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Application of Ethical Principles

Richard L. Wilson

ACM Code of Ethics and Professional Conduct

Preamble

Computing professionals' actions change the world. To act responsibly, they should reflect upon

the wider impacts of their work, consistently supporting the public good. The ACM Code of

Ethics and Professional Conduct ("the Code") expresses the conscience of the profession.

The Code is designed to inspire and guide the ethical conduct of all computing professionals,

including current and aspiring practitioners, instructors, students, influencers, and anyone who

uses computing technology in an impactful way. Additionally, the Code serves as a basis for

remediation when violations occur. The Code includes principles formulated as statements of

responsibility, based on the understanding that the public good is always the primary

consideration. Each principle is supplemented by guidelines, which provide explanations to

assist computing professionals in understanding and applying the principle.

Section 1 outlines fundamental ethical principles that form the basis for the remainder of the

Code. Section 2 addresses additional, more specific considerations of professional

responsibility. Section 3 guides individuals who have a leadership role, whether in the workplace

or in a volunteer professional capacity. Commitment to ethical conduct is required of every ACM

member, and principles involving compliance with the Code are given in Section 4.

The Code as a whole is concerned with how fundamental ethical principles apply to a computing

professional's conduct. The Code is not an algorithm for solving ethical problems; rather it

serves as a basis for ethical decision-making. When thinking through a particular issue, a

computing professional may find that multiple principles should be taken into account, and that

different principles will have different relevance to the issue. Questions related to these kinds of

issues can best be answered by thoughtful consideration of the fundamental ethical principles,

understanding that the public good is the paramount consideration. The entire computing

profession benefits when the ethical decision-making process is accountable to and transparent

to all stakeholders. Open discussions about ethical issues promote this accountability and

transparency.

1. GENERAL ETHICAL PRINCIPLES.

A computing professional should…

1.1 Contribute to society and to human well-being, acknowledging that all people are stakeholders in computing.

This principle, which concerns the quality of life of all people, affirms an obligation of computing

professionals, both individually and collectively, to use their skills for the benefit of society, its

members, and the environment surrounding them. This obligation includes promoting

fundamental human rights and protecting each individual's right to autonomy. An essential aim

of computing professionals is to minimize negative consequences of computing, including

threats to health, safety, personal security, and privacy. When the interests of multiple groups

conflict, the needs of those less advantaged should be given increased attention and priority.

Computing professionals should consider whether the results of their efforts will respect

diversity, will be used in socially responsible ways, will meet social needs, and will be broadly

accessible. They are encouraged to actively contribute to society by engaging in pro bono or

volunteer work that benefits the public good.

In addition to a safe social environment, human well-being requires a safe natural environment.

Therefore, computing professionals should promote environmental sustainability both locally

and globally.

1.2 Avoid harm.

In this document, "harm" means negative consequences, especially when those consequences

are significant and unjust. Examples of harm include unjustified physical or mental injury,

unjustified destruction or disclosure of information, and unjustified damage to property,

reputation, and the environment. This list is not exhaustive.

Well-intended actions, including those that accomplish assigned duties, may lead to harm.

When that harm is unintended, those responsible are obliged to undo or mitigate the harm as

much as possible. Avoiding harm begins with careful consideration of potential impacts on all

those affected by decisions. When harm is an intentional part of the system, those responsible

are obligated to ensure that the harm is ethically justified. In either case, ensure that all harm is

minimized.

To minimize the possibility of indirectly or unintentionally harming others, computing

professionals should follow generally accepted best practices unless there is a compelling

ethical reason to do otherwise. Additionally, the consequences of data aggregation and

emergent properties of systems should be carefully analyzed. Those involved with pervasive or

infrastructure systems should also consider Principle 3.7.

A computing professional has an additional obligation to report any signs of system risks that

might result in harm. If leaders do not act to curtail or mitigate such risks, it may be necessary to

"blow the whistle" to reduce potential harm. However, capricious or misguided reporting of risks

can itself be harmful. Before reporting risks, a computing professional should carefully assess

relevant aspects of the situation.

1.3 Be honest and trustworthy.

Honesty is an essential component of trustworthiness. A computing professional should be

transparent and provide full disclosure of all pertinent system capabilities, limitations, and

potential problems to the appropriate parties. Making deliberately false or misleading claims,

fabricating or falsifying data, offering or accepting bribes, and other dishonest conduct are

violations of the Code.

Computing professionals should be honest about their qualifications, and about any limitations

in their competence to complete a task. Computing professionals should be forthright about any

circumstances that might lead to either real or perceived conflicts of interest or otherwise tend to

undermine the independence of their judgment. Furthermore, commitments should be honored.

Computing professionals should not misrepresent an organization's policies or procedures, and

should not speak on behalf of an organization unless authorized to do so.

1.4 Be fair and take action not to discriminate.

The values of equality, tolerance, respect for others, and justice govern this principle. Fairness

requires that even careful decision processes provide some avenue for redress of grievances.

Computing professionals should foster fair participation of all people, including those of

underrepresented groups. Prejudicial discrimination on the basis of age, color, disability,

ethnicity, family status, gender identity, labor union membership, military status, nationality,

race, religion or belief, sex, sexual orientation, or any other inappropriate factor is an explicit

violation of the Code. Harassment, including sexual harassment, bullying, and other abuses of

power and authority, is a form of discrimination that, amongst other harms, limits fair access to

the virtual and physical spaces where such harassment takes place.

The use of information and technology may cause new, or enhance existing, inequities.

Technologies and practices should be as inclusive and accessible as possible and computing

professionals should take action to avoid creating systems or technologies that disenfranchise

or oppress people. Failure to design for inclusiveness and accessibility may constitute unfair

discrimination.

1.5 Respect the work required to produce new ideas, inventions, creative works, and computing artifacts.

Developing new ideas, inventions, creative works, and computing artifacts creates value for

society, and those who expend this effort should expect to gain value from their work.

Computing professionals should therefore credit the creators of ideas, inventions, work, and

artifacts, and respect copyrights, patents, trade secrets, license agreements, and other methods

of protecting authors' works.

Both custom and the law recognize that some exceptions to a creator's control of a work are

necessary for the public good. Computing professionals should not unduly oppose reasonable

uses of their intellectual works. Efforts to help others by contributing time and energy to projects

that help society illustrate a positive aspect of this principle. Such efforts include free and open

source software and work put into the public domain. Computing professionals should not claim

private ownership of work that they or others have shared as public resources.

1.6 Respect privacy.

The responsibility of respecting privacy applies to computing professionals in a particularly

profound way. Technology enables the collection, monitoring, and exchange of personal

information quickly, inexpensively, and often without the knowledge of the people affected.

Therefore, a computing professional should become conversant in the various definitions and

forms of privacy and should understand the rights and responsibilities associated with the

collection and use of personal information.

Computing professionals should only use personal information for legitimate ends and without

violating the rights of individuals and groups. This requires taking precautions to prevent re-

identification of anonymized data or unauthorized data collection, ensuring the accuracy of data,

understanding the provenance of the data, and protecting it from unauthorized access and

accidental disclosure. Computing professionals should establish transparent policies and

procedures that allow individuals to understand what data is being collected and how it is being

used, to give informed consent for automatic data collection, and to review, obtain, correct

inaccuracies in, and delete their personal data.

Only the minimum amount of personal information necessary should be collected in a system.

The retention and disposal periods for that information should be clearly defined, enforced, and

communicated to data subjects. Personal information gathered for a specific purpose should not

be used for other purposes without the person's consent. Merged data collections can

compromise privacy features present in the original collections. Therefore, computing

professionals should take special care for privacy when merging data collections.

1.7 Honor confidentiality.

Computing professionals are often entrusted with confidential information such as trade secrets,

client data, nonpublic business strategies, financial information, research data, pre-publication

scholarly articles, and patent applications. Computing professionals should protect

confidentiality except in cases where it is evidence of the violation of law, of organizational

regulations, or of the Code. In these cases, the nature or contents of that information should not

be disclosed except to appropriate authorities. A computing professional should consider

thoughtfully whether such disclosures are consistent with the Code.

2. PROFESSIONAL RESPONSIBILITIES.

A computing professional should…

2.1 Strive to achieve high quality in both the processes and products of professional work.

Computing professionals should insist on and support high quality work from themselves and

from colleagues. The dignity of employers, employees, colleagues, clients, users, and anyone

else affected either directly or indirectly by the work should be respected throughout the

process. Computing professionals should respect the right of those involved to transparent

communication about the project. Professionals should be cognizant of any serious negative

consequences affecting any stakeholder that may result from poor quality work and should

resist inducements to neglect this responsibility.

2.2 Maintain high standards of professional competence, conduct, and ethical practice.

High quality computing depends on individuals and teams who take personal and group

responsibility for acquiring and maintaining professional competence. Professional competence

starts with technical knowledge and with awareness of the social context in which their work

may be deployed. Professional competence also requires skill in communication, in reflective

analysis, and in recognizing and navigating ethical challenges. Upgrading skills should be an

ongoing process and might include independent study, attending conferences or seminars, and

other informal or formal education. Professional organizations and employers should encourage

and facilitate these activities.

2.3 Know and respect existing rules pertaining to professional work.

"Rules" here include local, regional, national, and international laws and regulations, as well as

any policies and procedures of the organizations to which the professional belongs. Computing

professionals must abide by these rules unless there is a compelling ethical justification to do

otherwise. Rules that are judged unethical should be challenged. A rule may be unethical when

it has an inadequate moral basis or causes recognizable harm. A computing professional should

consider challenging the rule through existing channels before violating the rule. A computing

professional who decides to violate a rule because it is unethical, or for any other reason, must

consider potential consequences and accept responsibility for that action.

2.4 Accept and provide appropriate professional review.

High quality professional work in computing depends on professional review at all stages.

Whenever appropriate, computing professionals should seek and utilize peer and stakeholder

review. Computing professionals should also provide constructive, critical reviews of others'

work.

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

Computing professionals are in a position of trust, and therefore have a special responsibility to

provide objective, credible evaluations and testimony to employers, employees, clients, users,

and the public. Computing professionals should strive to be perceptive, thorough, and objective

when evaluating, recommending, and presenting system descriptions and alternatives.

Extraordinary care should be taken to identify and mitigate potential risks in machine learning

systems. A system for which future risks cannot be reliably predicted requires frequent

reassessment of risk as the system evolves in use, or it should not be deployed. Any issues that

might result in major risk must be reported to appropriate parties.

2.6 Perform work only in areas of competence.

A computing professional is responsible for