Social Legal Ethical and

Professional Responsibility of
Software Engineers
Software Engineering Code
of Ethics
Overview
• Why need for code?
• History of development
• Initial draft(s) development
• 8 Fundamental Principles
• Ratified code approved
• 8 Fundamental Principles Revisited
• Preamble
• Examples
• Focus on #5 Management
• Missing points
The need...
History

• IEEE Board of Governors established steering

committee (May, 1993).

• ACM Council endorsed Commission on Software

Engineering (Late 1993).

• Joint steering committee established by both

societies (January, 1994).
Joint Commission Steering Committee
• 4 goals:
• Adopt standard definitions.

• Define required body of knowledge and recommended

practices.

• Define ethical standards.

• Define educational curricula for undergraduate, graduate

(Masters), and continuing education (for retraining and
migration).
Joint Commission Steering Committee
• 3 initial task forces:

• Software engineering body of knowledge and

recommended practices.

• Software engineering ethics and professional practices.

• Software engineering curriculum.

Research
• Review of available computing and engineering
codes:
• The American Association of Engineering Societies
• Accreditation Board for Engineering Technology
• ACM’s Code of Ethics for Professional Conduct
• The British Computer Society Code of Practice
• Institute for the Certification of Computing Professionals
• Engineer’s Council for Professional Development
• The IEEE Code of Ethics
• National Society of Professional Engineers Code of Ethics
• Project Management Institute Code of Ethics
Brief History Timeline
• January 1994 - International Task Force formed the
Software Engineering Ethics and Professional Practice
(SEEPP).
• July 1997 - Initial version shown to professional
societies including ACM’s SIGSOFT.
• November 1997 - Version 3 published in IEEE-CS and
ACM magazines.
• Version 4 presented to IEEE review process.
• October 1998 - Version 5.2 unanimously adopted by
ACM and IEEE.
8 Key Principles:
• Product
• Public
• Judgement
• Client and Employer
• Management
• Profession
• Colleagues
• Self
The Published Proposal

• “Software Engineering Code of Ethics”

by Gotterbarn, Miller, and Rogerson

(November 1997/Vol. 40, No. 11,

Communication of the ACM)
Feedback

• Numerous commentaries
• Consensus discussions
• ACM and IEEE surveys
• Further review and modification
 Code of Ethics Feedback Form

• Sent to all software engineers with -

concentrated on ACM or IEEE members.
• All 8 principle areas surveyed.
• Response options range:

Strongly Favor  Favor  Uncertain  Oppose  Strongly Oppose

Principle 1: Products
• 1.01 Ensure adequate software specification
• 1.02 Understand specifications fully
• 1.03 Ensure you are suitably qualified
• 1.04 Ensure all goals are achievable
• 1.05 Ensure proper methodology use
• 1.06 Ensure good project management
• 1.07 Ensure all estimates are realistic
• 1.08 Ensure adequate documentation
• 1.09 Ensure adequate testing and debugging
• 1.10 Promote privacy of individuals
• 1.11 Use data legitimately
• 1.12 Delete outdated and flawed data
• 1.13 Identify and address contentious issues
• 1.14 Promote maximum quality and minimum cost
• 1.15 Follow appropriate industry standards
Principle 2: Public
• 2.01 Disclose any software-related dangers
• 2.02 Approve only safe, well tested software
• 2.03 Only sign documents in area of competence
• 2.04 Cooperate on matters of public concern
• 2.05 Produce software that respects diversity
• 2.06 Be fair and truthful in all matters
• 2.07 Always put the public’s interests first
• 2.08 Donate professional skills to good causes
• 2.10 Accept responsibility for your own work
Principle 3: Judgement

• 3.01 Maintain professional objectivity

• 3.02 Only sign documents within your responsibility
• 3.03 Reject bribery
• 3.04 Do not accept secret payments from the client
• 3.05 Accept payment from only one source for a job
• 3.06 Disclose conflicts of interest
• 3.07 Avoid conflicting financial interests
• 3.08 Temper technology judgments with ethics
Principle 4: Client and Employer
• 4.01 Provide services only where competent
• 4.02 Ensure resources are authentically approved
• 4.03 Only use property as authorized by the owner
• 4.04 Do not use illegally obtained software
• 4.05 Honor confidentiality of information
• 4.06 Raise matters of social concern
• 4.07 Inform when a project becomes problematic
• 4.08 Accept no detrimental outside work
• 4.09 Represent no interests adverse to your employer
Principle 5: Management
• 5.01 Assure standards are known by employees
• 5.02 Assure knowledge of confidentiality protocols
• 5.03 Assign work according to competence
• 5.04 Provide due process for code violations
• 5.05 Develop fair ownership agreements
• 5.06 Accurately describe conditions of employment
• 5.07 Offer only fair and just remuneration
• 5.08 Do not prevent a subordinate’s promotion
• 5.09 Do not ask a person to breach this code
Principle 6: Profession
• 6.01 Associate with reputable people
• 6.02 Promote commitment of this code
• 6.03 Support followers of this code
• 6.04 Help develop an ethical environment
• 6.05 Report suspected violations of this code
• 6.06 Take responsibility for errors
• 6.07 Only accept appropriate remuneration
• 6.08 Be accurate and honest regarding software
• 6.09 Place professional interests before personal
• 6.10 Obey all laws governing your work
• 6.11 Exercise professional responsibility
• 6.12 Promote public knowledge of the subject
• 6.13 Share software knowledge with the profession
Principle 7: Colleagues
• 7.01 Assist colleagues in professional development
• 7.02 Review other’s work only with their consent
• 7.03 Credit fully the work of others
• 7.04 Review others work candidly
• 7.05 Give fair hearing to colleagues
• 7.06 Assist colleagues’ awareness of work practices
• 7.08 Do not hinder a colleague’s career
• 7.09 Do not pursue a job offered to a colleague
• 7.10 Seek help with work outside your competence
Principle 8: Self
• 8.01 Further your own professional knowledge
• 8.02 Improve your ability to produce quality work
• 8.03 Improve your ability to document work
• 8.04 Improve your understanding of work details
• 8.05 Improve your knowledge of relevant legislation
• 8.06 Improve your knowledge of this code
• 8.07 Do not force anyone to violate this code
• 8.08 Consider code violations inconsistent with
software engineering
The Code Adoption Published

• “Software Engineering Code of Ethics is Approved”

by Gotterbarn, Miller, and Rogerson

(October 1999/Vol. 42, No. 10,

Communication of the ACM)
Major changes between v3 and v5.2

• The 8 principles reordered to show precedence

• Short version added
• Preamble significantly altered
• Defines software engineers
• Removed reference to 3 levels of obligation
• Stronger focus on standards to help the professional make ethical decisions
Preamble

• “Software engineers are those who contribute by

direct participation or by teaching, to the analysis,
specification, design, development, certification,
maintenance, and testing of software systems.”
• Prevalence of software in society provide significant
opportunities to do good or cause harm.
• Ensure that efforts are used to do good.
• Not intended to be applied piecemeal.
Preamble - continued

• Not to be used to justify errors of omission or commission.

• Not a simple algorithm to produce ethical decisions.
• Software engineer must use judgment after thoughtful consideration
of the 8 fundamental principles.
• Always use the public interest as the highest and governing principle.
Short version, 1 of 2
• 1. PUBLIC - Software engineers shall act
consistently with the public interest.
• 2. CLIENT AND EMPLOYER - Software
engineers shall act in a manner that is in the best
interests of their client and employer, consistent
with the public interest.
• 3. PRODUCT - Software engineers shall ensure
that their products and related modifications meet
the highest professional standards possible.
• 4 . JUDGMENT - Software engineers shall
maintain integrity and independence in their
professional judgment.
Short version, 2 of 2
• 5. MANAGEMENT - Software engineering
managers and leaders shall subscribe to and
promote an ethical approach to the management of
software development and maintenance.
• 6. PROFESSION - Software engineers shall
advance the integrity and reputation of the
profession consistent with the public interest.
• 7. COLLEAGUES - Software engineers shall be
fair to and supportive of their colleagues.
• 8. SELF - Software engineers shall participate in
lifelong learning regarding the practice of their
profession and shall promote an ethical approach to
the practice of the profession.
Examples

• Brief example of specific points

• Not comprehensive
Public

1.04. Disclose to appropriate persons or

authorities any actual or potential danger to the
user, the public, or the environment, that they
reasonably believe to be associated with software
or related documents.
Client & Employer
2.09. Promote no interest
adverse to their employer or
client, unless a higher
ethical concern is being
compromised; in that case,
inform the employer or
another appropriate
authority of the ethical
concern.
Management
5.01 Ensure good
management for any project
on which they work, including
effective procedures for
promotion of quality and
reduction of risk.
Profession

6.07. Be accurate in stating the characteristics of

software on which they work, avoiding not only false
claims but also claims that might reasonably be
speculative, vacuous, deceptive, misleading, or
doubtful.
Colleagues

7.02. Assist colleagues in professional

development.
Self
8.01. Further their knowledge
of developments in the
analysis, specification,
design, development,
maintenance, and testing of
software and related
documents, together with the
management of the
development process.
More on Management

• Software engineers need to know the standards

which they are held to
• Know policy for protecting confidential information
• Assign work after considering each individual’s skills
• Principle of team balance*
• Provide realistic quantitative estimates
• Function points & SLOC*
• Well defined cost models such as COCOMO*
Even more on management

• Fair compensation
• Don’t prevent someone’s promotion if he/she is qualified
• Good programmers don’t always make good managers*
• Let the person progress if he shows the aptitude
• Don’t punish someone for expressing ethical concerns
Missing from the Code

• Where to get help in a dilemma?

• Who to report violations to?
• Where to get advise and support in a confrontation with employer?
• Consequences of violating the code?
• Client and Employer – what do you do if their interests conflict?
• Provisions for updating the Code
Summary
• Why need for code?
• History of development
• Initial draft(s) development
• 8 Fundamental Principles
• Ratified code approved
• 8 Fundamental Principles Revisited
• Preamble
• Examples
• Focus on #5 Management
• Missing points
Helpful sites:

• ACM Professional Code of Conduct

http://www.acm.org/constitution/code.html

• ACM Software Engineering Code of Ethics

http:/www.computer.org/tab/seprof/code.htm

• ACM Public Policy Statements

http://www.acm.org/usacm
References
Gotterbarn, D., Miller, K., Rogerson, S., “Software Engineering
Code of Ethics”, Communications of the ACM 40, 11 (Nov. 1997),
pp. 110-118.

Gotterbarn, D., Miller, K., Rogerson, S., “Software Engineering

Code of Ethics is Approved”, Communications of the ACM 42, 11
(Oct. 1999), pp. 102-107.

Gottenbar, D. “A Positive Step Toward a Profession: The Software

Engineering Code of Ethics and Professional Practice”, AMC
SIGSOFT Software Engineering Notes 24, 1 (Jan. 1999), pp. 9-14