for certification shall abide by this Code of Ethics.

Any violation of the spirit and purpose of this Code shall be considered unethical. Failure to
specify any particular responsibility or practice in this Code of Ethics shall not be construed as
denial of the existence of such responsibilities or practices.
The fundamentals of ethical conduct are described by Principles of Ethics and by Rules of Ethics
as they relate to the conduct of research and scholarly activities and responsibility to persons
served, the public, and speech-language pathologists, audiologists, and speech, language, and
hearing scientists.

Principles of Ethics, aspirational and inspirational in nature, form the underlying moral basis for
the Code of Ethics. Individuals shall observe these principles as affirmative obligations under all
conditions of professional activity.

Rules of Ethics are specific statements of minimally acceptable professional conduct or of


prohibitions and are applicable to all individuals.

Return to Top

Principle of Ethics I
Individuals shall honor their responsibility to hold paramount the welfare of persons they serve
professionally or participants in research and scholarly activities and shall treat animals involved
in research in a humane manner.

Rules of Ethics

1. Individuals shall provide all services competently.


2. Individuals shall use every resource, including referral when appropriate, to ensure that
high-quality service is provided.
3. Individuals shall not discriminate in the delivery of professional services or the conduct
of research and scholarly activities on the basis of race or ethnicity, gender, age, religion,
national origin, sexual orientation, or disability.
4. Individuals shall not misrepresent the credentials of assistants, technicians, or support
personnel and shall inform those they serve professionally of the name and professional
credentials of persons providing services.
5. Individuals who hold the Certificates of Clinical Competence shall not delegate tasks that
require the unique skills, knowledge, and judgment that are within the scope of their
profession to assistants, technicians, support personnel, students, or any nonprofessionals
over whom they have supervisory responsibility. An individual may delegate support
services to assistants, technicians, support personnel, students, or any other persons only
if those services are adequately supervised by an individual who holds the appropriate
Certificate of Clinical Competence.
6. Individuals shall fully inform the persons they serve of the nature and possible effects of
services rendered and products dispensed, and they shall inform participants in research
about the possible effects of their participation in research conducted.
7. Individuals shall evaluate the effectiveness of services rendered and of products
dispensed and shall provide services or dispense products only when benefit can
reasonably be expected.
8. Individuals shall not guarantee the results of any treatment or procedure, directly or by
implication; however, they may make a reasonable statement of prognosis.
9. Individuals shall not provide clinical services solely by correspondence.
10. Individuals may practice by telecommunication (for example, telehealth/e-health), where
not prohibited by law.
11. Individuals shall adequately maintain and appropriately secure records of professional
services rendered, research and scholarly activities conducted, and products dispensed
and shall allow access to these records only when authorized or when required by law.
12. Individuals shall not reveal, without authorization, any professional or personal
information about identified persons served professionally or identified participants
involved in research and scholarly activities unless required by law to do so, or unless
doing so is necessary to protect the welfare of the person or of the community or
otherwise required by law.
13. Individuals shall not charge for services not rendered, nor shall they misrepresent
services rendered, products dispensed, or research and scholarly activities conducted.
14. Individuals shall use persons in research or as subjects of teaching demonstrations only
with their informed consent.
15. Individuals whose professional services are adversely affected by substance abuse or
other health-related conditions shall seek professional assistance and, where appropriate,
withdraw from the affected areas of practice.

Return to Top

Principle of Ethics II
Individuals shall honor their responsibility to achieve and maintain the highest level of
professional competence.

Rules of Ethics

1. Individuals shall engage in the provision of clinical services only when they hold the
appropriate Certificate of Clinical Competence or when they are in the certification
process and are supervised by an individual who holds the appropriate Certificate of
Clinical Competence.
2. Individuals shall engage in only those aspects of the professions that are within the scope
of their competence, considering their level of education, training, and experience.
3. Individuals shall continue their professional development throughout their careers.
4. Individuals shall delegate the provision of clinical services only to: (1) persons who hold
the appropriate Certificate of Clinical Competence; (2) persons in the education or
certification process who are appropriately supervised by an individual who holds the
appropriate Certificate of Clinical Competence; or (3) assistants, technicians, or support
personnel who are adequately supervised by an individual who holds the appropriate
Certificate of Clinical Competence.
5. Individuals shall not require or permit their professional staff to provide services or
conduct research activities that exceed the staff member's competence, level of education,
training, and experience.
6. Individuals shall ensure that all equipment used in the provision of services or to conduct
research and scholarly activities is in proper working order and is properly calibrated.

Return to Top

Principle of Ethics III


Individuals shall honor their responsibility to the public by promoting public understanding of
the professions, by supporting the development of services designed to fulfill the unmet needs of
the public, and by providing accurate information in all communications involving any aspect of
the professions, including dissemination of research findings and scholarly activities.

Rules of Ethics

1. Individuals shall not misrepresent their credentials, competence, education, training,


experience, or scholarly or research contributions.
2. Individuals shall not participate in professional activities that constitute a conflict of
interest.
3. Individuals shall refer those served professionally solely on the basis of the interest of
those being referred and not on any personal financial interest.
4. Individuals shall not misrepresent diagnostic information, research, services rendered, or
products dispensed; neither shall they engage in any scheme to defraud in connection
with obtaining payment or reimbursement for such services or products.
5. Individuals' statements to the public shall provide accurate information about the nature
and management of communication disorders, about the professions, about professional
services, and about research and scholarly activities.
6. Individuals' statements to the public—advertising, announcing, and marketing their
professional services, reporting research results, and promoting products—shall adhere to
prevailing professional standards and shall not contain misrepresentations.

Return to Top

Principle of Ethics IV
Individuals shall honor their responsibilities to the professions and their relationships with
colleagues, students, and members of allied professions. Individuals shall uphold the dignity and
autonomy of the professions, maintain harmonious interprofessional and intraprofessional
relationships, and accept the professions' self-imposed standards.

Rules of Ethics
1. Individuals shall prohibit anyone under their supervision from engaging in any practice
that violates the Code of Ethics.
2. Individuals shall not engage in dishonesty, fraud, deceit, misrepresentation, sexual
harrassment, or any other form of conduct that adversely reflects on the professions or on
the individual's fitness to serve persons professionally.
3. Individuals shall not engage in sexual activities with clients or students over whom they
exercise professional authority.
4. Individuals shall assign credit only to those who have contributed to a publication,
presentation, or product. Credit shall be assigned in proportion to the contribution and
only with the contributor's consent.
5. Individuals shall reference the source when using other persons' ideas, research,
presentations, or products in written, oral, or any other media presentation or summary.
6. Individuals' statements to colleagues about professional services, research results, and
products shall adhere to prevailing professional standards and shall contain no
misrepresentations.
7. Individuals shall not provide professional services without exercising independent
professional judgment, regardless of referral source or prescription.
8. Individuals shall not discriminate in their relationships with colleagues, students, and
members of allied professions on the basis of race or ethnicity, gender, age, religion,
national origin, sexual orientation, or disability.
9. Individuals who have reason to believe that the Code of Ethics has been violated shall
inform the Board of Ethics.
10. Individuals shall comply fully with the policies of the Board of Ethics in its consideration
and adjudication of complaints of violations of the Code of Ethics.

Rules and procedures of professional conduct, for example, the Risk Management Associates
Code of Ethics, which sets voluntary standards for exchange in credit information between
banks. The code also includes prohibitions on lender take-backs, and so on.

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Real Estate Dictionary: Code of Ethics


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Home > Library > Business & Finance > Real Estate Dictionary

A statement of principles concerning the behavior of those who subscribe to the code.
Example: All Realtors® are required to subscribe to a code of ethics that defines proper
professional behavior and practices that are considered unbecoming a professional real estate
Agent.

Dental Dictionary: code of ethics


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Home > Library > Health > Dental Dictionary

A series of principles used as a guide in assisting a dentist to fulfill the moral obligations of
professional dental practice.

Encyclopedia of Public Health: Codes of Conduct and Ethics Guidelines


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Home > Library > Health > Public Health Encyclopedia

Rules of conduct or ethical codes are often considered to be characteristic of professions, as


opposed to craft and trade associations. They are particularly common within health care
professions, where they set guidelines for how professionals should act in dealings with their
patients and with each other in clinical care, in public health or epidemiological studies, and in
experimental studies involving animals, humans, and social or population groups.

Purposes of Codes and Guidelines

Rules of conduct are enforced through ethics or professional conduct committees, which can
impose sanctions such as withdrawal or suspension of professional group membership or of
licenses to practice. They can also require practitioners to make reparations to those they have
treated in breach of a code or to undertake instruction in professional ethics. Codes of conduct or
ethics are becoming more widely adopted as various organizations seek to assure the public that
their members are required to adhere to ethical practices. Health care professions, however, can
also invoke the legacy of the physicians' historic Hippocratic Oath to show that ethical conduct is
the very foundation of their practice. Professionals and their interest groups have an incentive to
develop ethical codes or guidelines to dissuade legislators from enacting more rigid, legally
enforceable, and punitive laws.

The ethical principles that underlie codes of conduct and ethics guidelines are beneficence, or the
duty to do good; nonmaleficence, or the duty to do no harm; and the principle of justice. The
principle of justice is popularly seen to be based on punitive or corrective justice, demonstrated
in the liability of offenders against an institution's code to forfeit their membership or
professional status and to make good the wrongs they have done. Another aspect of justice
requires that like cases be treated alike, demonstrated in the expectation that those bound by the
same code will observe the same standards of conduct and integrity.

Codes may also be prepared in order to require and facilitate adherence to a religious, spiritual,
or philosophical tradition. For instance, membership in the Catholic Hospital Association, which
is affiliated with the Roman Catholic Church, requires hospital administrations to adhere to
Church teaching on such matters as nonperformance of abortions and sterilization procedures.
The association may also limit the recruitment or promotion of divorced applicants to certain
offices, based on the Church's views on divorce and local laws on hospital discrimination on the
basis of marital status.

Codes, Guidelines, and

Preexisting Practice

Codes of conduct and ethics guidelines that are prepared in order to standardize behavior within
a profession or among practitioners of an occupation may relate to preexisting practice in various
ways. Some guidelines may codify longstanding and approved practices, which are formally
established to guard against dangers of laxity and changes in practice. For instance, it is a
common rule that professionals not practice in collaboration with related commercial product
manufacturers or service suppliers. Thus, physicians cannot participate in the profits of
pharmacists who fill the prescriptions they write for their patients. This prevents vertical
integration of business interests that might otherwise occur, and also protects patients against
physicians having a conflict of interest that may lead them to over prescribe medications or
prescribe unnecessary or unduly costly medications.

The celebrated Nuremberg Code, which addresses medical experimentation with human subjects,
was adopted by the International War Crimes Tribunal in 1947, after the Second World War. Its
function was to restore the standards of research integrity in studies of human subjects, which
had been grossly violated by physicians tried and condemned by the tribunal, and to protect
vulnerable persons in such studies. The code incorporates the most basic ethical standards of
conduct, which were drawn from the research guidelines of many countries, including prewar
Germany.
Sometimes codes and guidelines are established to change preexisting practices, either to remedy
faults or to keep practices or earlier codes up-to-date. For instance, in 1964 the World Medical
Association adopted its Declaration of Helsinki, which deals with biomedical research involving
human subjects. The purpose was to update and expand the Nuremberg Code, which addressed
only the medical research outrages and inhumanities committed against powerless detainees of
concentration camps under the Nazi administration. As such, the Nuremberg Code was so
narrowly directed that it would have made much necessary, humanely conducted, and ethically
conducted research impossible. For instance, the 1947 code provides only that "the voluntary
consent of the human subject is absolutely essential," and that "the person involved should have
legal capacity to give consent." These provisions omit and might seem to preclude research to
advance health care for children, mentally impaired persons or unconscious head-injury patients.
Research of this nature satisfies scientific standards only when such persons themselves are
studied. The Helsinki Declaration proposed ethical guidelines under which such studies could be
scientifically conducted. Further, the 1964 Declaration was amended in 1975, 1983, 1989 and
1996, and remains under continuing review.

Some codes and guidelines aim not to change preexisting practices, but to codify them in
accessible, comprehensible language, or to reform those that have become antiquated in light of
conceptual or technological developments. A conceptual reform has occurred, for instance,
because research guidelines used to exclude women of reproductive age from pharmaceutical
and other studies of unproven products, on the ground that these studies might cause harm to
embryos or fetuses such women had conceived. This exclusion has resulted in many women of
reproductive age, including some who are pregnant, taking products that have never been tested
for safety and efficacy on women who might be pregnant. In order to test products for safety and
effectiveness in pregnancy, research guidelines now often require that women of reproductive
age be included in studies, unless human experience or animal studies have shown that a product
is likely to be harmful to pregnant women or their unborn children.

An earlier reconceptualization occurred in 1973 when the International Council of Nurses


amended its Code for Nurses, originally adopted in 1953. The original code required a nurse's
loyalty and obedience to the physician the nurse served, reflecting a culture of nursing dating to
the time of Florence Nightingale, the founder of modern nursing. The code was amended in
1973, however, deleting this requirement and replacing it with a requirement of loyalty to the
patient. Physicians, however, did not necessarily note any change in nurses' ethical priorities,
including when physicians were members of nursing councils considering cases of nursing
misconduct. This raised the unresolved issue of divided loyalties between physicians and
patients, and whether the new concept should displace the earlier concept or coexist with it.

Codes that reflect a newer concept may also retain provisions that were part of earlier codes, and
may not distinguish items that change earlier practice from items designed to maintain former
practice. In this case a code may be understood only by exploring records of committee meetings
or other discussions conducted while the code was being prepared, or by considering subsequent
requests for clarification before tribunals such as institutional ethics review boards.

Codes, Guidelines, Declarations, and Principles


Documents designed to affect conduct have various names, which may indicate different
purposes. A code may consolidate and systematize preexisting practices without changing them,
or may prescribe new practices that differ from or supplement those in earlier codes.
International documents tend not to be described as codes because in the legal tradition of
continental Europe, which now extends into Central and South America and Africa, a code, such
as the Code Napoléon, is a legally binding document. Similarly, in the United States, the code of
Federal Regulations, Title 45, Part 46 of which governs protection of human subjects of research,
is legally enacted under authority of the Public Health Service Act. Documents called
"guidelines" are usually understood to guide rather than to strictly govern practice. It is expected,
however, that a deliberate departure from a guideline will have to be explained, and ethics
review committees may say within what limits a departure is justifiable. For instance, many
guidelines on ethical professional practice require that practitioners have no conflict of interests
and serve patients with uncompromised loyalty. A conflict may arise, for instance, when a
physician has a financial interest in a clinical laboratory to which a patient may be referred for
testing. An alternative response to the prohibition of any conflict of interests, however, is that it
be disclosed in advance to those seeking services. They may then decide for themselves whether
or not to receive services. A client's knowing consent thus neutralizes an appearance of conflict.

Like a code, a "declaration" may articulate existing expectations, as was the case with the United
Nations' Universal Declaration of Human Rights (1948). The Declaration of Helsinki, on the
other hand, outlined principles intended for future application. It is, in fact, subtitled
"Recommendations Guiding Physicians in Biomedical Research." It is, however, often applied
quite strictly, and in some countries committees created according to its provisions are called
"Helsinki committees." Inadequacies in the declaration are remedied by formal amendments,
which may be the subject of intense reflection and debate.

Intergovernmental organizations whose agreements have no legally binding force in member


countries may acknowledge this by naming their agreements "recommendations." The Council of
Europe followed this practice, for instance, in its Recommendation Concerning Medical
Research on Human Beings (1990), and in its Recommendation on Xenotransplantation (1997).
The World Health Organization (WHO), however, whose conclusions on ethical practice are
similarly unenforceable in member countries, usually describes its documents as guidelines, as in
its Guidelines for Good Clinical Practice for Trials on Pharmaceutical Products (1999) and the
Guidelines for the Promotion of Human Rights of Persons with Mental Disorders (1996).
Similarly described are conclusions of the Council for International Organizations of Medical
Sciences, jointly constituted by WHO and UNESCO, including its International Guidelines for
Ethical Review of Epidemiological Studies (1991).

Documents intended to influence conduct are also classified as "principles," an example being
the Council of Europe's Ad Hoc Committee of Experts on Bioethics' Principles in the Field of
Human Artificial Procreation (1989); and "resolutions," which include the United Nations
Commission on Human Rights' Resolution on Human Rights and Bioethics (1993 and 1997).
These and other documents provide texts and concepts that are used in many ways: legislatures
may embody them in law; funding agencies, universities, and hospitals may incorporate them
into contracts for the funding of recipients, faculty members, and investigators; and ethics and
discipline committees of professional and licensing authorities may refer to them in determining
professional misconduct.

Minimum Standards and Highest Expectations

Codes and guidelines are used to establish common minimal standards of conduct that those
bound by them must invariably observe. They also serve to improve standards to the highest
attainable level and to demonstrate a profession's most worthy aspirations. A code used to
determine professional misconduct will set a minimum acceptable standard, or a floor, and
condemn any practice that falls short. In contrast, a code that sets an aspirational target, or
ceiling, is meant to inspire people to aim high, while recognizing that achievements will usually
be at a lower level.

Some associations that perceive the dual roles of codes and guidelines may clearly separate
standards that serve different functions. For instance, the Australian Nursing Council has both a
Code of Ethics, and a Code of Professional Conduct. The Code of Ethics serves the purposes of
identifying the moral commitments of the profession, providing nurses with an elevated basis for
professional reflection and a guide to ethical practice, and indicating to nurses and the
community the values that inspire nursing practice. In contrast, the Code of Professional Conduct
informs the profession and the public of the minimum standards of acceptable conduct and
provides licensing, disciplinary, and other bodies with a basis for decisions regarding nursing
misconduct

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