Division of Ethics of Science and Technology

Interim analysis of codes of conduct and codes of ethics September 2006

Background Following a recommendation to UNESCO by COMEST (the World Commission on the Ethics of Scientific Knowledge and Technology) on carrying out studies on the advisability of drafting an international declaration on science ethics, the General Conference in its 33rd Session in October 2005 requested the Director-General to pursue reflection on the question of science ethics. Accordingly, the Division of Ethics of Science and Technology is currently surveying the field of science ethics, and in particular is carrying out a study of existing codes of conduct and codes of ethics for scientists. The aim of this interim report is to present the inclusion and analysis criteria, the results and conclusions found thus far in this study. Inclusion criteria The following criteria have been used for the collection of codes: provider, addressee, content and title. The first three criteria must be fulfilled for every code to be included in this analysis, whereas certain flexibility has been applied for the fourth criterion, as further explained below.

• Provider of the Code The code must be issued by an entity which deals with science and technology issues, with the intention to regulate/inspire/educate the behaviour of its own members (individuals and/or institutions) or addressing scientists in general. Examples of such providers are professional associations, companies, national commissions and academies of science. Regulations which are issued by legislative bodies (laws, legislative codes etc.), and thus which address all citizens, have been excluded from the collection.

• Addressee of the Code The code must concern professionals within scientific professions or disciplines, within any area of science (See Appendix 1). As mentioned above, the addressees should be members/employees of the organisation which has provided the code or scientists in general. Codes which exclusively concern non-professionals, for example students, have not been included in the collection.

• Content of the Code A code must have a normative content: ethical principles, values, norms, rules of conduct.

1SHS/2006/PI/H/5

• Title of the Document

The document should preferably contain the word code. This criterion is useful because it normally implies a precise methodology. According to the Roman tradition, it is aimed at rationalising existing norms or new ones. A code can thus be defined as an ordered collection of guidelines in some specific fields. However, since the terminology used by providers of codes is not always consistent, this criterion has been applied less strictly than the first three criteria. Thus, the study has also taken into account documents presented as for example Charter, Guidelines, Regulations and Guidebook.

Collection process The collection has thus far focused on codes available in English and French. Most of the codes have been found on the Internet, in already existing collections of codes (e.g. at http://ethics.iit.edu/codes/coe.html, http://www.codex.vr.se/codex_eng/codex/index.html, http://courses.cs.vt.edu/~cs3604/lib/WorldCodes/WorldCodes.html) or by free text search. Some codes have been provided by COMEST members and by participants at regional consultatory meetings held during the past few months in Japan, India, Thailand, Switzerland and Brazil. Invitations have been sent to certain national commissions for the translation of codes into English. Analysis criteria (Appendix 2)

• Scope of operation of the code - Field of Profession and/or Discipline: the document of reference for this study is the International Standard Classification of Professions (ISCO-88), by the UN specialised agency International Labour Organisation (see Appendix 1). - Object/Field of activity: the field of activity which is regulated by the code. It can be the general field of a profession (e.g. nursing, engineering) or a specific object/field (e.g. Internet usage, Bioterrorism). - Geographical coverage: national/regional/global. The coverage has been defined as global for codes issued by organisations which are represented in many (but not necessarily all) countries around the world.

• Date of issuance

The information regarding the date of issuance varies considerably among the codes (adoption, publication, first/second/last revision, current version etc.). With the concern of presenting consistent data, the analysis focuses on the most recurring ones, i.e. date of adoption (first issuance) and date of current version. Further, if both dates are available, preference is given to date of adoption, which gives a more accurate picture of the first commitments of the profession to ethical issues. Moreover, knowing the date of issuance allows comparison of codes of conduct relative to a specified year or a specific period of time, and could potentially assist

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in identifying trends of implementation in the periods before and after the enactment of international declarations or conventions.

• Structure of the Code Division of the content into for example preamble and sections, fundamental principles/canons and more specific practices.

• Content of the Code - Statements explicitly referring to an ethical principle or value External ethical principles or values: relate to social context and responsibility towards society. Internal ethical principles or values: refer to scientists’ individual professional behaviour related to ethical issues. This two-level approach is based on proposals made in an expert meeting on an Ethical Code of Conduct for Scientists in UNESCO Headquarters in March 2005. - Statements not explicitly referring to an ethical principle or value Strong commitments which are not enunciated as principles but which constitute more concrete and less recognisable expressions of the actual principles (external or internal statements).

• Nature of the Code

We have used the classification proposed by Mark S. Frankel (Journal of Business Ethics, 1989; 8: 109-115): - Aspirational: “(…) a statement of ideals to which practitioners should strive. Instead of focusing on notions of right and wrong, the emphasis is on the fullest realisation of human achievement.” - Educational: a code that serves to enhance understanding of its provisions with extensive commentary and interpretation. “A conscious effort is made to demonstrate how the code can be helpful in dealing with ethical problems associated with professional practices.” - Regulatory: a code that “includes a set of detailed rules to govern professional conduct and to serve as a basis for adjudicating grievances. Such rules are presumed to be enforceable through a system of monitoring and the application of a range of sanctions.”

Although conceptually distinct, in reality any single code of professional ethics may combine features of these three types. In this study we have identified the type which prevails over the others.

• Level of commitment of the addressee

- To the code: voluntary or mandatory compliance. - To the organisation: voluntary or mandatory membership.

• Enforcement of the code - Sanctions: does the code provide sanctions?

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- Disciplinary body: does the code refer to a disciplinary body which can issue such sanctions?

Results Geographical coverage The geographical focus of this study thus far has been on Asia and the Pacific and Europe and North America, which are two of the three UNESCO regions where consultations with scientists, ethicists and policy-makers already have taken place regarding codes of conduct for scientists. In the continuing process, the focus will shift to analysing codes from Latin America and the Caribbean, Africa and the Arab states.

Geographical coverage

Latin America andCaribbean

Africa

Arab states

Asia and the Pacific

Europe and NorthAmerica

Global

In total 65 codes have been analysed (Appendix 3). A minority of the codes (17%) have global coverage; two codes have regional coverage (Europe), while the majority of the codes have national coverage, as follows:

Latin America and the Caribbean

Africa Arab states

Asia and the Pacific

Europe and North America

Argentine (1) South Africa (1); Zimbabwe (4)

New Zealand (5); South Korea (2); Singapore (1); Australia (5); Fiji (1); Sri Lanka (1); India (2); Japan (2); China (2)

Canada (4); Germany (2); UK (2); Latvia (1) USA (8); Belgium(1); Netherlands (1); Norway (1); Sweden (4); Bulgaria (1)

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Providers of the Codes The overwhelming majority of the codes analysed are provided by organisations with voluntary membership for professionals in a certain discipline (47 national, 2 regional and 8 global codes). A few codes are issued by private companies. One code is provided by a non-organised group of scientists (the Uppsala Code), another one is issued by a university (Fiji) and thus far only one analysed code is issued by a governmental advisory commission (the National Science and Technology Commission, Sri Lanka). Addressees of the Codes In most cases (80%), a code addresses all members of an organisation, regardless of their membership status (e.g. voting/professional/corporate, affiliate/non-corporate, student, institutional). Sometimes certified members must abide by a more extensive code than other members, and sometimes there are only sanctions applying to certified members. In a few cases student members are not explicitly requested to abide by the code. Only a limited number of codes are aimed at other kinds of addressees. Some do not specify that the code is directed only to members of the organisation, but seem to be directed to all professionals in a certain discipline (the Bulgarian, Norwegian, Swedish codes, the two Korean charters and the Guidebook on research ethics of the National Science and technology commission in Sri Lanka) (14%). In a few cases, the addressees consist of all employees of a company (5%) (also including distributors, affiliates and subsidiaries). One code applies not only to members but also to non-members who have agreed to be bound by the code (The Institution of Engineers, Australia). Professions and Disciplines The codes analysed address a large amount of different professions and disciplines. They have been classified according to ISCO-88 (see Appendix 1). The collection covers codes addressing professionals within all four main groups of ISCO-88, as shown below. From the graph it can be seen that the most represented group is Physical, mathematical & engineering science professionals (46% of all codes). Within this group of disciplines, most codes are provided by entities dealing with: - computing (40%) - engineering (33%) The second largest number of codes is found within the disciplines of Life science & health (29% of all codes). Within this group of disciplines, most codes are issued by organisations for: - medical doctors (26%) - nurses (26%)

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The group Other professionals, representing 20% of all codes, includes disciplines within social and human sciences. The most recurring disciplines within this group are: - psychologists (46%) - scientists in general (38%) The least represented group thus far in the study is Teaching professionals, with 5% of the total number of codes analysed. For the complete representation of professions within each group, see Appendix 4.

Distribution of codes among disciplines (main group level)

3

13

19

30

65

0 10 20 30 40 50 60 70

Teaching professionals (5%)

Other professionals (20%)

Life science and health professionals (29%)

Physical, mathematical and engineeringscience professionals (46%)

Total

Number of codes

Date of issuance

Among the 65 codes, the date of issuance (date of adoption or current version) is known for 57 codes. The date of adoption is known for 24 out of these 57 codes, while only the date of the current version is known for 33 codes. Hence, for 50% of all codes analysed the date of adoption (first issuance) is unknown. Due to the difficulties in receiving information about the date of issuance, in particular about the date of adoption, the results obtained at this stage of the study may not give an accurate picture of the development of codes of science ethics over time. For the vast majority of the 57 codes, the versions available in this study have been issued within the last 15 years (47 out of 57 codes, i.e. 82%). Also, the number of codes which have been issued during the years 2000-2005 is larger than the number of codes issued in the 1990s (see Appendix 5). One reason for the overrepresentation of codes from the last two decades could be that such more recent codes are more likely to be found on the Internet. It is also possible that earlier versions exist for codes for which only the date of the current version is known.

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Nature of the Codes

Out of 65 analysed codes, 39 codes (60%) have been categorised as “regulatory” (according to various criteria, e.g. purpose of the code in the preamble or the wording throughout the document), which means that those codes have a regulatory purpose. Also classified as regulatory codes, are those obviously being regulatory (as stated in the preamble) although using verbs such as “should” or “may” in their provisions (e.g. the Code of conduct and rules of conduct; Institute of Physics). Six of the analysed codes have been categorised as “educational” (9%), which means that they supposedly have a pedagogical purpose. Twenty codes (31%) have been classified as being primarily “aspirational”, since they may be seen as statements of ideals to which practitioners should strive, rather than being regulatory or educational. Among these aspirational codes are several codes issued by international organisations whose members are national associations (Appendix 6).

39

620

65

0

10

20

30

40

50

60

70

No. of codes

Regulatory

Educational

Aspiratio

nalTotal

Nature

Nature of codes

Enforcement of the Codes Among the regulatory codes, only 22 codes (56%) are providing explicit sanctions in case of breach of the code (the sanctions being mentioned either in the code or in another document elsewhere in the organisation’s constitution to which the code is referring). As expected, and referring to the definition of the nature of codes, no educational or aspirational codes mention any sanctions and the overwhelming majority of them do not mention any disciplinary body. However, one educational code refers to the organisation’s disciplinary body which deals with complaints about professional misconduct of the members and which is settled in the Statutes of the organisation.

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Some of the codes do not explicitly mention sanctions and/or a disciplinary body, but the wording and content of these codes nevertheless imply that some form of sanctions are likely to be issued following breach of the code.

Presence of sanctions

05

10152025303540

Regulatory Educational Aspirational Total

Nature

No

. o

f co

des

Sanctions

No sanctions

No sanctionsexplicitly mentioned

Presence of disciplinary body

05

10152025303540

Regula

tory

Educa

tiona

l

Aspira

tiona

lTo

tal

Nature

No.

of c

odes

Disciplinary body

No disciplinary body

No disciplinary bodyexplicitly mentioned

The vast majority of the analysed codes are issued by organisations in which membership is voluntary. For the purpose of the analysis, private companies have been classified under this category. The act of being employed by a company is obviously a voluntary matter, although “membership” may not be the most appropriate term to describe the relationship between the staff and its employer. Only one code is issued by an organisation to which membership is mandatory in order to practice the profession (The Architectural Institute of British Columbia, Canada). This code is regulatory in nature.

8

For one aspirational code, membership is classified as “not applicable” since the code is issued by an advisory commission to a government and its addressees are scientists in general (the National Science and Technology Commission, Sri Lanka).

Type of membership in the organisation

010203040506070

Regula

tory

Educa

tiona

l

Aspira

tiona

lTo

tal

Nature

No.

of c

odes

Voluntary

Mandatory

Not applicable

Concerning the commitment to the code, the majority of the codes of regulatory nature explicitly demands mandatory compliance whereas the majority of the codes of educational and aspirational nature are of a voluntary character. However, there are exceptions to this logical connection between the commitment and the nature. Some of the codes with regulatory nature are voluntary to follow and a few of the aspirational codes have mandatory compliance.

Commitment to code

05

101520253035

Regula

tory

Educa

tiona

l

Aspira

tiona

lTo

tal

Nature

No

of c

odes Voluntary

Mandatory

Not applicable

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Content of the Codes The analysis of the content followed the criteria mentioned above on page 3. The differentiation between, on one hand, statements which explicitly refer to principles and, on the other hand, statements which do not explicitly refer to principles and values is presented in Appendix 7. Below, since preference is given to the recurrence of statements regardless of their category, these two categories are listed together, and only the most recurring statements are shown (i.e. the most frequently mentioned statements), while the complete lists of all ethical statements identified are available in Appendices 8 and 9. The most recurring internal statement is Confidentiality of information, followed by a number of statements which are more equally occurring. These are Maintain/upgrade professional competence, Avoid and report conflicts of interest, Honesty, Cooperation with co-workers and Integrity.

Most recurrent internal statements

05

1015202530354045

Confidentia

lity of in

formatio

n

Maintain/upgrade professional competence

Avoid and report c

onflicts of in

terest

Honesty

Cooperation with

co-workers

Integrity

Follow policies, re

gulations, la

ws

Work only in area of c

ompetence

Informed consent

Objectivity

Respect property

rights

Prevent and re

port unethical conduct

No. of codes

The most recurring external statement is Environmental responsibility, closely followed by Public welfare and safety, and further by Respect for human dignity and Social responsibility. The statement Social responsibility includes statements such as responsibility to future generations, responsible design and implementation of products within IT or engineering, and the avoidance of harmful effects to health and welfare.

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Most recurrent external statements

0

5

10

15

20

25

30

Environmental responsibility

Public safety and welfare

Respect for human dignity

Social responsibility

Enhance/maintain prestige of the profession

Human rights

Enhance public understanding of the profession/discipline

No. of codes

Distribution of statements among groups of disciplines The tables below show the occurrence of internal and external statements within the four main groups of disciplines according to ISCO-88 (see Appendix 10). It should be mentioned that the number of codes in the group of Teaching professionals is very low altogether, and therefore the results for this group are of low significance. The two most recurring internal statements, Confidentiality of information and Maintain/upgrade professional competence, are fairly evenly distributed among three of the groups, while they are not mentioned at all in the group Teaching professionals. The second most recurring external statement, Public welfare and safety, is also evenly distributed among three of the groups, while the distribution of the most recurring external statement Environmental responsibility is less uniform among the different groups. They are not found in any codes for Teaching professionals, and neither is any other of the most recurring external statements. The frequency of some statements in the different groups is strongly related to the professions addressed. Among the internal statements such expected correlation can be seen clearly for the following statements: - Informed consent is much more recurring in Life science and health professionals

(53%) and Other professionals (54%) than in Physical, mathematical and engineering science professionals (10%) and Teaching professionals (0%). This is to be expected since the work of these groups of professionals directly involves human beings (patients and research subjects).

- Respect property rights is found to a much higher extent in codes for professionals within Physical, mathematical and engineering science (43%) than within the other groups (16%, 15% and 0% respectively). For this first group, which is very

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technology- and industry oriented, issues around intellectual property rights are expected to be of a much higher concern than for the other groups.

Among the external statements such correlation between some statements and the professions is seen for the following statements: - Respect for human dignity is much more recurring in Life science and health

professionals (42%) and Other professionals (54%) than in Physical, mathematical and engineering science professionals (17%) and Teaching professionals (0%), for similar reasons as mentioned above (Informed consent).

- Environmental responsibility and Social responsibility are more frequently mentioned within Physical, mathematical and engineering science professionals (57% and 40% respectively) than within the other groups. This can probably be linked to the direct impact on the environment and society of activities within these areas of professions (e.g. the use of natural resources in and pollution caused by industry, the design and implementation of engineering products).

Internal statement Physical,

mathematical &

engineering science

professionals (30 codes)

Life science and health

professionals (19 codes)

Other professionals

(13 codes)

Teaching professionals

(3 codes)

Confidentiality of information 60% 74% 77% - Maintain/upgrade professional competence 50% 42% 54% - Avoid and report conflicts of interest 60% 26% 38% 33%

Honesty 53% 26% 54% 33%

Cooperation with co-workers 40% 63% 15% 67%

Integrity 57% 26% 46% -

Follow policies, regulations, laws 40% 37% 31% 33%

Work only in area of competence 37% 32% 31% -

Informed consent 10% 53% 54% -

Objectivity 33% 11% 31% 67%

Respect property rights 43% 16% 15% - Prevent and report unethical conduct 23% 26% 23% 33%

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External statement Physical, mathematical

& engineering

science professionals

(30 codes)

Life science and health

professionals (19 codes)

Other professionals

(13 codes)

Teaching professionals

(3 codes)

Environmental responsibility 57% 26% 38% -

Public safety and welfare 40% 42% 38% -

Respect for human dignity (the public, patients, clients) 17% 42% 54% -

Social responsibility 40% 16% 31% -

Enhance the prestige of the organisation 23% 32% 15% -

Enhance public understanding of the profession/discipline 17% 11% 31% -

Human rights 27% 26% 8% - Conclusions Disciplines Collecting codes for this study, many codes originating from engineering and computing sciences were found and also a fairly large number of codes issued by life science and health organisations. Codes from social and human sciences were found to a much lesser extent. This distribution of codes among different disciplines may indicate that there is a higher concern for ethical issues within the disciplines of technology, engineering and computing sciences and within life science and health than within the social and human sciences. The fact that the number of codes from engineering-based disciplines is higher than from life science is slightly surprising. However, this may possibly be explained by the existence within the life sciences of separate regulations concerning professional activities, to which ethical issues are linked and thus already regulated. Date of issuance Due to lack of information about the dates of issuance, in particular about the date of adoption, it is not yet possible to draw any conclusions about the tendencies over time. From the addressees’ point of view this lack of information could also be problematic, a fortiori in the context of regulatory codes containing sanctions and considering the principle of due process (the right to defence, the right to know the basis for accusations

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etc.). Indeed, to be implemented, a code and its date of issuance must be known to all stakeholders. Nature and Enforcement of the Codes Ambiguity was found in several codes between the nature of the code and the enforcements mentioned. For example, the fact that only 56% of the regulatory codes are providing explicit sanctions in case of breach of the code is quite paradoxical. If provisions are meant to be regulatory, a way of enforcement is needed. Similarly, many of the regulatory codes do not mention any disciplinary body for investigation of possible breach of the code and decisions on sanctions. Concerning the commitment to the code, the majority of the codes of regulatory nature explicitly demand mandatory compliance whereas the majority of the codes of educational and aspirational nature are of a voluntary character. However, there are exceptions to this logical connection between the commitment and the nature of the code. Some of the codes with regulatory nature are voluntary to follow and a few of the aspirational codes have mandatory compliance, both combinations being considered to send contradictory signals to the addressees of these codes. According to the study thus far many of the existing codes of conduct and codes of ethics have been issued by organisations in which membership is voluntary. Many professionals are not members of any such voluntary organisation. The proportion of all professionals in a given geographical area who are members of such organisations is normally not higher than 60%, and often the percentage is much lower. Consequently, a significant number of professionals are not affected by any ethical codes. Content of the codes The results of the analysis regarding this criterion comprise two aspects; first, the most recurring statements and second, the distribution of those statements among four main groups of professions. The latter has a great importance, for a very recurring statement may not be well distributed among all areas of science and technology. In fact, this second aspect reveals whether or not a consensus is reached (voluntarily or not, with or without consultation) on one or several statement(s) within the scientific community as a whole. Regarding external statements, it has been observed that the most frequently mentioned statement (Environmental Responsibility) is not the most equally distributed over all professions (Public safety and welfare). Concerning internal statements, the most frequently mentioned statement (Confidentiality of Information) happens to be the most widely distributed one but closely followed by the second one (Maintain and update competence).

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Follow-up This study is an on-going process. It would be desirable to increase the collection of codes in order to cover as many different disciplines and as many regions as possible, thus giving a more accurate picture of the distribution. In the perspective of pursuing reflection on a possible “ethical framework” in the context of UNESO, it is fundamental to focus on the ethical values shared by a majority within the scientific community. List of Appendices Appendix 1: International Standard Classification of Professions (ISCO-88), by the UN specialised agency International Labour Organisation Appendix 2: Collection and Analysis criteria Overview Appendix 3: Geographical coverage of the study Appendix 4: Groups of professions/disciplines identified in the codes Appendix 5: Dates of Issuance of the codes collected Appendix 6: Nature of the codes collected Appendix 7: Distinction between statements directly/not directly referring to a principle Appendix 8: External Statements identified Appendix 9: Internal Statements identified Appendix 10: Distribution of statements among groups of professions

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APPENDIX 1

CLASSIFICATION OF PROFESSIONS FOR THE ANALYSIS OF CODES OF CONDUCT

Adapted from the International Standard Classification of Occupations (ISCO-88) (http://www.statistics.gov.lk/samplesurvey/occ_code.pdf), Major Group 2, Professionals: 21. Physical, mathematical and engineering science professionals 22. Life science and health professionals 23. Teaching professionals 24. Other professionals (1 group created: 247 Others) 21. Physical, mathematical and engineering science professionals

211 Physicists, chemists and related professionals 2111 Physicist and astronomers 2112 Meteorologists 2113 Chemists 2114 Geologists and geophysicists

212 Mathematicians, statisticians and related professionals

2121 Mathematicians and related professionals 2122 Statisticians

213 Computing professionals

2131 System designers and analysts 2132 Computer programmers 2139 Other computing professionals (new)

214 Architects, engineers and related professionals

2141 Architects, town and traffic planners 2142 Civil engineers 2143 Electrical engineers 2144 Electronic and telecommunications engineers 2145 Mechanical engineers 2146 Chemical engineers 2147 Mining engineers, metallurgists and related professionals 2148 Cartographers and surveyors 2149 Other architects, engineers and related professionals Bioengineers

Biotechnologists 22. Life science and health professionals

221 Life science professionals Ecologists

APPENDIX 1

2211 Biologists, botanists, zoologists and related professionals 2212 Bacteriologists, pharmacologists and related professionals Microbiologists 2213 Agronomists and related professionals

222 Health professionals (except nursing)

2221 Medical doctors 2222 Dentists 2223 Veterinarians 2224 Pharmacists 2229 Other health professionals (except nursing) (new)

223 Nursing and midwifery professionals

2230 Nursing and midwifery professionals 23. Teaching professionals

231 College, university and higher education teaching professionals 232 Secondary education teaching professionals 233 Primary and pre-primary education teaching professionals 234 Special education teaching professionals 235 Other teaching professionals.

24. Other professionals

241 Business professionals 242 Legal professionals 243 Archivists, librarians and related information professionals 244 Social and related science professionals

2441 Economists 2442 Sociologists, anthropologists and related professionals 2443 Historians and political scientist 2444 Philologists, translators and interpreters 2445 Psychologists 2446 Social work professionals

245 Writers and creative and performing artists 246 Religion professionals

247 Others Ergonomists Scientists in general

Researchers

APPENDIX 1

Explanations and instructions for the spreadsheet: •

•

•

•

•

Only scientific professions are listed in the column “Profession and discipline”.

If a code concerns other professions than scientific professions, for example all staff of a company, this fact is indicated in the column “Recipients of the code”.

In the column “Profession and discipline”, both keywords and the corresponding numbers are entered. Example: Civil engineers 2142, Mechanical engineers 2145. If a code applies to all subgroups within a group, only the keywords + number for the group are listed. For example, the profession “computer engineers” is not explicitly listed. It can comprise all subgroups within the group “Computating professionals” (213) but can also be classified in the subgroup “Other architects, engineers and related professionals” (2149). Accordingly, in the spreadsheet it is entered as: 213 Computing professionals, 2149 Other architects, engineers and related professionals.

The group 247 (Others) has been created in order to make it possible to classify professions which cannot easily be classified in any of the other groups above. This group should be followed by the profession in parentheses. It can further be combined with other possible groups. For example, the profession Ecologists is classified as: 247 Others (Ecologists), 221 Life Science Professionals.

APPENDIX 2

Organisation Title Geographical coverage UNESCO Region Recipient Profession/Discipline Nature Sanctions Disc.bodyMembership organisation Commitment code

American Physical Society USAEurope and North America Members 2111 Physicists aspirational no no voluntary voluntary

European Physical Society EuropeanEurope and North America Members 2111 Physicists regulatory no no voluntary mandatory

German physical society Code of Conduct GermanyEurope and North America Members 2111 Physicists regulatory yes

none explicitly mentioned voluntary mandatory

Institute of Physics Global Global Members 2111 Physicists regulatory no no voluntary mandatory

American Chemical Society USAEurope and North America Members 2113 Chemists regulatory yes no voluntary voluntary

German Chemical Society GermanyEurope and North America Members 2113 Chemists regulatory yes no voluntary mandatory

Association of Computing Machinery global Global Members 213 Computing professionals regulatory yes no voluntary voluntary

Canadian Information Processing Society CanadaEurope and North America Members 213 Computing professionals regulatory yes yes voluntary mandatory

Computer Society of India IndiaAsia and the Pacific

Professional members 213 Computing professionals regulatory yes yes voluntary mandatory

Computer Society of South Africa South Africa Africa Members 213 Computing professionals regulatory yes yes voluntary mandatory

Computer Society of Zimbabwe

Basic Code of Practice for Individual Corporate Members Zimbabwe Africa

Members (Individual Corporate Members, professional practitioners) 213 Computing professionals educational no no voluntary voluntary

Computer Society of ZimbabweCode of Ethics for All Individual Members Zimbabwe Africa

Members (Individual Corporate Members, professional practitioners) 213 Computing professionals regulatory yes yes voluntary mandatory

Computer Society of Zimbabwe

Code of Professional Conduct for Individual Corporate Members Zimbabwe Africa

Members (Individual Corporate Members, professional practitioners) 213 Computing professionals regulatory yes yes voluntary mandatory

Computer Society of ZimbabweCode of Ethics for Institutional Members Zimbabwe Africa

Members (institutional members) 213 Computing professionals regulatory yes yes voluntary mandatory

Dutch Association of Information Scientists NetherlandsEurope and North America Members 213 Computing professionals regulatory

none explicitly mentioned yes voluntary mandatory

Information Processing Society of Japan JapanAsia and the Pacific Members 213 Computing professionals regulatory no no voluntary voluntary

Japan Information Technology Services Industry Association Japan

Asia and the Pacific Members 213 Computing professionals aspirational no no voluntary voluntary

Singapore computer society SingaporeAsia and the Pacific Members 213 Computing professionals regulatory no no voluntary mandatory

Architectural Institute of British ColumbiaCanada (region British Columbia)

Europe and North America Members 214 Architects regulatory yes yes mandatory mandatory

International Union of Architects global GlobalMembers (national sections) 214 Architects aspirational no no voluntary voluntary

American Council of Engineering Companies USAEurope and North America Members 214 Engineers regulatory no no voluntary voluntary

APPENDIX 2

Cummins (engineering company) global Global Staff 214 Engineers regulatory yesnone explicitly mentioned voluntary mandatory

Institution of Engineers, Australia AustraliaAsia and the Pacific

Members of The Institution of Engineers, Australia, The Association of Consulting Engineers, Australia, and The Association of Professional Engineers, Scientists and Managers, Australia 214 Engineers regulatory yes yes voluntary mandatory

Institution of Engineers, India IndiaAsia and the Pacific

Professional engineers certified by the organisation 214 Engineers regulatory no no voluntary mandatory

Nokia global Global Staff 214 Engineers regulatory yes yes voluntary mandatory

Swedish Association of Graduate Engineers Code of Honour SwedenEurope and North America

Scientists in general (engineers) 214 Engineers aspirational no no voluntary voluntary

American Society of Mechanical Engineers USAEurope and North America Members 2145 Mechanical engineers regulatory yes yes voluntary mandatory

Armstrong (engineering company) global Global Staff2145 Mechanical engineers, 2146 Chemical engineers regulatory yes yes voluntary mandatory

Australia's biotechnology Organisation Biotechnology Industry Code of conduct Australia

Asia and the Pacific Members

2149 Other engineers (Biotechnologists) aspirational no no voluntary mandatory

Bioengineers' Institute, Norway NorwayEurope and North America

Scientists in general (bioengineers)

2149 Other engineers and related professionals (Bioengineering) regulatory

none explicitly mentioned yes voluntary voluntary

Bulgarian Academy of Science BulgariaEurope and North America

Scientists in general (life scientists)

22 Life science and health professionals aspirational no no voluntary voluntary

Shanghai Institute for Biological Sciences (of the Chinese Academy of Sciences)

Code of conduct in Scientific Research China

Asia and the Pacific Staff

22 Life science and health professionals aspirational no no voluntary voluntary

Shanghai Institute for Biological Sciences (of the Chinese Academy of Sciences)

Regulations for Conducting Scientific Research China

Asia and the Pacific Staff

22 Life science and health professionals aspirational no no voluntary voluntary

Korean Society for Molecular and Cellular Biology

Charter of Ethics for Life Science Researchers korea

Asia and the Pacific

Scientists in general (life scientists) 221 Life science professionals aspirational no no voluntary voluntary

Ecological Society of America USAEurope and North America

Members and ecologists certified by the organisation

221 Life science professionals (ecologists) regulatory

yes (for certified ecologists only) yes voluntary mandatory

American Society for Microbiology USAEurope and North America Members

2212 Bacteriologists and related professionals (Microbiologists) regulatory yes yes voluntary mandatory

New Zealand institute of Medical Laboratory science New ZealandAsia and the Pacific Members

2212 Bacteriologists, pharmacologists and related professionals (Medical Laboratory Scientists and Technicians) regulatory no no voluntary mandatory

Argentine Medical Association ArgentineLatin America and Caraibes Members 2221 Medical doctors regulatory yes yes voluntary mandatory

World Medical Association global GlobalMembers (national associations) 2221 Medical doctors aspirational no no voluntary voluntary

APPENDIX 2

American Medical Association USAEurope and North America Members 2221 Medical doctors regulatory

none explicitly mentioned

none explicitly mentioned voluntary mandatory

Endocrine Society global Global Members 2221 Medical doctors regulatory yesnone explicitly mentioned voluntary mandatory

International Olympic Committee global Global

Health professionals involved in IOC sports activitites

2221 Medical doctors; 2229 Other health professionals regulatory

none explicitly mentioned yes voluntary voluntary

Pharmaceutical Society of Australia AustraliaAsia and the Pacific Members 2224 pharmacists regulatory

none explicitly mentioned no voluntary voluntary

New Zealand institute of food science and technology New ZealandAsia and the Pacific Members

2229 Other health professionals (Food science and technology) regulatory yes yes voluntary mandatory

Canadian Nurses Association Code of ethics for registered nurses Canada

Europe and North America Members 223 Nurses educational no no voluntary voluntary

General Union of Belgian Nurses BelgiumEurope and North America Members 223 Nursing regulatory no no voluntary mandatory

Australian Nursing and Midwifery Council AustraliaAsia and the Pacific Registered nurses

223 Nursing and midwifery professionals regulatory no no voluntary voluntary

Australian Nursing Federation AustraliaAsia and the Pacific Registered nurses

223 Nursing and midwifery professionals educational no no voluntary voluntary

International Council of Nurses global Global Members223 Nursing and midwifery professionals educational no no voluntary voluntary

University of South Pacific, biological science

code of ethical conduct for the use of live animals for teaching and research Fiji

Asia and the Pacific Staff and students

231 college, university and higher education teaching professionals regulatory no yes voluntary mandatory

Swedish Association of University Teachers SwedenEurope and North America

Scientists in general (university teachers) 231 University teaching professionals aspirational no no voluntary voluntary

Swedish Union of University Professors SwedenEurope and North America

Scientists in general (professors) 231 University teaching professionals aspirational no no voluntary voluntary

Association of social science researchers New ZealandAsia and the Pacific Members

244 Social and related science professionals aspirational no no voluntary voluntary

American Psychological Association USAEurope and North America

Members and student affiliates 2445 Psychologists regulatory yes yes voluntary mandatory

British Psychological SocietyCode of ethics and conduct United Kingdom

Europe and North America Members 2445 Psychologists educational no yes voluntary voluntary

Canadian Psychological Association CanadaEurope and North America Members 2445 Psychologists educational

none explicitly mentioned

none explicitly mentioned voluntary voluntary

European Federation of Psychologists Association EuropeanEurope and North America

Members (national associations) 2445 Psychologists aspirational no no voluntary voluntary

International School Psychology Association global Global Members 2445 Psychologists aspirational no no voluntary voluntary

New Zealand Psychological Society New ZealandAsia and the Pacific Members 2445 Psychologists aspirational no no voluntary voluntary

Ergonomics Society, UK United KingdomEurope and North America Members 247 Others (Ergonomists) regulatory no

none explicitly mentioned voluntary mandatory

National Science and technology commissionGuidebook on research ethics Sri Lanka

Asia and the Pacific Scientists in general

247 Others (Research in science and technology) aspirational no no voluntary not applicable

Korean Federation of Science and Technology SocietiesCharter of Scientists and Engineers Korea

Asia and the Pacific Scientists in general 247 Others (Scientists in general) aspirational no no voluntary voluntary

APPENDIX 2

Latvian Council of Science LatviaEurope and North America Members 247 Others (Scientists in general) aspirational no no voluntary mandatory

Uppsala Code of Ethics for Scientists SwedenEurope and North America Scientists in general 247 Others (Scientists in general) aspirational no no not applicable voluntary

Royal society of New ZealandCode of Professional Standards and ethics New Zealand

Asia and the Pacific Members

247 Others (Scientists in general, including natural, physical, medical, social sciences and technology) regulatory

none explicitly mentioned yes voluntary mandatory

APPENDIX 3

Geographical coverage

UNESCO Regions No. of codesLatin America and Caribbean 1Africa 5Arab states 0Asia and the Pacific 21Europe and North America 27Global 11Geographical coverage (national, regional, global level) No. of codesArgentine 1South Africa 1Zimbabwe 4New Zealand 5Korea 2Singapore 1Australia 5Fiji 1Sri Lanka 1India 2Japan 2China 2Canada 4USA 8Germany 2United Kingdom 2Latvia 1Belgium 1Netherlands 1Norway 1Sweden 4Bulgaria 1Europe 2Global 11TOTAL 65

Geographical coverage

Latin America andCaribbean

Africa

Arab states

Asia and the Pacific

Europe and NorthAmerica

Global

APPENDIX 3

Geographical coverage (nations/regions)

Argentine

South Africa

Zimbabwe

New Zealand

Korea

Singapore

Australia

Fiji

Sri Lanka

India

Japan

China

Canada

USA

Germany

United Kingdom

Latvia

Belgium

Netherlands

Norway

Sweden

Bulgaria

Europe

Global

APPENDIX 4

Main group level according to ISCO-88 No. of codesTeaching professionals (5%) 3Other professionals (20%) 13Life science and health professionals (29%) 19Physical, mathematical and engineering science professionals (46%) 30Total 65

Subgroup level according to ISCO-88231 College, university and higher education teaching professionals (5%) 322 Life science and health professionals (5%) 3221 Life science professionals (6%) 4223 Nursing and midwifery professionals (8%) 5247 Others (9%) 6211 physicists, chemists and related professionals (9%) 6244 Social and related science professionals (11%) 7222 Health professionals (except nursing) (11%) 7214 Architects, engineers and related professionals (18%) 12213 Computing professionals (18%) 12Total 65

Distribution of codes among disciplines (main group level)

3

13

19

30

65

0 10 20 30 40 50 60 70

Teaching professionals (5%)

Other professionals (20%)

Life science and health professionals (29%)

Physical, mathematical and engineering scienceprofessionals (46%)

Total

No. of codes

Distribution of codes among disciplines (subgroup level)

3

3

4

5

6

6

7

7

12

12

0 2 4 6 8 10 12 14

231 College, university and higher educationteaching professionals (5%)

22 Life science and health professionals (5%)

221 Life science professionals (6%)

223 Nursing and midwifery professionals (8%)

247 Others (9%)

211 physicists, chemists and related professionals(9%)

244 Social and related science professionals (11%)

222 Health professionals (except nursing) (11%)

214 Architects, engineers and related professionals(18%)

213 Computing professionals (18%)

No. of codes

APPENDIX 5

Date of issuance

Organisation Region Country First adoption Current version Comments

Computer Society of South Africa Africa South Africa 1966 1966

First issued ~40 years ago. Has not changed much since.

Computer Society of Zimbabwe Africa Zimbabwe 2000Computer Society of Zimbabwe Africa Zimbabwe 2000Computer Society of Zimbabwe Africa Zimbabwe 2000Computer Society of Zimbabwe Africa Zimbabwe 2000Institution of Engineers, India Asia and the Pacific India ?Japan Information Technology Services Industry Association Asia and the Pacific Japan ?New Zealand institute of Medical Laboratory science Asia and the Pacific New Zealand ?Singapore computer society Asia and the Pacific Singapore ?

University of South Pacific, biological science: code of ethical conduct for the use of live animals for teaching and research Asia and the Pacific Fiji ?New Zealand institute of food science and technology Asia and the Pacific New Zealand 1966Computer Society of India Asia and the Pacific India 1993Association of social science researchers Asia and the Pacific New Zealand 1996Information Processing Society of Japan Asia and the Pacific Japan 1996Pharmaceutical Society of Australia Asia and the Pacific Australia 1998Institution of Engineers, Australia Asia and the Pacific Australia 2000Australian Nursing Federation Asia and the Pacific Australia 1993 2002Shanghai Institute for Biological Sciences of Chinese Academy of Sciences Asia and the Pacific China 2002 2002Shanghai Institute for Biological Sciences of Chinese Academy of Sciences Asia and the Pacific China 2002 2002New Zealand Psychological Society Asia and the Pacific New Zealand 2002Australian Nursing and Midwifery Council Asia and the Pacific Australia 1990 2003Royal society of New Zealand Asia and the Pacific New Zealand 2003Korean Federation of Science and Technology Societies Asia and the Pacific Korea 2004National Science and technology commission Asia and the Pacific Sri Lanka 2004Australia's biotechnology Organisation: Biotechnology Industry Code of conduct Asia and the Pacific Australia 2005Korean Society for Molecular and Cellular Biology Asia and the Pacific Korea 2005

APPENDIX 5

Dutch Association of Information Scientists Europe and North America Netherlands ?Ergonomics Society, UK Europe and North America United Kingdom ?American Society for Microbiology Europe and North America USA 2005 This is a revised version

Canadian Information Processing Society Europe and North America Canada 2005This is a revised version; earlier date unknown

American Council of Engineering Companies Europe and North America USA 1980Uppsala Code of Ethics for Scientists Europe and North America Sweden 1984 1984

Swedish Association of Graduate Engineers Europe and North America Sweden 1929 1988American Physical Society Europe and North America USA 1991Canadian Psychological Association Europe and North America Canada 1991Swedish Union of University Professors Europe and North America Sweden 1993 1993

American Society of Mechanical Engineers Europe and North America USA 1976 1994German Chemical Society Europe and North America Germany 1994 1994American Chemical Society Europe and North America USA 1994Bioengineers' Institute, Norway Europe and North America Norway 1996 1996Ecological Society of America Europe and North America USA 1997Latvian Council of Science Europe and North America Latvia 1997German physical society Europe and North America Germany 1998American Medical Association Europe and North America USA 1957 2001American Psychological Association Europe and North America USA 1953 2002Canadian Nurses Association's Code of ethics for registered nurses Europe and North America Canada 2002

Swedish Association of University Teachers Europe and North America Sweden 2004 2004

Architectural Institute of British Columbia Europe and North AmericaCanada (region British Columbia) 2004

General Union of Belgian Nurses Europe and North America Belgium 2004Bulgarian Academy of Science Europe and North America Bulgaria 2005 2005British Psychological Society Europe and North America United Kingdom 2006European Physical Society European European 1998European Federation of Psychologists Association European European 1995 2005Cummins (engineering company) Global Global ?World Medical Association Global Global 1949 1983

International School Psychology Association Global Global 1990 1990Association of Computing Machinery Global Global 1992 1992International Union of Architects Global Global 1999 1999Endocrine Society Global Global 2001 2001

APPENDIX 5

Institute of Physics Global Global 2002Armstrong (engineering company) Global Global 2003International Council of Nurses Global Global 1953 2005Nokia Global Global 1997 2005IOC Global Global 2005Argentine Medical Association South America Argentine 2000 2000

Decade No. of codes Percentage1920s 1 1.75%1930s 0 0.00%1940s 1 1.75%1950s 3 5.26%1960s 2 3.51%1970s 1 1.75%1980s 2 3.51%1990s 21 36.84%2000s 26 45.61%TOTAL 57 100.00%

Date of issuance

0

5

10

15

20

25

30

1920s 1930s 1940s 1950s 1960s 1970s 1980s 1990s 2000s

Decade

No. of codes

APPENDIX 6

Nature No. of codesRegulatory 39Educational 6Aspirational 20Total 65

Synthesis table Nature/Sanctions Regulatory Educational Aspirational Total

Sanctions 22 0 0 22Sanctions No sanctions 11 5 20 36

No sanctions explicitly mentioned 6 1 0 7Total 39 6 20 65

Synthesis table Nature/Disc.body Regulatory Educational Aspirational Total

Disciplinary body 21 1 0 22

Disciplinary bodyNo disciplinary body 12 5 20 37No disciplinary body explicitly mentioned 5 1 0 6Total 38 7 20 65

Synthesis table Nature/Membershi

p Regulatory Educational Aspirational Total

Membership Voluntary 37 7 19 63Mandatory 1 0 0 1Not applicable 0 0 1 1Total 38 7 20 65

Synthesis table Nature/Commitme

nt to code Regulatory Educational Aspirational TotalCommitment to code Voluntary 7 7 17 31

Mandatory 31 0 2 33Not applicable 0 0 1 1Total 38 7 20 65

Synthesis table Nature/Recipient Regulatory Educational Aspirational Total

RecipientMembers/staff of organisation 37 7 12 56Scientists in general 1 0 8 9Total 38 7 20 65

APPENDIX 6

Presence of sanctions

05

10152025303540

Regulatory Educational Aspirational Total

Nature

No

. of

cod

es

Sanctions

No sanctions

No sanctionsexplicitly mentioned

Presence of disciplinary body

05

10152025303540

RegulatoryEducationalAspirational Total

Nature

No

. of

cod

es

Disciplinary body

No disciplinary body

No disciplinary bodyexplicitly mentioned

39

620

65

0

10

20

30

40

50

60

70

No. of codes

Regulatory

Educational

AspirationalTotal

Nature

Nature of codes

APPENDIX 6

Commitment to code

0

5

10

15

20

25

30

35

Regulatory Educational Aspirational Total

Nature

No

of

cod

es

Voluntary

Mandatory

Not applicable

Type of membership in the organisation

010203040506070

Regula

tory

Educa

tiona

l

Aspira

tiona

lTo

tal

Nature

No

. of

cod

es

Voluntary

Mandatory

Not applicable

APPENDIX 7

Statement explicitly referring to a principle Statement not explicitly referring to a principle Statement explicitly referring to a principle Statement not explicitly refering to a principle

Confidentiality of information Avoid and report conflicts of interestEnvironmental responsibility (including sustainable development) Ensure happiness and peace of humankind

Integrity(both professional and patients' integrity) Maintain and upgrade professional competence

Social responsibility (design and implementation of for example IT/engineering products/architecture, avoid harmful effects to health and welfare, have regard to the effect of computer based systems on basic human rights of individuals among the general p Quality of human life

HonestyCooperation with co-workers (give due credit to others' work and show generosity concerning one's own results) Public safety and welfare

Prevent indidividuals from using the ideals of science for populist or demagogic purposes

Report and prevent breach of the code (whistle-blowing: report unethical conduct of colleagues, try to prevent breach against the code) Work within the boundaries of one's own competence Human rights (including non-discrimination) Professional assistance in community affairs

Objectivity (including impartiality)

Follow the institutional policies, regulations, the code of ethics and national laws relevant to the professional acitivities Respect for human dignity

Respect the traditional and cultural values of the countries in which they exercise their profession

Dignity Informed consentEducation and communication of science (need for a more axplanatory statement)

Contributing to the development of our proud traditionnal culture and to the achievement of national unity

Accountability (the state of being answerable for one's decisions and actions)

Respect property rights (incl. proprietary rights, intellectual property rights) Duty to respect the values of the community

Proper use of resources allocated by the community

Respect and tolerance toward colleagues, no discrimination

Opposing the use of science (biotechnology/chemistry/science in general) to develop or produce any biological or other weapons Right and duty to inform the public

Reject bioterrorism as a gross violation of the basic human right to live

FairnessProhibition of scientific fraud (fabrication, falsification or plagiarism of data and texts, incorrect statements)

Eecognizing science as an important element of culture

Work in a manner that their discoveries and knowledge shall not cause damage to people, animals and plants

Safety and welfare of clients, patients and research participants Commit to the education of future generations Respect and development of society

Employees encouraged to serve the community (not professional assistance)

Animal rights and welfare Ethical aspects of authorshipBring ethical aspects into the debate on health and social issues (bioengineer)

Professionalism (incl. statements such as professional quality, effectiveness, high standards of competence, professional responsibility, rigorous scholarship) Ethical aspects of peer reviewing

Not use endangered species, depict animals in a dignified manner

Truthfulness Respect the privacy of individuals

Request that suppliers avoid raw material procurement from an origin where there are clear human or animal rights abuse, or the method of procurement is illegal. Contract only with suppliers who adhere to international human rights and environmental laws

Internal External

APPENDIX 7

Loyalty (to clients, patients, colleagues, employer) Accuracy and transparency in the research processEnhance public understanding of the profession/discipline

OpennessFair competition, antitrust compliance, prevention of bribery and corruption

Enhance/maintain the prestige of the profession

Professional independenceGive unprejudiced, uncompromised and unbiased professional judgements

Beneficence

Prohibition of abuse of privileged positions, exploitation of professional relationships for personal gain, refrain from multiple or exploitative relationships

Non-maleficence Respect for individuals' needs, values, culture, beliefsAutonomy in pursuing scientific research Termination and continuity of care

FaithfulnessActively support colleagues who get into difficulties when acting according to the code of ethics/conduct

Trustworthiness

Advancement of scientific and technical competence to improve human health, Use one's knowledge and expertise to influence distribution of health care resources

Give emergency care as a humanitarian duty unless assured that others are willing and able to give such careNo discrimination in practisingNot work for/with companies of doubtful character or with aims which are against personal conviction (conscience clause)Reflect on the ethical consequences of the workResponsibility of administrator/boss that the staff has easy access to laws and ethical guidelines, that the work to be carried out is compatible with it, and to urge the staff to comply with the code of ethics/conductSelf-determination of clients/patientsSupport the development of scienceWorkplace safety and healthAbide by the research ethics of the country in which cross-cultural studies are performed, avoid actions that violate cultural expectations or reveal culturally biased perspectives while formulating the research problem, executing the study or reporting fAct as a good example to one's subordinatesBefore academic promotion or recruitment a candidate's conduct should be examined rigorously.Encourage questioning (from colleagues and students) and answer criticism objectivelyExplicitly combat superstitions and pseudo-sciencesFreedom of scienceRespect students' knowledge and competence

APPENDIX 7

Respect the principles of democracy and collegiate action mode (regarding decision-making process, professional activities)Seek to change regulations and requirements which are contrary to the best interests of the patientsServe fairly and in proper balance the interests of all groups associated with business.Strive to improve technology and technical knowledge towards more efficient use of resources without causing damage/harm. Treat all biological research material with respect

APPENDIX 8

External No of codesEnvironmental responsibility (including sustainable development) 27Public safety and welfare 25Respect for human dignity 20Social responsibility (responsibility to future generations, design and implementation of for example IT/engineering products/architecture, avoid harmful effects to health and welfare, have regard to the effect of computer based systems on basic human rights of individuals among the general public) 19Enhance/maintain the prestige of the profession 15Human rights (including non-discrimination, (cultural) diversity) 14Enhance public understanding of the profession/discipline 11Education and communication of science to the public (avoiding misleading statements/information) 2Bring ethical aspects into the debate on health and social issues 1Contributing to the development of our proud traditional culture and to the achievement of national unity 1Duty to respect the values of the community 1Employees encouraged to serve the community (not professional assistance) 1Ensure happiness and peace of humankind 1Not use endangered species; depict animals in a dignified manner 1Prevent indidividuals from using the ideals of science for populist or demagogic purposes 1Professional assistance in community affairs 1Proper use of resources allocated by the community 1Quality of human life 1Recognising science as an important element of culture 1Reject bioterrorism as a gross violation of the basic human right to live 1Request that suppliers avoid raw material procurement from an origin where there are clear human or animal rights abuse, or the method of procurement is illegal. Contract only with suppliers who adhere to international human rights and environmental laws and practices. 1Respect and development of society 1Respect the traditional and cultural values of the countries in which one exercises one's profession 1Right and duty to inform the public 1Work in a manner that one's discoveries and knowledge shall not cause damage to people, animals and plants 1

explanatory statement concerning human rights: promoting an environment in which the human rights, values, customs and spiritual beliefs of the individual, family and community are respected+due consideration to cultural diversityPublic safety and welfare: initiating and supporting actions to meet the health and social needs of the public and in particular vulnerable populations

APPENDIX 8

Most recurrent external principles No of codesEnvironmental responsibility 27Public safety and welfare 25Respect for human dignity 20Social responsibility 19Enhance/maintain prestige of the profession 15Human rights 14Enhance public understanding of the profession/discipline 11

Most recurrent external statements

0

5

10

15

20

25

30

Environmental responsibility

Public safety and welfare

Respect for human dignity

Social responsibility

Enhance/maintain prestige of the profession

Human rights

Enhance public understanding of the profession/disci...

No. of codes

APPENDIX 9

Internal statements No. of codesConfidentiality of information 42Maintain/upgrade professional competence 30Avoid and report conflicts of interest 29Honesty 29

Cooperation with co-workers (give due credit to others' work and show generosity concerning one's own results) 28Integrity (includes both professional integrity and the integrity of patients/clients) 28Follow the institutional policies, regulations, the code of ethics and national laws relevant to the professional acitivities 24Work within the boundaries of one's own competence 21Informed consent 20Objectivity (including impartiality) 18Respect property rights (incl. proprietary rights, intellectual property rights) 18Prevent and report unethical conduct (whistle-blowing: report unethical conduct of colleagues, try to prevent breach against the code) 16Accountability (the state of being answerable for one's decisions and actions) 13Respect and tolerance toward colleagues, non-discrimination 13Fairness 12Safety and welfare of clients, patients and research participants 11Opposing the use of science (biotechnology/chemistry/science in general) to develop or produce any biological or other weapons 9Prohibition of scientific fraud (fabrication, falsification or plagiarism of data and texts, incorrect statements) 9Animal rights and welfare 8Professionalism (incl. statements such as professional quality, effectiveness, high standards of competence, professional responsibility, rigorous scholarship) 8Commit to the education of future generations 7Dignity (professional status) 7Ethical aspects of authorship 7Ethical aspects of peer reviewing 7Respect the privacy of individuals 7Truthfulness 6Accuracy and transparency in the research process 4Fair competition, antitrust compliance, prevention of bribery and corruption 4Loyalty (to clients, patients, colleagues, employer) 4Openness 4Professional independence 4Give unprejudiced, uncompromised and unbiased professional judgements 3Prohibition of abuse of privileged positions, exploitation of professional relationships for personal gain, refrain from multiple or exploitative relationships 3Respect for individuals' needs, values, culture, beliefs 3Termination and continuity of care 3Actively support colleagues who get into difficulties when acting according to the code of ethics/conduct 2Advancement of scientific and technical competence to improve human health; use one's knowledge and expertise to influence distribution of health care resources 2Beneficence 2

Give emergency care as a humanitarian duty unless assured that others are willing and able to give such care 2No discrimination in practising 2Non-maleficence 2Not work for/with companies of doubtful character or with aims which are against personal conviction (conscience clause) 2Reflect on the ethical consequences of the work 2Responsibility of administrator/boss that the staff has easy access to laws and ethical guidelines, that the work to be carried out is compatible with it, and to urge the staff to comply with the code of ethics/conduct 2Self-determination of clients/patients 2Support the development of science 2Workplace safety and health 2Abide by the research ethics of the country in which cross-cultural studies are performed, avoid actions that violate cultural expectations or reveal culturally biased perspectives while formulating the research problem, executing the study or reporting findings 1Act as a good example to one's subordinates 1Autonomy in pursuing scientific research 1Before academic promotion or recruitment a candidate's conduct should be examined rigorously. 1Encourage questioning (from colleagues and students) and answer criticism objectively 1Explicitly combat superstitions and pseudo-sciences 1Faithfulness 1Freedom of science 1Respect students' knowledge and competence 1Respect the principles of democracy and collegiate action mode (regarding decision-making process, professional activities) 1Seek to change regulations and requirements which are contrary to the best interests of the patients 1Serve fairly and in proper balance the interests of all groups associated with business 1

APPENDIX 9

Strive to improve technology and technical knowledge towards more efficient use of resources without causing damage/harm 1Treat all biological research material with respect 1Trustworthiness 1

Most recurrent internal statementsConfidentiality of information 42Maintain/upgrade professional competence 30Avoid and report conflicts of interest 29Honesty 29Cooperation with co-workers 28Integrity 28Follow policies, regulations, laws 24Work only in area of competence 21Informed consent 20Objectivity 18Respect property rights 18Prevent and report unethical conduct 16

Most recurrent internal statements

0

5

10

15

20

25

30

35

40

45

Confidentiality of in

formation

Maintain/upgrade professional competence

Avoid and report c

onflicts of in

terestHonesty

Cooperation with co-workersIntegrity

Follow policies, regulations, la

ws

Work only in area of competence

Informed consent

Objectivity

Respect property rig

hts

Prevent and report u

nethical conduct

No. of codes

APPENDIX 10

Synthesis table internal statements/discipline

Internal statement

Physical, mathematical

and engineering

science professionals

(30 codes)

Life science and health

professionals (19 codes)

Other professionals

(13 codes)

Teaching professionals

(3 codes)Total

Confidentiality of information 18 14 10 42Maintain/upgrade professional competence 15 8 7 30Avoid and report conflicts of interest 18 5 5 1 29Honesty 16 5 7 1 29Cooperation with co-workers 12 12 2 2 28Integrity 17 5 6 28Follow policies, regulations, laws 12 7 4 1 24Work only in area of competence 11 6 4 21Informed consent 3 10 7 20Objectivity 10 2 4 2 18Respect property rights 13 3 2 18Prevent and report unethical conduct 7 5 3 1 16

Discipline

APPENDIX 10

Percentage of codes within a certain discipline including a certain internal statement

Internal statement

Physical, mathematical

and engineering

science professionals

(30 codes)

Life science and health

professionals (19 codes)

Other professionals

(13 codes)

Teaching professionals

(3 codes)

Confidentiality of information 60 74 77Maintain/upgrade professional competence 50 42 54Avoid and report conflicts of interest 60 26 38 33Honesty 53 26 54 33Cooperation with co-workers 40 63 15 67

Integrity 57 26 46Follow policies, regulations, laws 40 37 31 33Work only in area of competence 37 32 31Informed consent 10 53 54Objectivity 33 11 31 67Respect property rights 43 16 15Prevent and report unethical conduct 23 26 23 33

Discipline

APPENDIX 10

Synthesis table external statements/discipline

External statement

Physical, mathematical

and engineering

science professionals

(30 codes)

Life science and health

professionals (19 codes)

Other professionals

(13 codes)

Teaching professionals

(3 codes)Total

Environmental responsibility 17 5 5 27Public safety and welfare 12 8 5 25Respect for human dignity (the public, patients, clients) 5 8 7 20Social responsibility 12 3 4 19Enhance the prestige of the organisation 7 6 2 15Enhance public understanding of the profession/discipline 5 2 4 11Human rights 8 5 1 14

Percentage of codes within a certain discipline including a certain external statement

External statement

Physical, mathematical

and engineering

science professionals

(30 codes)

Life science and health

professionals (19 codes)

Other professionals

(13 codes)

Teaching professionals

(3 codes)

Environmental responsibility 57 26 38Public safety and welfare 40 42 38Respect for human dignity (the public, patients, clients) 17 42 54Social responsibility 40 16 31Enhance the prestige of the organisation 23 32 15Enhance public understanding of the profession/discipline 17 11 31Human rights 27 26 8

Discipline

Discipline