Professional Codes: Why, How, and with What Impact?

Author(s): Mark S. Frankel

Source: Journal of Business Ethics, Vol. 8, No. 2/3, Professionals and Social Responsibility
(Feb. - Mar., 1989), pp. 109-115
Published by: Springer
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Professional Codes: Why, How, and with
What Impact? Mark S. Frankel

ABSTRACT. A tension between the professions' pursuit of unquestioned tfust and admiration on the part of
autonomy and the public's demand for accountability has clients or the general public are past. With increasing
led to the development of codes of ethics as both a foun frequency, the professions are exploring ways to
dation and guide for professional conduct in the face of improve professional service and to regain public
morally ambiguous situations. The profession as an institu
confidence. It is quite timely, then, for a reassess
tion serves as a normative reference group for individual
ment of the professions' moral role in society and,
practitioners and through a code of ethics clarifies, for both
specifically, of codes of ethics from the perspectives
its members and outsiders, the norms that ought to govern
of why, how, and with what impact
professional behavior. Three types of codes can be identified
? aspirational, educational and regulatory. All codes serve
In this paper, I do not discuss the "what," or
content, of codes of ethics. The matter of content is
multiple interests and, as a consequence, perform many
functions, eight of which are discussed. The process of important, to be sure. But given a choice, I prefer to
developing a code of ethics is assessed because of the role it focus on the more generic issues that apply to codes,
plays in gaining consensus on professional values and ethical whatever their content. The issues for discussion
norms. After discussing some of the weaknesses in current here can be approached without any reference to a
approaches to professional self-regulation, several new particular profession or specialized knowledge. I will
private and public initiatives are proposed. focus first on the "why* question by briefly review
ing what I refer to as the "society-profession nexus,"
followed by a relatively quick journey through the
Introduction
moral dimension of the professions and its impor
tance for understanding the relationship among the
Not too long ago, discussions of professional ethics profession as a group, the larger society, and individ
were confined mainly within the professions them ual professionals. I will then offer a more detailed
selves. This is no longer the case, however. In recent functional analysis of codes of professional ethics.
years, a blend of economic, social, legal, and political The "how" question is next with an examination of
events has had a profound effect not only on the the code development process. The matter of "with
behavior and performance of professionals, but also what impact?" is explored from two perspectives: the
on the public's expectations of them. The days of current status of professional self-regulation and
ways for improving the self-regulatory efforts of the
professions, with special emphasis on codes of ethics.
Mark S. Frankel is Head of the Office of Scientific Freedom and
Responsibility of the American Association for the Advancement
of Science, where he is Staff Director of the Association's
Professional Ethics Program. Prior to joining AAAS, he was
The society-profession nexus
Director of the Center for the Study of Ethics in the Professions at
the Illinois Institute of Technology in Chicago. His recent Historically, the professions and society have engaged
research and writings focus on the role of professional societies in in a negotiating process intended to define the terms
promoting ethical practices by their members. He has conducted of their relationship. At the heart of this process is
several workshops and seminars on ethics for corporate managers, the tension between the professions' pursuit of
scientists, and engineers. autonomy and the public's demand for accountabil

Journal of Business Ethics 8: 109-115,1989.

? 1989 Kluwer Academic Publishers. Printed in the Netherlands.

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 110 Mark S. Frankel

ity. Society's granting of power and privilege to the granted privilege, and that as such, its proper use
professions is premised on their willingness and becomes a moral duty."5
ability to contribute to social well-being and to It is this moral dimension which helps to shape
conduct their affairs in a manner consistent with and sustain the relationship between the profession
broader social values. It has long been recognized as a group, its individual members, and those who
that the expertise and privileged position of profes receive professional services. Although ultimate re
sionals confer authority and power that could readily sponsibility for their actions rests with individual
be used to advance their own interests at the expense professionals, promoting ethical conduct does not,
of those they serve. As Edmund Burke observed two and should not, have to be solely the responsibility of
centuries ago, "Men are qualified for civil liberty in the individual. Exclusive emphasis on the individual
exact proportion to their disposition to put moral ignores the importance of social structures in shaping
chains upon their own appetites.'' Autonomy has individual consciences and behavior. For the profes
never been a one-way street and is never granted sions, "the collectivization of appropriate norms and
absolutely and irrevocably. their transmission to individual practitioners are the
cornerstones"6 of the trust relationship between
individual practitioners and clients. This is so be
Professions as moral communities cause "we place our trust not only in individual
professionals, but also in the professional group. We
Members of a profession are bound together by rely on the group to guarantee that its members
common aspirations, values, and training, and in fulfill their agency obligations. . . . And we trust
varying degrees the professions "develop social and professionals because the exercise of professional
moral ties among their members who enter into a discretion at the individual level is governed by rules
community of [common] purpose."1 A profession which are prescribed and enforced by the group."7
may, therefore, be viewed as a "moral community," The professional group, as a more visible, more
whose members "are distinguished as individuals and stable, and more enduring entity, has a collective
as a group by widely shared goals, beliefs about the moral responsibility that is non-distributive; that is, a
value of those goals,. . . about the appropriate means responsibility borne by the profession as a whole
for achieving them, and about the kinds of relations independent of the ethical posture of its individual
which in general should prevail among themselves,
members.
and in many cases between themselves and others."2
The profession "becomes a major normative refer
ence group whose norms, values, and definitions of Codes of professional ethics
appropriate [professional] conduct serve as guides
by which the individual practitioner organizes and A profession's code of ethics is perhaps its most
performs his own work."3 While the profession visible and explicit enunciation of its professional
"di?es not produce the next generation biologically, it norms. A code embodies the collective conscience of
does so socially,"4 and over time the behavior of a profession and is testimony to the group's recogni
tion of its moral dimension.
individual members can be (and is) explained by
references to it. Along a continuum, three types of codes of ethics
Because the professions affect the interests and can be identified. An aspirational code is a statement
well-being of individuals who depend on professional of ideals to which practitioners should strive. Instead
services and also exert influence on key social insti of focusing on notions of right and wrong, the
tutions that pursue the common good, society has emphasis is on the fullest realization of human
every right to evaluate professional performance in achievement. Another type is an educational code,
the light of a moral as well as a technical dimension. one which seeks to buttress understanding of its
Indeed, a profession's presumptive preference for provisions with extensive commentary and interpre
autonomy serves to reinforce this moral dimension, tation. A conscious effort is made to demonstrate
for "professional autonomy correcdy understood is how the code can be helpful in dealing with ethical
not a right of the profession, but is a societally problems associated with professional practices. A

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 Professional Codes 111

third type is a regulatory code, which includes a set of Taken collectively, these eight functions reveal a
detailed rules to govern professional conduct and to great deal about the relationship between a profes
serve as a basis for adjudicating grievances. Such sion and its members, its clients and the larger
rules are presumed to be enforceable through a society.
system of monitoring and the application of a range
of sanctions.
Enabling document. Without some moral anchor (e.g.,
Although conceptually distinct, in reality any a code of ethics), professionals may experience
single code of professional ethics may combine anxiety or confusion when they encounter novel
features of these three types. A decision about which situations in their practice. As a distillation of col
type of code is appropriate for any single profession lective experience and reflection, a code can offer
at a particular point in time will necessarily reflect guidance to individual professionals by simplifying
a mixture of both pragmatic and normative con the moral universe and by providing a framework
siderations. for organizing and evaluating alternative courses of
action. It shifts "decisions toward consequences that
are cumulatively best, but unlikely to be achieved by
Code functions individual well-intentioned agents acting on their
own."9 A code may be compared to a compass, in
Every profession faces the difficult task of trying to that it provides the direction but does not presume
maintain a balance between fulfilling its functions to locate the ultimate destination. But in principle it
for its members and for the larger community. This enables the professional to make more informed
difficulty is reflected in codes of ethics, which are choices.
intended to appeal to many interests such as, for
example, the general public, the media, clients, the Source of public evaluation. As a visible pronouncement
profession's members, other professions, and govern of a profession's self-proclaimed role and values, a
ment. These interests will on occasion overlap, while code can function as a basis for the public's expecta
at other times they will diverge. It is not surprising, tions and evaluation of professional performance,
therefore, that a code of professional ethics which, thus serving as a mechanism for holding the pro
after all, defines a profession's relationship to these fession and individual professionals accountable.
various interests, reflects this reality.
Historically, codes of professional ethics have Professional socialization. Professional power and pres
performed a variety of functions, and their effective tige derive not only from the specialized knowledge
ness must be judged accordingly. possessed by professionals, but also from the sense of
group solidarity and common purpose that is ex
Not all the planks of a professional association's code of
pressed and reinforced in codes of professional
ethics are meant to be taken in the same spirit. Some are
ethics. The codes help to foster pride in the pro
merely costumes the profession puts on to impress out
siders. Some are preachments to be honored, but not fession and strengthen professional identity and
necessarily obeyed. Some are guides, but permissive ones. allegiance.
Some are tactical moves in controversies with outside
groups. Some are really seriously intended.8 Enhance profession's reputation and public trust. In large
measure, a profession's status and autonomy are
Much of the criticism of codes can be traced, I linked to the public's perceptions about its motives
believe, to an inadequate understanding of these and the quality of its performance. By adopting a
multiple functions. code of ethics, a profession hopes to gain the public's
What follows is a cataloguing of the various trust and enhance its status. To the extent that a code
functions that may be performed by codes of pro confers benefits on clients, it will help persuade the
fessional ethics. The list is drawn from my personal public that professionals are deserving of its con
observations as well as from independent documen fidence and respect, and of increased social and
tation. Thus, it has empirical origins and may be economic rewards.
subjected to investigation and analysis by others. But a code may also function as a tool for mani

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 112 Mark S. Frankel

pulating public impressions if ethics is considered a by making it an affirmative duty for professionals to
matter of strategy rather than morality. The moral report errant colleagues, thereby creating a moni
istic rhetoric of codes may disarm critics, thereby toring system in which each professional assumes a
contributing to strategies calculated to win allies, responsibility for upholding the group's integrity.
thwart adversaries and allay public fears about pro
fessional intentions. From this perspective, the Support system. A code may also constitute a legitimate
strategic value of codes lies in their capacity to source of support for professionals against unwar
function as a political device "designed to privatize ranted erosion of their power or improper demands
conflict or to restrict the scope or to limit the use of on their skills by outsiders. An appeal to its code of
public authority . . . ,"10 thereby insulating the pro ethics may strengthen the profession's collective
fession from threats to its autonomy. But such hand and that of its individual members in resisting,
politicization of ethics need not inevitably be incon for example, vexatious claims by clients, unreason
sistent with genuine public service. Politically useful able demands from employers, or unduly intrusive
ethics may still be of value in meeting the needs of incursions into professional affairs by ambitious
clients. Knowing when it is or is not, however, is bureaucrats.
crucial to understanding this function.
Adjudication. Finally, codes may serve as a basis for
Preserve entrenched professional biases. The biases may adjudicating disputes among members of the pro
be both normative and tangible. Professions are fession or between members and outsiders. The
expected to advance the values that define their profession itself may act to adjudicate disputes, or
social role. Indeed, society expects this sort of com legislators, administrators and judges may accord
mitment in return for the professional's power and codes considerable significance in assessing profes
privilege. For the medical profession, the dominant sional practice and adjudicating claims by or against
value is improved health care; for engineering, it is professionals involving outsiders.
safe and efficient technology. These dominant values Any assessment of the value of codes of profes
are reflected in every profession's code of ethics. sional ethics must be prepared to recognize that no
Problems occur, however, when they are given single function can fully account for the existence
exaggerated importance by the profession when they and impact of a code. Such an assessment will be
conflict with other social values. In such instances, eminently more persuasive than one divorced from
there is a professional tendency to use appeals to the the reality of multiple interests served by a code.
code as a mask for preserving the profession's per
spective on the world, perhaps at the expense of a
more accurate picture of reality. Code development
Any profession has a clear, tangible stake in
protecting its members' professional monopoly, and It would be unfortunate if the emphasis on a code of
a code of professional ethics can help to secure such ethics as a product obscured the value of the process
protection. It may do so, for example, by creating by which a code is developed and subsequently
barriers to entry into the profession, by prescribing revised. This process is a time of critical self-exami
restrained criticism of colleagues, or by invoking nation by both individual members and the profes
prescriptions for confidentiality or conflict of interest sion as a whole. The profession must institutionalize
that keep outsiders from encroaching on professional a process whereby its moral commitments are regu
turf. A code may be used to censor "deviant" ideas larly discussed and assessed in the light of changing
from within the profession, thereby ensuring that conditions both inside and outside the profession.
entrenched biases prevail over potential innovation. The widespread participation of members in such an
effort helps to reinvigorate and bring into sharp
Deterrent to unethical behavior. In addition to promoting focus the underlying values and moral commitments
ethical conduct, a code may function as a deterrent of their profession. It is a time of testing one's
to unethical behavior in at least two ways. First, by professional ethics against those of his/her colleagues
linking the code to a threat of sanctions and, second, and for testing the profession's ethics against the

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 Professional Codes 113

experience of its members and the values of society. over others, those responsible for the drafting pro
This process of self-criticism, codification, and con cess should be alert for the possibility of abuse and,
sciousness-raising reinforces or redefines the pro where necessary, devise safeguards for the most
fession's collective responsibility and is an important vulnerable segments of the profession.
learning and maturing experience for both individ
ual members and the profession.
Yet this process is not without potential pitfalls. Professional self-regulation
One of the consequences of professional power and
privilege is that professional ethics has tended to Self-regulation is consistent with both the tradition
become a professionalization of ethics, in that the of limited government and the moral dimension of
profession's commitment to a set of values reflects its the professions. It is not without its shortcomings,
interpretation of the world. But professionalization however. Almost every code of professional ethics
threatens to narrow the scope of moral evaluation includes a provision imposing a responsibility on
because it diminishes the appeal of non-professional members of the profession to report violators. Yet,
experience for ethical reflection and, as a result, the professionals have a poor track record in this regard.
profession's view of its role and responsibility risks This reluctance stems from several sources. Shielding
being divorced from broader social values. As long as members from outside knowledge of their deviance
the process remains insulated from public evalua also shields the profession from embarrassment, with
tion, it is at least questionable, if not unlikely, that it its potential for precipitating a decline in public
can produce a code that will be optimally under trust. Open criticism of colleagues could be perceived
standing of and sensitive to the perspective of those as undermining a profession's claims of keeping its
whom the profession is pledged to serve. To counter house in order and may invite increased external
this tendency, ways must be found to involve out control. In some instances, protecting members from
siders in this process so that proper congruence criticism is a test of the leadership's ability to main
between professional and community values can be tain internal control. Consequently, overlooking
achieved. fault becomes a means for maintaining harmony
A second pitfall concerns the relationship between within the profession. And for those who may in
the profession and its members. If the basic concep principle be inclined to report violators, the threat of
tion of the profession's values, roles, and functions as being ostracized by one's colleagues or the fear of
articulated by the profession is inconsistent with the legal retaliation, such as a defamation suit, is suffi
reality experienced by its members, the basis of cient to dampen one's enthusiasm for taking such
respect for the profession's ethics will erode, the action.
profession's leadership will risk becoming isolated There is yet another side to this matter of the
from the rank and file, and efforts to articulate and reluctant informer. One of the most important
enforce specific provisions will be severely impaired. functions of a profession is to offer support to
Hence, a code of ethics should be empirically individual practitioners in performing their roles.
grounded, and procedures for its interpretation Professionals who experience reprisals for having
should be sensitive both to the different contexts in adhered to the principles found in their codes of
which members work and to the effects of such ethics should be able to turn to their professional
differences on the application of the profession's group for assistance. Such support on the part of the
norms.
profession can strengthen member loyalty to the
But this recommended approach carries with group
it and, as a consequence, is likely to increase
yet another danger. Intraprofessional differences
compliance with its rules. "If the individual knows
regarding the structure, content, and priorities of the that when he needs it he will be protected somewhat
code are likely to emerge. Powerful interests within a by the group, he enjoys his personal relations with its
profession may attempt to influence events in order members more, feels more securely identified with
to serve their own ends. While there may be legi them, protects himself less from them, and is willing
timate reasons for incorporating provisions into die for the sake of the group to cooperate even when it
code which favor one set of professional interests will not raise his individual standing . . ."u But the

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 114 Mark S. Frankel

professions have exerted limited leadership and de raising levels of consciousness, their ethical pro
monstrated litde imagination in developing support nouncements are like blunt instruments; they must
activities on behalf of their members.12 At present, be sharpened by interpretation if they are to func
self-regulation suffers because of too few rewards tion as meaningful guides to ethical conduct. The
and too many risks associated with reporting errant professions must, therefore, institutionalize means
colleagues. for offering such interpretation and ensure that they
This less than remarkable record of achievement are accessible to all interested parties. This might be
for professional self-regulation has led to the institu accomplished, for example, by publicizing decisions
tion of other means of social control ? licensing, rendered by ethics committees in cases of code
peer review, malpractice, new mandatory reporting violations, or by developing case materials for educa
laws, and so on. But undue reliance on external tional purposes and widespread discussion through
regulation runs counter to the exercise of profes out the profession.
sional discretion, which lies at the core of providing The professions can enhance public respect for
individualized service to clients. What is needed is their performance by acknowledging the possibility
an improved complementary effort at self-regulation of professional error and by adopting procedures for
that becomes a matter of enlightened self-interest assuring members and the public that complaints
for professionals while at the same time advancing will be thoroughly and fairly investigated. At a
the public interest. minimum, this requires that the complaint process
be publicly known and comprehensible and that
both practitioners and the public have ready access
Proposed new initiatives to it. It also requires that practitioners be encouraged
to report colleagues who violate professional norms.
In an effort to make professional self-regulation Establishing a telephone hotline for reporting griev
more effective, several new private and public initia ances will make it easier to report violations. And a
tives are recommended. Much of what is proposed disciplinary program that is aimed at rehabilitation,
for the private sector must originate within profes and not just punishment, may also increase the
sional associations. As organized, self-governing likelihood that professionals will be willing to turn
social units authorized to represent the profession, in colleagues.
these associations serve as the custodians of profes If the professions take their codes of ethics seri
sional traditions and help to keep a profession's ously and if they expect individual professionals to
moral commitments relevant. They mediate between abide by their provisions, then they have an obli
practitioner and profession and between practitioners gation to defend those whose dutiful discharge of
and the social environment in which they work. their professional responsibilities places them at risk.
As such, they function as an important source of Professionals who, for example, are subjected to
identity for individual practitioners, a means of unreasonable demands by employers that are incon
maintaining a conception of oneself as a member of sistent with the tenets of their code should be able to
a particular tradition rather than simply as a tech appeal to the profession for both moral and practical
nician. support. Several support activities might be consid
Mere adoption of a code of professional ethics ered, such as awards to those who exhibit exemplary
does not guarantee its usefulness to practitioners or ethical behavior. Or legal assistance, in the form of a
to others. The code must be viewed as only one part defense fund or a professional association amicus
of a larger system intended to promote ethical con brief, to those who become involved in litigation.
duct and to provide a supportive environment for Ultimately, the most effective strategy might be to
professionals. One important strategy is to develop contribute to a more ethically hospitable work
ways of keeping the code visible and relevant in the environment for professionals.
eyes of practitioners. Moral authority does not in All of the above proposals must encourage and
here in a paper document, but rather in the weight provide for greater lay participation. After all, it is
of reason that accompanies arguments for or against individual clients and the general public who bear
certain actions. Although codes can be of value in most of the consequences of professional activity,

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 Professional Codes 115

and this gives them a legitimate claim to involvement

Notes
in the profession's development and application of
codes of ethics. Moreover, the proposals must apply 1 Merton, Robert K.: 1982, 'Functions of the professional
to all professionals, whether or not they are members association', in Aaron Rosenblatt and Thomas F. Gieryn
of the representative associations. It would be a strain (eds.), Robert K Merton: Social Research and the Practicing
on the associations' credibility for them to promote Professions, Cambridge, Mass.: ABT Books, p. 203.
2 Camenisch, Paul F.: 1983, Grounding Professional Ethics in a
their professions' moral dimension for the good of
Pluralistic Society, New York: Haven Publications, p. 48.
society, but then limit their activities and resources
3 Pavalko, Ronald M.: 1971, Sociology of Occupations and
only to those who can demonstrate membership in
Professions, Itasca, Illinois: F. E. Peacock Publishers, p. 100.
their ranks. The associations' ethics activities must be
4 Ibid., p. 25.
accessible to all who follow a profession's traditions 5 Camenisch, p. 45.
regardless of their organizational affiliations. 6 Wolfson, Alan D., Michael J. Trebilcock and Carolyn J.
While the welfare of professionals and their Tuohy 1980, 'Regulating the professions: a theoretical
clients often coincide, there are also occasions where framework', in Simon Rottenberg (ed.), Occupational Licensure
they diverge. In such instances, more formal social and Regulation, Washington: American Enterprise Institute,
mechanisms are needed. Legislatures and courts p. 192.
should accord increased recognition to the notion 7 Tuohy, Carolyn J. and Alan D. Wolfson: 1977, The
that adherence to one's code of professional ethics is political economy of professionalism: a perspective', in Four
Aspects of Professionalism, Ottawa: Consumer Research Coun
an obligation on the part of professionals consistent
cil, p. 67.
with public policy objectives and, as such, merits
8 Gibb, Corinne: 1976, Hidden Hierarchies: The Professions and
increased social deference. Statutes protecting pro
Governments, Westport, Conn.: Greenwood Press, p. 242.
fessionals who report in good faith colleagues who 9 Goldman, Alan H.: 1980, The Moral Foundations of Pro
act unethically ought to be a standard part of states' fessional Ethics, Totowa, New Jersey: Rowman and Littlefield,
and provinces' oversight powers of the professions. p. 23.
In considering these recommended actions, we 10 Schattschneider, E. E.: 1960, The Semi-Sovereign People,
must keep in mind that regulation ? professional or New York: Holt, Rinehart and Winston, p. 7.
public ? incurs costs in the form of time, energy 11 Goode, William J.: 1967, The protection of the inept',
and resources committed to monitoring behavior, American Sociological Review 32 (February 1967), p. 16.
disseminating information, registering disapproval, 12 Chalk, Rosemary, Mark S. Frankel and Sallie B. Chafer:
1980, AAAS Professional Ethics Project: Professional Ethics
and providing support. Consequently, any system of
Activities in the Scientific and Engineering Societies, Washington:
self-regulation should not be undertaken by the American Association for the Advancement of Science.
professions without careful appraisal of what can
reasonably be achieved at a particular point in time.
My final recommendation, then, is that public re
sources be made available to support experimental American Association for the Advancement of Science,
programs and demonstration projects designed to Washington, D.C. 20005,
USA.
improve the self-regulatory capabilities of the pro
fessions.

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