HOW TO WRITE A CODE OF ETHICS / CONDUCT
Twenty things to think about
Geoffrey Hunt
WARNING: No policy or procedure is a substitute for a workplace culture of trust and openness. However a good policy or procedure may initiate or enhance such a culture if it is deployed judiciously. Used wrongly policies, procedures and committees may have the opposite effect to the one desired - most importantly, they may disempower by giving employees the impression that responsibility lies elsewhere and not with them. Policies may also be abused, distorted and neglected by managers who think that such policies apply to everyone except themselves. A code of conduct can also, unless the right conditions are provided, wrongly be used by an employer or employee or other person to cover their incompetence, negligence or harassment of others. People who bully sometimes make counter-claims of bullying (using the code of conduct) against the complainant, or even get their 'complaint' in first.
Here is a checklist of relevant considerations if you are involved in drawing up or revising a code of conduct or code of ethics:
The considerations may be divided into:
These three dimensions of codes are, of course, intimately related - one affects the other.
SUBSTANTIVE CONSIDERATIONS
1. LEGAL FRAMEWORK
Due recognition of the legal and regulatory framework
2. MORAL FRAMEWORK
Due recognition of consensual moral norms, i.e. the code should not be out of touch with what is generally acceptable in society (which, however, may be pluralistic)
A code is meaningless without common moral background. Possibility of there
being a class, cultural, religious, generational difference.
Is there space for conscientious objection?
(E.g. In nursing conscientious objection to involvement in abortion is already protected by section four of the 1967 Abortion Act, so exists independently of the UKCC's codified statement).
A code may unwittingly draw in an unhelpful way on assumptions and language of male-dominated middle class.
3. FUNCTION & ACCOUNTABILITY
A code will have to recognise lines of accountability which work in three directions - which may conflict at certain points:
A code may serve as a set of criteria, against which allegations of misconduct may be assessed. A code may (or may not) be one of the items that a Professional Conduct / Disciplinary Committee will have in mind in assessing allegations.
One should be aware of the objection that some codes insulate, more or less explicitly, the profession from the criticisms of the ambient society. Does a code remind the profession of the public's trust in them, or serve the ideological purpose of persuading the public they can trust those who have power and privilege.
The heart of a code should be downward accountability, encouraging the profession to defend the public interest, act as public advocate, work in a cooperative manner with the public and fostering their involvement in the aims and objectives of the profession.
A code may recognise the professional’s duty to protect the public from misinformation and misrepresentation; and a duty to establish conditions of employment conducive to excellence in that profession.
Upward accountability: A code may require that the professional report to an appropriate person or authority circumstances in the working environment which makes excellent and caring work difficult. However, clarity and practicality must be given to such a requirement. (Consider, for example, whistleblowing hotline.)
4. IMPARTIALITY & RIGHTS
Any modern code contains the principle of non-discrimination: the professional ‘will not act selectively towards clients out of prejudice on the grounds of their origin, status, sex, sexual orientation, age, belief or contribution to society’.
It will also be fully cognisant of civil and human rights. (Of both professional and client.)
5. BALANCE OF PROGRESSIVE & TRADITIONAL
Codes go out of date. They take on a ‘stale’ appearance after some years. A code must be updated to recognise professional developments, and new social and technological developments). However, it cannot be too futuristic and directive, but must get the right balance with the traditional.
Care must be taken, in particular, with regard to the code’s relation to the disciplinary and grievance procedure. A code which is seen as disciplinary by staff will not be readily accepted in a constructive way.
It should be positive, rather than negative (if possible, more ‘do this’ than ‘don’t do that’). but not directive, recognising what is traditional
6. FORCE (WEIGHT)
One would hope that a code will be ‘owned’ by the professionals concerned - that they will feel it’s importance and be proud of it. But what makes this happen?
What is it that makes people take a code seriously? What is it that makes people say to themselves, ‘This is merely for public consumption - it’s not meant to be taken seriously by me’?
A good code would be educative, building collective (and critical) awareness and solidarity. The support of a plurality of respected bodies may be significant.
A code which is negotiated, discussed, argued over is more like to have respect and ‘ownership’. A code which ‘parachutes’ down from management is not.
7. BALANCE OF INDIVIDUAL / CORPORATE
Many codes assume that the profession will develop principally through the excellence of its individual practitioners. Is this true?
Codes should try not to ignore the ‘political and economic’ reality of their environment. This is especially important when it comes to implementing the code.
8. REALISTIC
A code has to be sufficiently 'realistic' - or it will be ignored (and disrespected). That is, although it embodies ideals, it must be implementable to an appreciable extent. This requires knowledge of the actual setting, difficulties, expectations, etc.
Many codes contain little that relates to the management and resourcing of the profession. It is useful to negotiate a code with the unions involved.
9. SPECIFIC CONTENT
A code must contain all the elements which one expects to find in any professional code, but also elements which are specific to this particular profession. Its content must be relevant, important and sufficient.
FORMAL CONSIDERATIONS
10. CLARITY & ACCESSIBILITY
The code must be understandable to the ordinary member of the profession, using the simplest acceptable English, and be concise and accessible.
11. COHERENCE & CONSISTENCY
The code must ‘hang together’, in terms of its fundamental principle or principles (and grasp of the essential nature of the profession concerned, it must be comprehensive without being prolix, and it must not be open to inconsistencies in interpretation.
12. BALANCE OF GENERAL/PARTICULAR
The code must be:
general enough not to interfere with conscience and rule out legitimate interpretations, but specific enough not to allow just any interpretation.
flexible enough to allow development through criticism from below (i.e. review)
Where there is dispute between management and the professional, an overly general formulation will mean that the interpretation of the stronger will always prevail. The professional will then feel that the code is a disappointment.
EXTERNAL CONSIDERATIONS
A Code must be adequately promulgated and implemented, that is:
13. AVAILABLE Available, presented to each practitioner
14. HANDY ‘Handy’ (something one could keep in one’s pocket, for example); supplemented by posters for walls, etc.
15. FORUMS Must be launched with forums for discussion
16. TRAINING To be effective there must be a means of introducing the code into training and education activities using practical scenarios and case studies.
17. PRACTICAL INTEGRATION There must be a strategy for practical integration of the code into the everyday running of the business. The professional needs to be told what to do if he / she witnesses a breach of the code.
18. REVIEW Institute a procedure for regular review of the code, with the possibility of amending it.
19. TRANSLATIONS Make sure the code is translated into any languages relevant to the business concerned.
20. INSERTS Remember to insert a copy of the code at every opportunity into other official documents - such as annual reports and manuals.
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