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ACM Code of Ethics and Professional Conduct

Using the Code

Case studies.

The ACM Code of Ethics and Professional Practice (“the Code”) is meant to inform practice and education. It is useful as the conscience of the profession, but also for individual decision-making.

As prescribed by the Preamble of the Code, computing professionals should approach the dilemma with a holistic reading of the principles and evaluate the situation with thoughtful consideration to the circumstances. In all cases, the computing professional should defer to the public good as the paramount consideration. The analyses in the following cases highlight the intended interpretations of members of the 2018 Code task force, and should help guide computing professionals in how to apply the Code to various situations.

Case Study: Malware

Rogue Services touts its web hosting as “cheap, guaranteed uptime, no matter what.” While some of Rogue’s clients are independent web-based retailers, most are focused on malware and spam, which leverage Rogue for continuous delivery. Corrupted advertisements often link to code hosted on Rogue to exploit browser vulnerabilities to infect machines with ransomware. Rogue refuses to intervene with these services despite repeated requests.

Case Study: Medical Implants

Corazón is a medical technology startup that builds implantable heart health monitoring devices. After being approved by multiple countries’ medical device regulation agencies, Corazón quickly gained market share based on the ease of use of the app and the company’s vocal commitment to securing patients’ information. Corazón also worked with several charities to provide free or reduced access to patients living below the poverty line.

Case Study: Abusive Workplace Behavior

A new hire with the interactive technologies team, Diane became the target of team leader Max’s tirades when she committed a code update that introduced a timing glitch in a prototype shortly before a live demo. Diane approached the team’s manager, Jean, about Max’s abusive behavior. Jean agreed that the experience was unpleasant, but that was the price to pay for working in an intense, industry-leading team.

Case Study: Automated Active Response Weaponry

Q Industries is an international defense contractor specializing in autonomous vehicles. As an early pioneer in passive systems, such as bomb-defusing robots and crowd-monitoring drones, Q established itself as a vendor of choice for military and law enforcement applications. Q’s products have been deployed in a variety of settings, including conflict zones and nonviolent protests. Recently, however, Q has begun to experiment with automated active responses.

Case Study: Dark UX Patterns

The change request Stewart received was simple: replace the website’s rounded rectangle buttons with arrows, and adjust the color palette to one that mixes red and green text. But he found the prototype confusing. He suggested to his manager that this design would probably trick users into more expensive options they didn’t want. The response was that these were the changes requested by the client.

Case Study: Malicious Inputs to Content Filters

The U.S. Children’s Internet Protection Act (CIPA) mandates that public schools and libraries employ mechanisms to block inappropriate matter on the grounds that it is deemed harmful to minors. Blocker Plus is an automated Internet content filter designed to help these institutions comply with CIPA’s requirements. During a review session, the development team reviewed a number of complaints about content being blocked inappropriately.

Guiding Members with a Framework of Ethical Conduct

Learn more about ACM’s commitment to ethical standards: the ACM Code of Ethics, Software Engineering Code of Ethics and Professional Practice, and Committee on Professional Ethics (COPE), which is guiding these and other intiatives.

Ask an Ethicist

Ask an Ethicist invites ethics questions related to computing or technology. Have an interesting question, puzzle or conundrum? Submit yours via a form, and the ACM Committee on Professional Ethics (COPE) will answer a selection of them on the site.

Guidance in Addressing Real-World Ethical Challenges

The Integrity Project, created by ACM's Committee on Professional Ethics, is a series of resources designed to aid ethical decision making. It includes case studies demonstrating how the principles can be applied to specific ethical challenges, and an Ask an Ethicist advice column to help computing professionals navigate the sometimes challenging choices that can arise in the course of their work.

Supporting the Professionalism of ACM Members

The ACM Committee on Professional Ethics (COPE) is responsible for promoting ethical conduct among computing professionals by publicizing the Code of Ethics and by offering interpretations of the Code; planning and reviewing activities to educate membership in ethical decision making on issues of professional conduct; and reviewing and recommending updates to the Code of Ethics and its guidelines.

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Case Studies

More than 70 cases pair ethics concepts with real world situations. From journalism, performing arts, and scientific research to sports, law, and business, these case studies explore current and historic ethical dilemmas, their motivating biases, and their consequences. Each case includes discussion questions, related videos, and a bibliography.

A Million Little Pieces

James Frey’s popular memoir stirred controversy and media attention after it was revealed to contain numerous exaggerations and fabrications.

Abramoff: Lobbying Congress

Super-lobbyist Abramoff was caught in a scheme to lobby against his own clients. Was a corrupt individual or a corrupt system – or both – to blame?

Apple Suppliers & Labor Practices

Is tech company Apple, Inc. ethically obligated to oversee the questionable working conditions of other companies further down their supply chain?

Approaching the Presidency: Roosevelt & Taft

Some presidents view their responsibilities in strictly legal terms, others according to duty. Roosevelt and Taft took two extreme approaches.

Appropriating “Hope”

Fairey’s portrait of Barack Obama raised debate over the extent to which an artist can use and modify another’s artistic work, yet still call it one’s own.

Arctic Offshore Drilling

Competing groups frame the debate over oil drilling off Alaska’s coast in varying ways depending on their environmental and economic interests.

Banning Burkas: Freedom or Discrimination?

The French law banning women from wearing burkas in public sparked debate about discrimination and freedom of religion.

Birthing Vaccine Skepticism

Wakefield published an article riddled with inaccuracies and conflicts of interest that created significant vaccine hesitancy regarding the MMR vaccine.

Blurred Lines of Copyright

Marvin Gaye’s Estate won a lawsuit against Robin Thicke and Pharrell Williams for the hit song “Blurred Lines,” which had a similar feel to one of his songs.

Bullfighting: Art or Not?

Bullfighting has been a prominent cultural and artistic event for centuries, but in recent decades it has faced increasing criticism for animal rights’ abuse.

Buying Green: Consumer Behavior

Do purchasing green products, such as organic foods and electric cars, give consumers the moral license to indulge in unethical behavior?

Cadavers in Car Safety Research

Engineers at Heidelberg University insist that the use of human cadavers in car safety research is ethical because their research can save lives.

Cardinals’ Computer Hacking

St. Louis Cardinals scouting director Chris Correa hacked into the Houston Astros’ webmail system, leading to legal repercussions and a lifetime ban from MLB.

Cheating: Atlanta’s School Scandal

Teachers and administrators at Parks Middle School adjust struggling students’ test scores in an effort to save their school from closure.

Cheating: Sign-Stealing in MLB

The Houston Astros’ sign-stealing scheme rocked the baseball world, leading to a game-changing MLB investigation and fallout.

Cheating: UNC’s Academic Fraud

UNC’s academic fraud scandal uncovered an 18-year scheme of unchecked coursework and fraudulent classes that enabled student-athletes to play sports.

Cheney v. U.S. District Court

A controversial case focuses on Justice Scalia’s personal friendship with Vice President Cheney and the possible conflict of interest it poses to the case.

Christina Fallin: “Appropriate Culturation?”

After Fallin posted a picture of herself wearing a Plain’s headdress on social media, uproar emerged over cultural appropriation and Fallin’s intentions.

Climate Change & the Paris Deal

While climate change poses many abstract problems, the actions (or inactions) of today’s populations will have tangible effects on future generations.

Cover-Up on Campus

While the Baylor University football team was winning on the field, university officials failed to take action when allegations of sexual assault by student athletes emerged.

Covering Female Athletes

Sports Illustrated stirs controversy when their cover photo of an Olympic skier seems to focus more on her physical appearance than her athletic abilities.

Covering Yourself? Journalists and the Bowl Championship

Can news outlets covering the Bowl Championship Series fairly report sports news if their own polls were used to create the news?

Cyber Harassment

After a student defames a middle school teacher on social media, the teacher confronts the student in class and posts a video of the confrontation online.

Defending Freedom of Tweets?

Running back Rashard Mendenhall receives backlash from fans after criticizing the celebration of the assassination of Osama Bin Laden in a tweet.

Dennis Kozlowski: Living Large

Dennis Kozlowski was an effective leader for Tyco in his first few years as CEO, but eventually faced criminal charges over his use of company assets.

Digital Downloads

File-sharing program Napster sparked debate over the legal and ethical dimensions of downloading unauthorized copies of copyrighted music.

Dr. V’s Magical Putter

Journalist Caleb Hannan outed Dr. V as a trans woman, sparking debate over the ethics of Hannan’s reporting, as well its role in Dr. V’s suicide.

East Germany’s Doping Machine

From 1968 to the late 1980s, East Germany (GDR) doped some 9,000 athletes to gain success in international athletic competitions despite being aware of the unfortunate side effects.

Ebola & American Intervention

Did the dispatch of U.S. military units to Liberia to aid in humanitarian relief during the Ebola epidemic help or hinder the process?

Edward Snowden: Traitor or Hero?

Was Edward Snowden’s release of confidential government documents ethically justifiable?

Ethical Pitfalls in Action

Why do good people do bad things? Behavioral ethics is the science of moral decision-making, which explores why and how people make the ethical (and unethical) decisions that they do.

Ethical Use of Home DNA Testing

The rising popularity of at-home DNA testing kits raises questions about privacy and consumer rights.

Flying the Confederate Flag

A heated debate ensues over whether or not the Confederate flag should be removed from the South Carolina State House grounds.

Freedom of Speech on Campus

In the wake of racially motivated offenses, student protests sparked debate over the roles of free speech, deliberation, and tolerance on campus.

Freedom vs. Duty in Clinical Social Work

What should social workers do when their personal values come in conflict with the clients they are meant to serve?

Full Disclosure: Manipulating Donors

When an intern witnesses a donor making a large gift to a non-profit organization under misleading circumstances, she struggles with what to do.

Gaming the System: The VA Scandal

The Veterans Administration’s incentives were meant to spur more efficient and productive healthcare, but not all administrators complied as intended.

German Police Battalion 101

During the Holocaust, ordinary Germans became willing killers even though they could have opted out from murdering their Jewish neighbors.

Head Injuries & American Football

Many studies have linked traumatic brain injuries and related conditions to American football, creating controversy around the safety of the sport.

Head Injuries & the NFL

American football is a rough and dangerous game and its impact on the players’ brain health has sparked a hotly contested debate.

Healthcare Obligations: Personal vs. Institutional

A medical doctor must make a difficult decision when informing patients of the effectiveness of flu shots while upholding institutional recommendations.

High Stakes Testing

In the wake of the No Child Left Behind Act, parents, teachers, and school administrators take different positions on how to assess student achievement.

In-FUR-mercials: Advertising & Adoption

When the Lied Animal Shelter faces a spike in animal intake, an advertising agency uses its moral imagination to increase pet adoptions.

Krogh & the Watergate Scandal

Egil Krogh was a young lawyer working for the Nixon Administration whose ethics faded from view when asked to play a part in the Watergate break-in.

Limbaugh on Drug Addiction

Radio talk show host Rush Limbaugh argued that drug abuse was a choice, not a disease. He later became addicted to painkillers.

U.S. Olympic swimmer Ryan Lochte’s “over-exaggeration” of an incident at the 2016 Rio Olympics led to very real consequences.

Meet Me at Starbucks

Two black men were arrested after an employee called the police on them, prompting Starbucks to implement “racial-bias” training across all its stores.

Myanmar Amber

Buying amber could potentially fund an ethnic civil war, but refraining allows collectors to acquire important specimens that could be used for research.

Negotiating Bankruptcy

Bankruptcy lawyer Gellene successfully represented a mining company during a major reorganization, but failed to disclose potential conflicts of interest.

Pao & Gender Bias

Ellen Pao stirred debate in the venture capital and tech industries when she filed a lawsuit against her employer on grounds of gender discrimination.

Pardoning Nixon

One month after Richard Nixon resigned from the presidency, Gerald Ford made the controversial decision to issue Nixon a full pardon.

Patient Autonomy & Informed Consent

Nursing staff and family members struggle with informed consent when taking care of a patient who has been deemed legally incompetent.

Prenatal Diagnosis & Parental Choice

Debate has emerged over the ethics of prenatal diagnosis and reproductive freedom in instances where testing has revealed genetic abnormalities.

Reporting on Robin Williams

After Robin Williams took his own life, news media covered the story in great detail, leading many to argue that such reporting violated the family’s privacy.

Responding to Child Migration

An influx of children migrants posed logistical and ethical dilemmas for U.S. authorities while intensifying ongoing debate about immigration.

Retracting Research: The Case of Chandok v. Klessig

A researcher makes the difficult decision to retract a published, peer-reviewed article after the original research results cannot be reproduced.

Sacking Social Media in College Sports

In the wake of questionable social media use by college athletes, the head coach at University of South Carolina bans his players from using Twitter.

Selling Enron

Following the deregulation of electricity markets in California, private energy company Enron profited greatly, but at a dire cost.

Snyder v. Phelps

Freedom of speech was put on trial in a case involving the Westboro Baptist Church and their protesting at the funeral of U.S. Marine Matthew Snyder.

Something Fishy at the Paralympics

Rampant cheating has plagued the Paralympics over the years, compromising the credibility and sportsmanship of Paralympian athletes.

Sports Blogs: The Wild West of Sports Journalism?

Deadspin pays an anonymous source for information related to NFL star Brett Favre, sparking debate over the ethics of “checkbook journalism.”

Stangl & the Holocaust

Franz Stangl was the most effective Nazi administrator in Poland, killing nearly one million Jews at Treblinka, but he claimed he was simply following orders.

Teaching Blackface: A Lesson on Stereotypes

A teacher was put on leave for showing a blackface video during a lesson on racial segregation, sparking discussion over how to teach about stereotypes.

The Astros’ Sign-Stealing Scandal

The Houston Astros rode a wave of success, culminating in a World Series win, but it all came crashing down when their sign-stealing scheme was revealed.

The Central Park Five

Despite the indisputable and overwhelming evidence of the innocence of the Central Park Five, some involved in the case refuse to believe it.

The CIA Leak

Legal and political fallout follows from the leak of classified information that led to the identification of CIA agent Valerie Plame.

The Collapse of Barings Bank

When faced with growing losses, investment banker Nick Leeson took big risks in an attempt to get out from under the losses. He lost.

The Costco Model

How can companies promote positive treatment of employees and benefit from leading with the best practices? Costco offers a model.

The FBI & Apple Security vs. Privacy

How can tech companies and government organizations strike a balance between maintaining national security and protecting user privacy?

The Miss Saigon Controversy

When a white actor was cast for the half-French, half-Vietnamese character in the Broadway production of Miss Saigon , debate ensued.

The Sandusky Scandal

Following the conviction of assistant coach Jerry Sandusky for sexual abuse, debate continues on how much university officials and head coach Joe Paterno knew of the crimes.

The Varsity Blues Scandal

A college admissions prep advisor told wealthy parents that while there were front doors into universities and back doors, he had created a side door that was worth exploring.

Providing radiation therapy to cancer patients, Therac-25 had malfunctions that resulted in 6 deaths. Who is accountable when technology causes harm?

Welfare Reform

The Welfare Reform Act changed how welfare operated, intensifying debate over the government’s role in supporting the poor through direct aid.

Wells Fargo and Moral Emotions

In a settlement with regulators, Wells Fargo Bank admitted that it had created as many as two million accounts for customers without their permission.

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Ethics: To Tell or Not to Tell-A Case Study

By: Lee J. Zook

Winter 2001, Vol. 8, No. 1

by Lee J. Zook, Ph.D.

Some years ago, prior to teaching in undergraduate social work, I was working with families and children in an outpatient psychiatric setting, Children' Agency. In the previous year, I had completed my MSW, having practiced social work several years with an undergraduate degree. The Director of Social Services at the Children' Agency was my supervisor. We used a team model in our work, with any particular team consisting of at least a social worker, a psychologist, and a psychiatrist. Sometimes other professionals, such as educational specialists, early childhood development specialists, and social group workers were also on the teams. I had first-rate colleagues in whom I could confide about clinical and ethical issues. Continuous learning was valued, especially as it related to clinical practice.

While I was at Children' Agency, Mary Jones (a fictitious name) applied for a job as a social worker. Four years earlier, I had seen Mary as a client while working for an emergency service at Adult Hospital, a psychiatric facility for adults.

My contact with Mary had been rather brief at Adult Hospital. She came to be admitted to the hospital as her psychiatric condition was deteriorating. Mary told me she was a social worker with an MSW and had been in and out of psychiatric hospitals for many years. I located her chart, noted that she was previously diagnosed with schizophrenia, undifferentiated type, did the basic paperwork that social workers did on admission, consulted with the admitting psychiatrist, and took her to the hospital ward. It was a rather simple, routine admission; there were no police or court documents, and she was a voluntary client. However, the situation was a bit unsettling. My feelings had to do with the fact that I was leaving my position in the near future to pursue an MSW, and here I was, a young, rather inexperienced, “untrained” social worker, admitting an older, more experienced social worker with an MSW to a psychiatric hospital. However, I went on with my business and put the event in perspective. After all, academic degrees do not preclude a person from having a mental illness.

So now, three years later, I had my MSW, and Mary came for a job interview at Children' Agency where I was employed. I had no responsibility for employment decisions. My supervisor, who was the Director of Social Services, and the psychiatrist, who was also the Executive Director, made these decisions. But I was faced with an uncomfortable dilemma-an ethical dilemma for which I did not see any clear answer.

On one hand, I was concerned about whether Mary would function as a competent professional colleague. Was her illness in remission? If so, would it remain in remission? If not, what would the impact be on clients? Would she be able to function adequately to work with clients who came to the agency? If she would not, would harm come to clients?

On the other hand, my knowledge of her illness was unquestionably confidential. Further, what right or responsibility did I have to suggest that a person who had a mental illness should not be hired? What right or responsibility did I have to divulge information about her (past) condition to anyone?

There was also the possibility that I could speak to Mary and verbalize my concerns to her. Would this be appropriate? Would Mary remember who I was? After three years, did the brief encounter we had give me the prerogative to confront her about her past or ask about her present condition?

The following discussion focuses on the NASW Code of Ethics and how it may be useful in this situation. At the time, I was not this thorough and did not think much about the Code of Ethics. I struggled in my own mind about what to do. If this were occurring now, I would first of all confer with the Code of Ethics. The first sentence of the preamble of the Code states:

The primary mission of the social work profession is to enhance human well-being and help meet the basic human needs of all people, with particular attention to the needs and empowerment of people who are vulnerable, oppressed, and living in poverty.

In this situation, one could contend that clients coming to Children' Agency were the vulnerable people referred to in the Preamble. On the other hand, one could also make a case that Mary, a person who is living with a persistent and long-term mental illness, is a vulnerable person.

As a social worker, I am particularly concerned about creating opportunity for persons with disability. And in this instance, vulnerability of a specific person could be viewed as more important than vulnerability of a general client population.

In further examination of the Code, Section 1.07 Privacy and Confidentiality, paragraph (c) is instructive.

Social workers should protect the confidentiality of all information obtained in the course of professional service, except for compelling professional reasons. The general expectation that social workers will keep information confidential does not apply when disclosure is necessary to prevent serious, foreseeable, and imminent harm to a client or other identifiable person.

This paragraph seems to suggest intervention in the situation with Mary is not appropriate. Do not break confidentiality. However, it also says that there are situations in which confidentiality is not the primary concern. Disclosure of confidential information may be made when it is crucial to “prevent serious, foreseeable, and imminent harm to a client or other identifiable person.” But could I argue that there was such serious, foreseeable and imminent harm to anyone? Would it be appropriate, with the knowledge that I had, to suggest such harm would occur? If the answer to the last question is affirmative, what does that infer about persons with a mental illness?

Other paragraphs in Section 2.09, Impairment of Colleagues, are also on point.

(a) Social workers who have direct knowledge of a social work colleague' impairment that is due to personal problems, psychosocial distress, substance abuse, or mental health difficulties and that interferes with practice effectiveness should consult with that colleague when feasible and assist the colleague in taking remedial action.

(b) Social workers who believe that a social work colleague' impairment interferes with practice effectiveness and that the colleague has not taken adequate steps to address the impairment should take action through appropriate channels established by employers, agencies, NASW, licensing and regulatory bodies, and other professional organizations.

I did have knowledge of Mary' impairment. However, to infer that her impairment would interfere with her work as a professional social worker could be seen as prejudiced toward persons with a mental illness. Did I have enough information about Mary to “consult” with Mary as paragraph (a) suggests?

Further, Section 4.02, Discrimination, states that: “Social workers should not practice, condone, facilitate, or collaborate with any form of discrimination on the basis of race, ethnicity, national origin, color, sex, sexual orientation, age, marital status, political belief, religion, or mental or physical disability.” (Italics added.) This suggests that revealing anything about Mary' condition or even confronting Mary with the situation would be discriminatory.

Finally, since Mary was a professional, didn’t she have the responsibility to make sure her “mental health difficulties” did not interfere with her professional judgment and performance as is stated in Section 4.05, Impairment, paragraph a?

(a) Social workers should not allow their own personal problems, psychosocial distress, legal problems, substance abuse, or mental health difficulties to interfere with their professional judgment and performance or to jeopardize the best interests of people for whom they have a professional responsibility.

Paragraph b. of Section 4.05, Impairment goes on to say, in part, that social workers whose “mental health difficulties interfere with their professional judgment and performance” need to seek help, make adjustments in their work situation, or quit practicing.

Doesn’t this mean that since Mary is a professional, she needs to deal with these issues? If that is the case, what is my role?

Obviously, the Code is not a clear set of rules. Rather, it gives guidance to social workers. While it is instructive, the Code does not specify what course of action is best in all instances. As stated in the Preamble, “Core values, and the principles that flow from them, must be balanced within the context and complexity of the human experience.” Professional judgment also comes into play in making ethical decisions.

In summary, there seemed to be no ideal course of action in this situation. I did not know how to predict what would happen if I talked with Mary. It is conceivable that I would have a colleague who was less than happy with my reminding her of her illness. If I did intervene by reporting to persons responsible for hiring, confidential information would be divulged. I could be identified as practicing discrimination toward persons with a mental illness. If I did not intervene, and she was hired, harm could come to clients.

There seemed to be no ideal answer and no way to avoid the situation. There may have been other options, but none seemed apparent to me at the time.

When I relate this case in class, I ask students to work in groups, make a decision, and explain to the rest of the class how they came to their conclusion. Obviously, the Code of Ethics should be a guide in such decisions. But other questions about how to make these types of decisions are also important. Is it appropriate to discuss such issues with my other colleagues? If yes, under what circumstances should such issues be discussed, formally or informally? Should a professional social worker consult with the National Association of Social Workers about such a decision? In general, should a supervisor be consulted about such decisions? In this instance, this would not have seemed appropriate, as the supervisor was also the person in charge of hiring.

In conclusion, there are times in social work practice when professionals are placed in situations, through no wrongdoing on anybody' part, in which dilemmas occur because of a conflict in values or ethical principles within the situation itself. In those situations, it is not a matter of choosing good versus evil, or choosing right versus wrong. It is a matter of choosing between the better of two goods or, possibly more often, the lesser of two evils. Making those decisions is often not pleasant. In fact, it can be quite anxiety provoking. But it is also impossible to side step the issue when doing nothing will predictably yield a certain outcome.

I would welcome a discussion about this case. What would you do? How would you decide what you would do? What besides the Code of Ethics should aid one in making this decision? These are some of the questions that we could discuss together.

National Association of Social Workers. (1999). NASW Code of Ethics. Available online at http://www.socialworkers.org/Code/ethics.htm .

Lee J. Zook, Ph.D., is Associate Professor of Social Work at Luther College in Decorah, Iowa.

Copyright © 2001 White Hat Communications. All rights reserved. From THE NEW SOCIAL WORKER , Winter 2001, Vol. 8, No. 1. For reprints of this or other articles from THE NEW SOCIAL WORKER (or for permission to reprint), contact Linda Grobman, publisher/editor, at P.O. Box 5390, Harrisburg, PA 17110-0390, or at [email protected] .

All material published on this website Copyright 1994-2023 White Hat Communications. All rights reserved. Please contact the publisher for permission to reproduce or reprint any materials on this site. Opinions expressed on this site are the opinions of the writer and do not necessarily represent the views of the publisher. As an Amazon Associate, we earn from qualifying purchases.

Doha Declaration

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• Limitations Permitted by Human Rights Law
• Derogation during Public Emergency
• Examples of States of Emergency & Derogations
• International Human Rights Instruments
• Regional Human Rights Instruments
• Extra-territorial Application of Right to Life
• Arbitrary Deprivation of Life
• Death Penalty
• Enforced Disappearances
• Armed Conflict Context
• International Covenant on Civil and Political Rights
• Convention against Torture et al.
• International Legal Framework
• Key Contemporary Issues
• Investigative Phase
• Trial & Sentencing Phase
• Armed Conflict
• Case Studies
• Special Investigative Techniques
• Surveillance & Interception of Communications
• Privacy & Intelligence Gathering in Armed Conflict
• Accountability & Oversight of Intelligence Gathering
• Principle of Non-Discrimination
• Freedom of Religion
• Freedom of Expression
• Freedom of Assembly
• Freedom of Association
• Fundamental Freedoms
• Definition of 'Victim'
• Effects of Terrorism
• Access to Justice
• Recognition of the Victim
• Human Rights Instruments
• Criminal Justice Mechanisms
• Instruments for Victims of Terrorism
• National Approaches
• Key Challenges in Securing Reparation
• Topic 1. Contemporary issues relating to conditions conducive both to the spread of terrorism and the rule of law
• Topic 2. Contemporary issues relating to the right to life
• Topic 3. Contemporary issues relating to foreign terrorist fighters
• Topic 4. Contemporary issues relating to non-discrimination and fundamental freedoms
• Module 16: Linkages between Organized Crime and Terrorism
• Thematic Areas
• Content Breakdown
• Module Adaptation & Design Guidelines
• Teaching Methods
• Acknowledgements
• 1. Introducing United Nations Standards & Norms on CPCJ vis-à-vis International Law
• 2. Scope of United Nations Standards & Norms on CPCJ
• 3. United Nations Standards & Norms on CPCJ in Operation
• 1. Definition of Crime Prevention
• 2. Key Crime Prevention Typologies
• 2. (cont.) Tonry & Farrington’s Typology
• 3. Crime Problem-Solving Approaches
• 4. What Works
• United Nations Entities
• Regional Crime Prevention Councils/Institutions
• Key Clearinghouses
• Systematic Reviews
• 1. Introduction to International Standards & Norms
• 2. Identifying the Need for Legal Aid
• 3. Key Components of the Right of Access to Legal Aid
• 4. Access to Legal Aid for Those with Specific Needs
• 5. Models for Governing, Administering and Funding Legal Aid
• 6. Models for Delivering Legal Aid Services
• 7. Roles and Responsibilities of Legal Aid Providers
• 8. Quality Assurance and Legal Aid Services
• 1. Context for Use of Force by Law Enforcement Officials
• 2. Legal Framework
• 3. General Principles of Use of Force in Law Enforcement
• 4. Use of Firearms
• 5. Use of “Less-Lethal” Weapons
• 6. Protection of Especially Vulnerable Groups
• 7. Use of Force during Assemblies
• 1. Policing in democracies & need for accountability, integrity, oversight
• 2. Key mechanisms & actors in police accountability, oversight
• 3. Crosscutting & contemporary issues in police accountability
• 1. Introducing Aims of Punishment, Imprisonment & Prison Reform
• 2. Current Trends, Challenges & Human Rights
• 3. Towards Humane Prisons & Alternative Sanctions
• 1. Aims and Significance of Alternatives to Imprisonment
• 2. Justifying Punishment in the Community
• 3. Pretrial Alternatives
• 4. Post Trial Alternatives
• 5. Evaluating Alternatives
• 1. Concept, Values and Origin of Restorative Justice
• 2. Overview of Restorative Justice Processes
• 3. How Cost Effective is Restorative Justice?
• 4. Issues in Implementing Restorative Justice
• 1. Gender-Based Discrimination & Women in Conflict with the Law
• 2. Vulnerabilities of Girls in Conflict with the Law
• 3. Discrimination and Violence against LGBTI Individuals
• 4. Gender Diversity in Criminal Justice Workforce
• 1. Ending Violence against Women
• 2. Human Rights Approaches to Violence against Women
• 3. Who Has Rights in this Situation?
• 4. What about the Men?
• 5. Local, Regional & Global Solutions to Violence against Women & Girls
• 1. Understanding the Concept of Victims of Crime
• 2. Impact of Crime, including Trauma
• 3. Right of Victims to Adequate Response to their Needs
• 4. Collecting Victim Data
• 5. Victims and their Participation in Criminal Justice Process
• 6. Victim Services: Institutional and Non-Governmental Organizations
• 7. Outlook on Current Developments Regarding Victims
• 8. Victims of Crime and International Law
• 1. The Many Forms of Violence against Children
• 2. The Impact of Violence on Children
• 3. States' Obligations to Prevent VAC and Protect Child Victims
• 4. Improving the Prevention of Violence against Children
• 5. Improving the Criminal Justice Response to VAC
• 6. Addressing Violence against Children within the Justice System
• 1. The Role of the Justice System
• 2. Convention on the Rights of the Child & International Legal Framework on Children's Rights
• 3. Justice for Children
• 4. Justice for Children in Conflict with the Law
• 5. Realizing Justice for Children
• 1a. Judicial Independence as Fundamental Value of Rule of Law & of Constitutionalism
• 1b. Main Factors Aimed at Securing Judicial Independence
• 2a. Public Prosecutors as ‘Gate Keepers’ of Criminal Justice
• 2b. Institutional and Functional Role of Prosecutors
• 2c. Other Factors Affecting the Role of Prosecutors
• Basics of Computing
• Global Connectivity and Technology Usage Trends
• Cybercrime in Brief
• Cybercrime Trends
• Cybercrime Prevention
• Offences against computer data and systems
• Computer-related offences
• Content-related offences
• The Role of Cybercrime Law
• Harmonization of Laws
• International and Regional Instruments
• International Human Rights and Cybercrime Law
• Digital Evidence
• Digital Forensics
• Standards and Best Practices for Digital Forensics
• Reporting Cybercrime
• Who Conducts Cybercrime Investigations?
• Obstacles to Cybercrime Investigations
• Knowledge Management
• Legal and Ethical Obligations
• Handling of Digital Evidence
• Digital Evidence Admissibility
• Sovereignty and Jurisdiction
• Formal International Cooperation Mechanisms
• Informal International Cooperation Mechanisms
• Data Retention, Preservation and Access
• Challenges Relating to Extraterritorial Evidence
• National Capacity and International Cooperation
• Internet Governance
• Cybersecurity Strategies: Basic Features
• National Cybersecurity Strategies
• International Cooperation on Cybersecurity Matters
• Cybersecurity Posture
• Assets, Vulnerabilities and Threats
• Vulnerability Disclosure
• Cybersecurity Measures and Usability
• Situational Crime Prevention
• Incident Detection, Response, Recovery & Preparedness
• Privacy: What it is and Why it is Important
• Privacy and Security
• Cybercrime that Compromises Privacy
• Data Protection Legislation
• Data Breach Notification Laws
• Enforcement of Privacy and Data Protection Laws
• Intellectual Property: What it is
• Types of Intellectual Property
• Causes for Cyber-Enabled Copyright & Trademark Offences
• Protection & Prevention Efforts
• Online Child Sexual Exploitation and Abuse
• Cyberstalking and Cyberharassment
• Cyberbullying
• Gender-Based Interpersonal Cybercrime
• Interpersonal Cybercrime Prevention
• Cyber Organized Crime: What is it?
• Conceptualizing Organized Crime & Defining Actors Involved
• Criminal Groups Engaging in Cyber Organized Crime
• Cyber Organized Crime Activities
• Preventing & Countering Cyber Organized Crime
• Cyberespionage
• Cyberterrorism
• Cyberwarfare
• Information Warfare, Disinformation & Electoral Fraud
• Responses to Cyberinterventions
• Framing the Issue of Firearms
• Direct Impact of Firearms
• Indirect Impacts of Firearms on States or Communities
• International and National Responses
• Typology and Classification of Firearms
• Common Firearms Types
• 'Other' Types of Firearms
• Parts and Components
• History of the Legitimate Arms Market
• Need for a Legitimate Market
• Key Actors in the Legitimate Market
• Authorized & Unauthorized Arms Transfers
• Illegal Firearms in Social, Cultural & Political Context
• Supply, Demand & Criminal Motivations
• Larger Scale Firearms Trafficking Activities
• Smaller Scale Trafficking Activities
• Sources of Illicit Firearms
• Consequences of Illicit Markets
• International Public Law & Transnational Law
• International Instruments with Global Outreach
• Commonalities, Differences & Complementarity between Global Instruments
• Tools to Support Implementation of Global Instruments
• Other United Nations Processes
• The Sustainable Development Goals
• Multilateral & Regional Instruments
• Scope of National Firearms Regulations
• National Firearms Strategies & Action Plans
• Harmonization of National Legislation with International Firearms Instruments
• Assistance for Development of National Firearms Legislation
• Firearms Trafficking as a Cross-Cutting Element
• Organized Crime and Organized Criminal Groups
• Criminal Gangs
• Terrorist Groups
• Interconnections between Organized Criminal Groups & Terrorist Groups
• Gangs - Organized Crime & Terrorism: An Evolving Continuum
• International Response
• International and National Legal Framework
• Firearms Related Offences
• Role of Law Enforcement
• Firearms as Evidence
• Use of Special Investigative Techniques
• International Cooperation and Information Exchange
• Prosecution and Adjudication of Firearms Trafficking
• Teaching Methods & Principles
• Ethical Learning Environments
• Overview of Modules
• Module Adaption & Design Guidelines
• Table of Exercises
• Basic Terms
• Forms of Gender Discrimination
• Ethics of Care
• Case Studies for Professional Ethics
• Case Studies for Role Morality
• Additional Exercises
• Defining Organized Crime
• Definition in Convention
• Similarities & Differences
• Activities, Organization, Composition
• Thinking Critically Through Fiction
• Excerpts of Legislation
• Research & Independent Study Questions
• Legal Definitions of Organized Crimes
• Criminal Association
• Definitions in the Organized Crime Convention
• Criminal Organizations and Enterprise Laws
• Enabling Offence: Obstruction of Justice
• Drug Trafficking
• Wildlife & Forest Crime
• Counterfeit Products Trafficking
• Falsified Medical Products
• Trafficking in Cultural Property
• Trafficking in Persons
• Case Studies & Exercises
• Extortion Racketeering
• Loansharking
• Links to Corruption
• Bribery versus Extortion
• Money-Laundering
• Liability of Legal Persons
• How much Organized Crime is there?
• Alternative Ways for Measuring
• Measuring Product Markets
• Risk Assessment
• Key Concepts of Risk Assessment
• Risk Assessment of Organized Crime Groups
• Risk Assessment of Product Markets
• Risk Assessment in Practice
• Positivism: Environmental Influences
• Classical: Pain-Pleasure Decisions
• Structural Factors
• Ethical Perspective
• Crime Causes & Facilitating Factors
• Models and Structure
• Hierarchical Model
• Local, Cultural Model
• Enterprise or Business Model
• Groups vs Activities
• Networked Structure
• Jurisdiction
• Investigators of Organized Crime
• Controlled Deliveries
• Physical & Electronic Surveillance
• Undercover Operations
• Financial Analysis
• Use of Informants
• Rights of Victims & Witnesses
• Role of Prosecutors
• Adversarial vs Inquisitorial Legal Systems
• Mitigating Punishment
• Granting Immunity from Prosecution
• Witness Protection
• Aggravating & Mitigating Factors
• Sentencing Options
• Alternatives to Imprisonment
• Death Penalty & Organized Crime
• Backgrounds of Convicted Offenders
• Confiscation
• Confiscation in Practice
• Mutual Legal Assistance (MLA)
• Extradition
• Transfer of Criminal Proceedings
• Transfer of Sentenced Persons
• Module 12: Prevention of Organized Crime
• Adoption of Organized Crime Convention
• Historical Context
• Features of the Convention
• Related international instruments
• Conference of the Parties
• Roles of Participants
• Structure and Flow
• Recommended Topics
• Background Materials
• What is Sex / Gender / Intersectionality?
• Knowledge about Gender in Organized Crime
• Gender and Organized Crime
• Gender and Different Types of Organized Crime
• Definitions and Terminology
• Organized crime and Terrorism - International Legal Framework
• International Terrorism-related Conventions
• UNSC Resolutions on Terrorism
• Organized Crime Convention and its Protocols
• Theoretical Frameworks on Linkages between Organized Crime and Terrorism
• Typologies of Criminal Behaviour Associated with Terrorism
• Terrorism and Drug Trafficking
• Terrorism and Trafficking in Weapons
• Terrorism, Crime and Trafficking in Cultural Property
• Trafficking in Persons and Terrorism
• Intellectual Property Crime and Terrorism
• Kidnapping for Ransom and Terrorism
• Exploitation of Natural Resources and Terrorism
• Review and Assessment Questions
• Research and Independent Study Questions
• Criminalization of Smuggling of Migrants
• UNTOC & the Protocol against Smuggling of Migrants
• Offences under the Protocol
• Financial & Other Material Benefits
• Aggravating Circumstances
• Criminal Liability
• Non-Criminalization of Smuggled Migrants
• Scope of the Protocol
• Humanitarian Exemption
• Migrant Smuggling v. Irregular Migration
• Migrant Smuggling vis-a-vis Other Crime Types
• Other Resources
• Assistance and Protection in the Protocol
• International Human Rights and Refugee Law
• Vulnerable groups
• Positive and Negative Obligations of the State
• Identification of Smuggled Migrants
• Participation in Legal Proceedings
• Role of Non-Governmental Organizations
• Smuggled Migrants & Other Categories of Migrants
• Short-, Mid- and Long-Term Measures
• Criminal Justice Reponse: Scope
• Investigative & Prosecutorial Approaches
• Different Relevant Actors & Their Roles
• Testimonial Evidence
• Financial Investigations
• Non-Governmental Organizations
• ‘Outside the Box’ Methodologies
• Intra- and Inter-Agency Coordination
• Admissibility of Evidence
• International Cooperation
• Exchange of Information
• Non-Criminal Law Relevant to Smuggling of Migrants
• Administrative Approach
• Complementary Activities & Role of Non-criminal Justice Actors
• Macro-Perspective in Addressing Smuggling of Migrants
• Human Security
• International Aid and Cooperation
• Migration & Migrant Smuggling
• Mixed Migration Flows
• Social Politics of Migrant Smuggling
• Vulnerability
• Profile of Smugglers
• Role of Organized Criminal Groups
• Humanitarianism, Security and Migrant Smuggling
• Crime of Trafficking in Persons
• The Issue of Consent
• The Purpose of Exploitation
• The abuse of a position of vulnerability
• Indicators of Trafficking in Persons
• Distinction between Trafficking in Persons and Other Crimes
• Misconceptions Regarding Trafficking in Persons
• Root Causes
• Supply Side Prevention Strategies
• Demand Side Prevention Strategies
• Role of the Media
• Safe Migration Channels
• Crime Prevention Strategies
• Monitoring, Evaluating & Reporting on Effectiveness of Prevention
• Trafficked Persons as Victims
• Protection under the Protocol against Trafficking in Persons
• Broader International Framework
• State Responsibility for Trafficking in Persons
• Identification of Victims
• Principle of Non-Criminalization of Victims
• Criminal Justice Duties Imposed on States
• Role of the Criminal Justice System
• Current Low Levels of Prosecutions and Convictions
• Challenges to an Effective Criminal Justice Response
• Rights of Victims to Justice and Protection
• Potential Strategies to “Turn the Tide”
• State Cooperation with Civil Society
• Civil Society Actors
• The Private Sector
• Comparing SOM and TIP
• Differences and Commonalities
• Vulnerability and Continuum between SOM & TIP
• Labour Exploitation
• Forced Marriage
• Other Examples
• Children on the Move
• Protecting Smuggled and Trafficked Children
• Protection in Practice
• Children Alleged as Having Committed Smuggling or Trafficking Offences
• Basic Terms - Gender and Gender Stereotypes
• International Legal Frameworks and Definitions of TIP and SOM
• Global Overview on TIP and SOM
• Gender and Migration
• Key Debates in the Scholarship on TIP and SOM
• Gender and TIP and SOM Offenders
• Responses to TIP and SOM
• Use of Technology to Facilitate TIP and SOM
• Technology Facilitating Trafficking in Persons
• Technology in Smuggling of Migrants
• Using Technology to Prevent and Combat TIP and SOM
• Privacy and Data Concerns
• Emerging Trends
• Demand and Consumption
• Supply and Demand
• Implications of Wildlife Trafficking
• Legal and Illegal Markets
• Perpetrators and their Networks
• Locations and Activities relating to Wildlife Trafficking
• Environmental Protection & Conservation
• CITES & the International Trade in Endangered Species
• Organized Crime & Corruption
• Animal Welfare
• Criminal Justice Actors and Agencies
• Criminalization of Wildlife Trafficking
• Challenges for Law Enforcement
• Investigation Measures and Detection Methods
• Prosecution and Judiciary
• Wild Flora as the Target of Illegal Trafficking
• Purposes for which Wild Flora is Illegally Targeted
• How is it Done and Who is Involved?
• Consequences of Harms to Wild Flora
• Terminology
• Background: Communities and conservation: A history of disenfranchisement
• Incentives for communities to get involved in illegal wildlife trafficking: the cost of conservation
• Incentives to participate in illegal wildlife, logging and fishing economies
• International and regional responses that fight wildlife trafficking while supporting IPLCs
• Mechanisms for incentivizing community conservation and reducing wildlife trafficking
• Critiques of community engagement
• Other challenges posed by wildlife trafficking that affect local populations
• Global Podcast Series
• Apr. 2021: Call for Expressions of Interest: Online training for academics from francophone Africa
• Feb. 2021: Series of Seminars for Universities of Central Asia
• Dec. 2020: UNODC and TISS Conference on Access to Justice to End Violence
• Nov. 2020: Expert Workshop for University Lecturers and Trainers from the Commonwealth of Independent States
• Oct. 2020: E4J Webinar Series: Youth Empowerment through Education for Justice
• Interview: How to use E4J's tool in teaching on TIP and SOM
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University Module Series: Integrity & Ethics

Module 12: integrity, ethics and law.

  This module is a resource for lecturers  

Case studies.

Choose one or more of the following case studies and lead a discussion which allows students to address and debate issues of integrity, ethics and law. If time allows, let the students vote on which case studies they want to discuss.

For lecturers teaching large classes, case studies with multiple parts and different methods of solution lend themselves well to the group size and energy in such an environment. Lecturers can begin by having students vote on which case study they prefer. Lecturers could break down analysis of the chosen case study into steps which appear to students in sequential order, thereby ensuring that larger groups stay on track. Lecturers may instruct students to discuss questions in a small group without moving from their seat, and nominate one person to speak for the group if called upon. There is no need to provide excessive amounts of time for group discussion, as ideas can be developed further with the class as a whole. Lecturers can vary the group they call upon to encourage responsive participation.

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Ethics Ethics Case Studies

The SPJ Code of Ethics is voluntarily embraced by thousands of journalists, regardless of place or platform, and is widely used in newsrooms and classrooms as a guide for ethical behavior. The code is intended not as a set of "rules" but as a resource for ethical decision-making. It is not — nor can it be under the First Amendment — legally enforceable. For an expanded explanation, please follow this link .

For journalism instructors and others interested in presenting ethical dilemmas for debate and discussion, SPJ has a useful resource. We've been collecting a number of case studies for use in workshops. The Ethics AdviceLine operated by the Chicago Headline Club and Loyola University also has provided a number of examples. There seems to be no shortage of ethical issues in journalism these days. Please feel free to use these examples in your classes, speeches, columns, workshops or other modes of communication.

Kobe Bryant’s Past: A Tweet Too Soon? On January 26, 2020, Kobe Bryant died at the age of 41 in a helicopter crash in the Los Angeles area. While the majority of social media praised Bryant after his death, within a few hours after the story broke, Felicia Sonmez, a reporter for The Washington Post , tweeted a link to an article from 2003 about the allegations of sexual assault against Bryant. The question: Is there a limit to truth-telling? How long (if at all) should a journalist wait after a person’s death before resurfacing sensitive information about their past?

A controversial apology After photographs of a speech and protests at Northwestern University appeared on the university's newspaper's website, some of the participants contacted the newspaper to complain. It became a “firestorm,” — first from students who felt victimized, and then, after the newspaper apologized, from journalists and others who accused the newspaper of apologizing for simply doing its job. The question: Is an apology the appropriate response? Is there something else the student journalists should have done?

Using the ‘Holocaust’ Metaphor People for the Ethical Treatment of Animals, or PETA, is a nonprofit animal rights organization known for its controversial approach to communications and public relations. In 2003, PETA launched a new campaign, named “Holocaust on Your Plate,” that compares the slaughter of animals for human use to the murder of 6 million Jews in WWII. The question: Is “Holocaust on Your Plate” ethically wrong or a truthful comparison?

Aaargh! Pirates! (and the Press) As collections of songs, studio recordings from an upcoming album or merely unreleased demos, are leaked online, these outlets cover the leak with a breaking story or a blog post. But they don’t stop there. Rolling Stone and Billboard often also will include a link within the story to listen to the songs that were leaked. The question: If Billboard and Rolling Stone are essentially pointing readers in the right direction, to the leaked music, are they not aiding in helping the Internet community find the material and consume it?

Reigning on the Parade Frank Whelan, a features writer who also wrote a history column for the Allentown, Pennsylvania, Morning Call , took part in a gay rights parade in June 2006 and stirred up a classic ethical dilemma. The situation raises any number of questions about what is and isn’t a conflict of interest. The question: What should the “consequences” be for Frank Whelan?

Controversy over a Concert Three former members of the Eagles rock band came to Denver during the 2004 election campaign to raise money for a U.S. Senate candidate, Democrat Ken Salazar. John Temple, editor and publisher of the Rocky Mountain News, advised his reporters not to go to the fundraising concerts. The question: Is it fair to ask newspaper staffers — or employees at other news media, for that matter — not to attend events that may have a political purpose? Are the rules different for different jobs at the news outlet?

Deep Throat, and His Motive The Watergate story is considered perhaps American journalism’s defining accomplishment. Two intrepid young reporters for The Washington Post , carefully verifying and expanding upon information given to them by sources they went to great lengths to protect, revealed brutally damaging information about one of the most powerful figures on Earth, the American president. The question: Is protecting a source more important than revealing all the relevant information about a news story?

When Sources Won’t Talk The SPJ Code of Ethics offers guidance on at least three aspects of this dilemma. “Test the accuracy of information from all sources and exercise care to avoid inadvertent error.” One source was not sufficient in revealing this information. The question: How could the editors maintain credibility and remain fair to both sides yet find solid sources for a news tip with inflammatory allegations?

A Suspect “Confession” John Mark Karr, 41, was arrested in mid-August in Bangkok, Thailand, at the request of Colorado and U.S. officials. During questioning, he confessed to the murder of JonBenet Ramsey. Karr was arrested after Michael Tracey, a journalism professor at the University of Colorado, alerted authorities to information he had drawn from e-mails Karr had sent him over the past four years. The question: Do you break a confidence with your source if you think it can solve a murder — or protect children half a world away?

Who’s the “Predator”? “To Catch a Predator,” the ratings-grabbing series on NBC’s Dateline, appeared to catch on with the public. But it also raised serious ethical questions for journalists. The question: If your newspaper or television station were approached by Perverted Justice to participate in a “sting” designed to identify real and potential perverts, should you go along, or say, “No thanks”? Was NBC reporting the news or creating it?

The Media’s Foul Ball The Chicago Cubs in 2003 were five outs from advancing to the World Series for the first time since 1945 when a 26-year-old fan tried to grab a foul ball, preventing outfielder Moises Alou from catching it. The hapless fan's identity was unknown. But he became recognizable through televised replays as the young baby-faced man in glasses, a Cubs baseball cap and earphones who bobbled the ball and was blamed for costing the Cubs a trip to the World Series. The question: Given the potential danger to the man, should he be identified by the media?

Publishing Drunk Drivers’ Photos When readers of The Anderson News picked up the Dec. 31, 1997, issue of the newspaper, stripped across the top of the front page was a New Year’s greeting and a warning. “HAVE A HAPPY NEW YEAR,” the banner read. “But please don’t drink and drive and risk having your picture published.” Readers were referred to the editorial page where White explained that starting in January 1998 the newspaper would publish photographs of all persons convicted of drunken driving in Anderson County. The question: Is this an appropriate policy for a newspaper?

Naming Victims of Sex Crimes On January 8, 2007, 13-year-old Ben Ownby disappeared while walking home from school in Beaufort, Missouri. A tip from a school friend led police on a frantic four-day search that ended unusually happily: the police discovered not only Ben, but another boy as well—15-year-old Shawn Hornbeck, who, four years earlier, had disappeared while riding his bike at the age of 11. Media scrutiny on Shawn’s years of captivity became intense. The question: Question: Should children who are thought to be the victims of sexual abuse ever be named in the media? What should be done about the continued use of names of kidnap victims who are later found to be sexual assault victims? Should use of their names be discontinued at that point?

A Self-Serving Leak San Francisco Chronicle reporters Mark Fainaru-Wada and Lance Williams were widely praised for their stories about sports figures involved with steroids. They turned their investigation into a very successful book, Game of Shadows . And they won the admiration of fellow journalists because they were willing to go to prison to protect the source who had leaked testimony to them from the grand jury investigating the BALCO sports-and-steroids. Their source, however, was not quite so noble. The question: Should the two reporters have continued to protect this key source even after he admitted to lying? Should they have promised confidentiality in the first place?

The Times and Jayson Blair Jayson Blair advanced quickly during his tenure at The New York Times , where he was hired as a full-time staff writer after his internship there and others at The Boston Globe and The Washington Post . Even accusations of inaccuracy and a series of corrections to his reports on Washington, D.C.-area sniper attacks did not stop Blair from moving on to national coverage of the war in Iraq. But when suspicions arose over his reports on military families, an internal review found that he was fabricating material and communicating with editors from his Brooklyn apartment — or within the Times building — rather than from outside New York. The question: How does the Times investigate problems and correct policies that allowed the Blair scandal to happen?

Cooperating with the Government It began on Jan. 18, 2005, and ended two weeks later after the longest prison standoff in recent U.S. history. The question: Should your media outlet go along with the state’s request not to release the information?

Offensive Images Caricatures of the Prophet Muhammad didn’t cause much of a stir when they were first published in September 2005. But when they were republished in early 2006, after Muslim leaders called attention to the 12 images, it set off rioting throughout the Islamic world. Embassies were burned; people were killed. After the rioting and killing started, it was difficult to ignore the cartoons. Question: Do we publish the cartoons or not?

The Sting Perverted-Justice.com is a Web site that can be very convenient for a reporter looking for a good story. But the tactic raises some ethical questions. The Web site scans Internet chat rooms looking for men who can be lured into sexually explicit conversations with invented underage correspondents. Perverted-Justice posts the men’s pictures on its Web site. Is it ethically defensible to employ such a sting tactic? Should you buy into the agenda of an advocacy group — even if it’s an agenda as worthy as this one?

A Media-Savvy Killer Since his first murder in 1974, the “BTK” killer — his own acronym, for “bind, torture, kill” — has sent the Wichita Eagle four letters and one poem. How should a newspaper, or other media outlet, handle communications from someone who says he’s guilty of multiple sensational crimes? And how much should it cooperate with law enforcement authorities?

A Congressman’s Past The (Portland) Oregonian learned that a Democratic member of the U.S. Congress, up for re-election to his fourth term, had been accused by an ex-girlfriend of a sexual assault some 28 years previously. But criminal charges never were filed, and neither the congressman, David Wu, nor his accuser wanted to discuss the case now, only weeks before the 2004 election. Question: Should The Oregonian publish this story?

Using this Process to Craft a Policy It used to be that a reporter would absolutely NEVER let a source check out a story before it appeared. But there has been growing acceptance of the idea that it’s more important to be accurate than to be independent. Do we let sources see what we’re planning to write? And if we do, when?

SPJ News –  SPJ strongly condemns Oklahoma Dept. of Ed. for denying journalists access to news conference –  $175M California journalism agreement sparks debate on industry impact and inclusivity –  SPJ celebrates the release of Wall Street Journal reporter Evan Gershkovich

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Case Studies

The ACM Code of Ethics and Professional Practice (“the Code”) is meant to be a  useful code, a document that can inform practice and education. It is useful as the conscience of the profession, but also for individual decision-making. The following resources may be of use in learning to apply the Code to your own situation.

Proactive CARE for Computing Professionals

• Proactive CARE for Computing Professionals : When faced with complex situations, it is helpful to use a guided ethical process that leads to informed decisions. Proactive CARE (Consider, Analyze, Review, and Evaluate) uses a set of questions derived from the Code to help computing professionals think through such issues.

ACM Tech Talks

• Don Gotterbarn and Marty J. Wolf, “Leveraging the ACM Code Of Ethics against ethical snake oil and dodgy development.” June 8, 2020. [ Slides ]

As prescribed by the Preamble of the Code, computing professionals should approach the dilemma with a holistic reading of the principles and evaluate the situation with thoughtful consideration to the circumstances. In all cases, the computing professional should defer to the public good as the paramount consideration. The analyses in the following cases highlight the intended interpretations of members of the 2018 Code task force.

• Malware Disruption : Security vendors and government organizations collaborate to disrupt the operation of an ISP that hosts malware.
• Medical Implant Risk Analysis : A medical implant device maker creates a smart phone application to monitor and control the device.
• Abusive Workplace Behavior : A manager fails to address abusive behavior by a technical team leader.
• Autonomous Active Response Weapons : A defense contractor that specializes in autonomous vehicles begins to integrate automated weaponry.
• Dark UX Patterns : A web developer realizes that their client’s requests are intended to trick users into making accidental and expensive purchases.
• Malicious Inputs to Content Filters : An Internet content filtering service deploys machine learning techniques to automate the classification of blocked content.
• Accessibility in Software Development : A web-based collaboration tool deploys a new inline feature that has significant accessibility issues.

These cases studies are designed for educational purposes to illustrate how to apply the Code to analyze complex situations. All names, businesses, places, events, and incidents are fictitious and are not intended to refer to actual entities.

Uses of the Code in the News

While many computing professionals have never heard of the Code, it often plays a role in court proceedings. Some particularly interesting examples:

• Markoff, John. “Apple’s Engineers, If Defiant, Would Be in Sync With Ethics Code.” The New York Times , March 18, 2016. http://www.nytimes.com/2016/03/19/technology/apples-engineers-if-defiant-would-be-in-sync-with-ethics-code.html . — The author argues that the Code may support engineers that refuse certain kinds of government requests.
• Mullin, Joe. “Google Puts Its Expert on the Stand to Combat Oracle, Wraps up Its Case.” Ars Technica , May 16, 2016. http://arstechnica.com/tech-policy/2016/05/google-puts-its-expert-on-the-stand-to-combat-oracle-wraps-up-its-case/ . — Oracle’s lawyers in the  Oracle v. Google case about the Java API used the Code when cross-examining an expert witness.

Know of some other cases where the Code has been used? Let us know via the Contact page.

Additional References

• Ronald E. Anderson, Deborah G. Johnson, Donald Gotterbarn, and Judith Perrolle. 1993. Using the new ACM code of ethics in decision making. Commun. ACM 36, 2 (February 1993), 98-107. DOI:  10.1145/151220.151231  — Using case studies, the authors demonstrate how to apply the code in professional situations.
• C. Dianne Martin, Chuck Huff, Donald Gotterbarn, and Keith Miller. 1996. Implementing a tenth strand in the CS curriculum. Commun. ACM 39, 12 (December 1996), 75-84. DOI:  10.1145/240483.240499 — The authors describe the specific skills and learning outcomes that could be implemented in a computing curriculum.
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Find case studies and scenarios on a variety of fields in applied ethics.

Cases can also be viewed by the following categories:

For permission to reprint cases, submit requests to [email protected] .

Looking to draft your own case studies?  This template provides the basics for writing ethics case studies in technology (though with some modification it could be used in other fields as well).

A fitness tracker aimed at children raises issues of design ethics, incentives, and more.

Six case studies explore how accessibility intersects with health care, education, and workplace ethics. The cases serve as a foundation for difficult dialogues, in-class discussions, or workshops and should be used by stakeholders involved in disability advocacy, education, health care, and policy-making.

AI-generated text, voices, and images used for entertainment productions and impersonation raise ethical questions.

The importance of academic institutions in shaping the societal narrative is increasingly showcased by constant media exposure and continuous requests for social commentary. This case study outlines effective methodologies of leadership, ethics, and change management within an organization, for the purpose of motivating and engaging stakeholders to empathize with and carry out a shared directive.

How might news platforms and products ensure that ethical journalism on chronic issues is not drowned out by the noise of runaway political news cycles?

Ethical questions arise in interactions among students, instructors, administrators, and providers of AI tools.

In water rights discussions, there is an ethical responsibility to include Indigenous people in both conversations and legislation decisions.

In this business ethics case study, Swedish multinational company IKEA faced accusations relating to child labor abuses in the rug industry in Pakistan which posed a serious challenge for the company and its supply chain management goals.

A dog may be humanity’s best friend. But that may not always be the case in the workplace.

A recent college graduate works in the finance and analytics department of a large publicly traded software company and discovers an alarming discrepancy in sales records, raising concerns about the company’s commitment to truthful reporting to investors. 

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New Ethics Case Studies Published

NSPE Today New Ethics Case Studies Published

NSPE’s Board of Ethical Review has published six new case studies that provide engineering ethics guidance using factbased scenarios. The cases cover the topics of plan stamping; gifts; the public health, safety, and welfare; conflicts of interest; responsible charge; and job qualifications. NSPE established the Board of Ethical Review in June 1954 due to many requests by engineers, state societies, and chapters for interpretations of the Code of Ethics in specific circumstances. Since the publishing of the first case in 1958, which involved questionable actions on a World Bank-financed hydroelectric project, the case catalog has grown to nearly 650.

Today, there are many real-world examples in which engineering ethics has a direct impact on the public, especially those related to technology advancement. For example, NSPE encourages policymakers to protect the public health, safety, and welfare when developing artificial intelligence and autonomous vehicles. In comments to the National Institute of Standards and Technology in August, NSPE called for the involvement of ethically accountable licensed professional engineers or duly certified individuals in the AI development process. The Society has also called on NIST to create AI technical standards that include an ethical framework that can be applied universally in the development of AI decision-making.

Each of the BER’s just-released cases dives into subjects that practicing professional engineers and engineer interns can face on the job. In Case 20-4 , a PE for a metropolitan water commission and a consulting engineer retained by the commission are faced with ethical dilemmas surrounding the commission’s consideration of a change in its water supply source—a change with public health, safety, and welfare implications. In another case ( 20-1 ), an engineer intern applies for a position at a consulting firm. The job requires the candidate to hold a PE license or to become licensed within 90 days. The firm offers the job to the engineer intern, but complications arise when the EI fails the PE exam and is found to have withheld information from the firm.

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Commercial Code of Ethics Case Studies

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Any of the following commercial case studies can be used to replace the case studies that currently appear in the regular training materials.

Case Study #1

Shortly after the death of his Uncle Dan, Grant received word that he inherited a vacant warehouse that previously housed his uncle's business.  This was quite a surprise to Grant, who had only met his uncle twice.  As a dentist, Grant had no use for the warehouse.  He decided it would be best to sell the building and put the money toward opening his own practice.  Grant contacted Bob, a REALTOR®, and asked him to look at the property and suggest a listing price.  Bob checked out the property and suggested $100,000.  This price seemed low to Grant given the commercial growth occurring around the warehouse, but he agreed to it.

Within two weeks Bob called Grant with an offer.  Bob stated he would be the buyer at the listed price, less his commission.  Grant became increasingly uneasy about the price.  He told Bob he intended to have the warehouse appraised before accepting the offer.  Bob got upset and said, "Listen, you can take my offer or not – that's up to you.  But it's a legitimate offer based on the price you agreed to.  So as far as I'm concerned, I've done my job and you owe me a commission."

Case Study Questions: (Correct answers marked with a *)

• Do you think Bob is in violation of the Code?
• No, he's right. It's a legitimate offer and Grant should sell to Bob or pay him the commission.
• Yes. The Code prohibits REALTORS® from buying property listed with them.
• Yes. Bob placed his interests above those of his client's.*
• No. Bob is not obligated to pay the appraised price even if it is higher than the original listing price.
• What was Bob's obligation to Grant?
• Bob's obligation was to protect and promote the interests of Grant, his client, and not put his own interests ahead of Grant's.*
• Bob's obligation was to serve his client, Grant, but Bob is allowed to make a reasonable profit in buying a client’s property.
• Bob had no obligation to Grant other than to get his property sold, which he tried to do.

Case Study #2

The small commercial building is reasonably priced, in good condition, and located on a high-traffic street in a quaint neighborhood of Chicago, so it is no surprise that two offers are made only after a few days on market.  John, the listing broker, presents both offers to the seller, Kathy.  One of the offers is from a client of John’s and the other is an offer from Buyer Broker Bob’s client.

“These offers are both full price, with no contingencies, and there seems to be no difference between them,” says Kathy to John.  “Can we make a counter-offer for more money?”, she asks.  John explains that countering a full-price offer could result in one or both buyers walking away from the table.

"Okay, I'll tell you what," says Kathy, "If you reduce your commission, I'll accept the offer you procured.  Although you will earn a little less than we agreed in the listing contract, you'll still get more than you would if you had to pay the other buyer's broker."  John agrees.

Buyer Broker Bob learns from his client, who contacted seller Kathy directly to find out why her full-price offer wasn’t accepted, that listing broker John had reduced his commission to make the offer that he procured more desirable.  Bob is very upset.

• Can John renegotiate his listing commission at the time he presents the two offers?
• No.  John is bound to the commission he agreed to in the listing contract.
• Yes, John may renegotiate the listing commission, but only before he presents the offers.
• Yes, John is permitted to renegotiate the listing commission at any time.*
• John may only raise the listing commission, not lower it.
• By reducing the listing commission, can John present both offers in an objective manner, as required by Standard of Practice 1-6?
• No.  John could not possibly be objective when presenting an offer from his own client.
• Yes.  Standard of Practice 1-6 requires only that offers be presented “quickly”.
• No.  By agreeing to reduce the commission, John indicates that Bob’s client’s offer is no good.
• Yes.  John’s reduction of the listing commission alone does not mean he cannot be objective in his presentation.  Agreeing to reduce the listing commission is simply part of the negotiation process.*
• Under Article 3, as established in Standard of Practice 3-4, is John obligated to inform Bob that he modified the listing commission prior to the offer being accepted?
• Yes.  By reducing the listing commission for the offer he procured, John created a “dual commission arrangement”, one that must be disclosed.
• No.  Even though John might have created a “dual commission arrangement”, disclosure of such to Bob is not “practical” given the situation.*
• No. Standard of Practice 3-4 does not require a listing broker to disclose a dual commission arrangement.
• No.  Reduction of the listing commission during negotiations does not create a dual or variable rate commission arrangement as defined in Standard of Practice 3-4.

Ron, a REALTOR®, listed a motel for sale and prepared a sales prospectus setting out figures reporting the operating experience of the owner in the preceding year.  The prospectus contained small type at the bottom of the page stating that the facts contained therein, while not guaranteed as to accuracy, were "accurate to the best of our knowledge and belief," and carried the name of Ron as the broker.

Buyer Jeff received the prospectus, inspected the property, discussed the operating figures in the prospectus and other features with Ron, and signed the contract.

Six months after taking possession, Jeff ran across some old records that showed discrepancies when compared with the figures in Ron's prospectus.  Jeff had not had as profitable an operating experience as had been indicated for the previous owner in the prospectus, and the difference could be substantially accounted for by these figures.  He filed a charge of misrepresentation against Ron.

At the hearing, Ron took responsibility for the prospectus, acknowledging that he had worked with the former owner in its preparation.  The former owner had built the motel and operated it for five years.  Ron explained that he had advised him that $10,000 in annual advertising expenses during these years could reasonably be considered promotional expenses in establishing the business, and need not be shown as annually recurring items.  Maid service, he also advised, need not be an expense item for a subsequent owner if the owner and his family did the work themselves.  Ron cited his disclaimer of a guarantee of accuracy.  Jeff testified that he had found maid service a necessity to maintain the motel, and it was apparent that the advertising was essential to successful operation.  He protested that the margin of net income alleged in the prospectus could not be attained as he had been led to believe by Ron.

• Do you think Ron is in violation of the Code?
• No. Ron disclosed all pertinent information about the financial operation of the motel in the prospectus.
• Yes. Ron withheld pertinent information about the financial operation of the motel in the prospectus.*
• No. The disclaimer stating the prospectus was "accurate to the best of our knowledge and belief" protects Ron from any omissions.
• Yes. Ron had an obligation to arrange a meeting between Jeff and the previous owner to review the motel's financial records.
• What was Ron's obligation to Jeff?
• To fully disclose financial information that he reasonably should have known to be relevant and significant.*
• To formulate an optimistic prospectus to encourage Jeff to purchase the property.
• To accurately convey information given to him by the seller.

Dr. Luis, who recently completed his medical residency, decides to return home to the neighborhood where he grew up to open a small medical practice.  He enlists the services of REALTOR® Sara to find him a suitable space for his clinic.  Sara emails Dr. Luis several properties that fit his requirements.   One property is a two-story building listed by REALTOR® Tom that shows in the remarks section, “Rental apartment upstairs.”

Dr. Luis calls Sara to tell her that something about Tom’s listing seems odd.  "That building is in the neighborhood I grew up in," says Dr. Luis, "and I remember there being a problem with the Building Department when the owners added a kitchen to the second floor so they could live above their business."

Sara assures Dr. Luis that she will make the necessary inquiries, then promptly get back to him.  A call to the Building Department confirms Dr. Luis' suspicion – that the building is zoned “commercial” and does not provide for a residential apartment.”

Feeling embarrassed and misled by an apparent misrepresentation of the property in the MLS, Sara contacts Listing Broker Tom who acknowledges the seller told him the rehab was “up to code,” but was completed without the necessary permits.  According to Tom, the apartment had never been rented. "I assumed the new owners could get a zoning change or variance from the Building Department," he said.

Sara contemplates filing an ethics complaint against Tom, charging a violation of Article 2 for publishing inaccurate information in the MLS.

• Did Tom violate Article 2?
• No.  Once he was contacted by Sara, Tom explains to her exactly why he thinks the future owners might be able to obtain a zoning change or variance from the Building Department.
• Yes.  Tom misrepresents the property information in the MLS.*
• No.  It is outside Tom’s expertise to know whether the property’s zoning provides for an apartment.
• Maybe, depending on whether the seller told Tom to list the property in the MLS that way.
• Should Tom have identified the building as having a revenue generating apartment?
• Yes.  As indicated by the seller, the apartment was built “to code”.
• No.  Tom knew that the building would need to have a zoning change or variance from the Building Department before it could legally be rentable.*
• Yes. The former owners did write-off the apartment on their taxes.
• Yes.  Tom made no representation that the apartment was legally built.

Lucy is a listing broker who published an offer of cooperation and compensation in MLS for one of her listings, prices of $100,000). The offer of compensation to MLS participants was for X percent. Sam saw the MLS listing, showed the property and wrote an offer on the property for Barney Buyer. When Sam delivered the offer to Lucy, she said “Oh, by the way, I had to reduce my commission the other day to keep the seller happy. I can only pay Y percent co-op fee now.” (Y is 1 percent less than X.)

• What Standard of Practice under Article 3 applies to this case?
• Standard of Practice 3-4 (dual or variable rate commissions).
• Standard of Practice 3-2 (changes in compensation offers).*
• Standard of Practice 3-1 (terms of compensation offers).
• Standard of Practice 3-3 (mutually agreed changes in compensation).
• Standard of Practice 3-8 (availability of listed property).
• Is Lucy in violation of the Code?
• Yes. She failed to timely communicate the change in cooperative compensation before Sam produced an offer to purchase.*
• No. Listing brokers establish the terms and conditions of offers to cooperate and Sam had the obligation to ascertain those terms.
• Yes. It is unethical for Lucy to change the cooperative compensation once it is established.
• No. Whatever the seller dictates to Lucy is what the cooperating broker must accept.
• If Sam files an arbitration claim against Lucy for the compensation offered through the MLS, should Sam prevail?
• No. A possible violation of the Code of Ethics is not a determining factor in an arbitration claim.
• No. Lucy is the "master of her offer" and can change it at any time before the closing.
• Yes. An arbitration panel would likely rule in Sam's favor if Sam can prove that he produced an offer that resulted in the sale before Lucy attempted to change her compensation offer.*
• No. Lucy is only obligated to split based on what the seller pays, regardless of what was originally published in the MLS.

The offer, contingent on the sale of the buyer's current office building, is accepted by Seller Sam.  But, Sam instructs Bill, the listing broker, to continue to market the property with the hope that a better offer or one without a contingency would be made.

One week later, Buyer Broker Steve contacts Bill to arrange a showing of the property to an out-of-town client.  “I think it’s the perfect building and location for my client’s business.  He’ll be here this weekend,” says Steve.  Bill sets up the showing for the weekend, but says nothing about the previously-accepted purchase offer.

After seeing the property with his client, Steve drafts a purchase offer and sends it to Bill’s office.  At Seller Sam’s instruction, Bill informs the original buyer of the second offer, and the buyer waives the contingency.

Bill informs Steve that Sam intends to close on a previously-accepted contract now that the “sales contingency” has been removed.  Steve is very upset that Bill did not tell him about the previously-accepted offer.  Bill says he continued to market the property and did not make other brokers aware it was under contract to promote his client’s best interest by continuing to attract buyers.

• Is Bill obligated to disclose the accepted offer to other cooperating brokers?
• Yes.  Standard of Practice 3-6 clearly establishes that Bill must disclose accepted offers.*
• No.  It could have affected Bill’s ability to obtain future offers.
• No, not if the seller instructed Bill to keep it confidential.
• No, not if the offer included unresolved contingencies.
• Does Bill’s obligation under Article 1 to protect and promote his seller client’s interests mean that he should not reveal the accepted offer?
• Yes.  Bill’s obligation to protect and promote the client’s interests controls and Bill should not be found in violation of the Code.
• Yes.  Because Article 1 is a higher priority than Article 3, Article 1 controls.
• No.  Article 1 also requires that Bill be honest with all parties.  This obligation of honesty, along with the requirement of Standard of Practice 3-6, requires Bill to make the disclosure of the accepted offer.*
• Yes.  Article 1 emphasizes fiduciary obligations and overrides any other obligation that potentially conflicts with it.

It was a listing that Leo, a REALTOR®, now wished he had never taken. Keith, Leo’s close friend, was selling his home and was adamant about having Leo list the property. Leo appreciated the gesture, but repeatedly told Keith that his experience was in commercial properties and not residential. In addition, Keith’s home was in an area of the city that Leo didn’t know much about. Leo strongly urged Keith to have the house appraised. Keith insisted he knew the area and that $166,000 was the home’s fair market value. This amount seemed low to Leo, but he listed the house at this price. It quickly sold to a young couple, Linda and Brian.

Five months later Leo received a call from Keith, who was upset. Keith told Leo that he met the buyers, Linda and Brian, at a party and found out the two were moving because Linda had been reassigned to another city by her company. The couple had received an offer on the house for $190,000, which they declined, feeling they could do better. Keith was upset at Leo for not giving him better advice concerning the $166,000 sale price.

• In addition to Article 11, which other Article might apply to this case?
• Article 10.
• Article 1.*
• Is Leo in violation of the Code?
• Yes. He failed to do a market analysis when listing the home. In addition, he should have provided Keith an appraisal at his cost.
• No. He had no obligation to Keith once Keith insisted on Leo listing the property.
• Yes. Even though he told Keith about residential sales being outside his field of expertise, he was also required to "engage the assistance" of a residential real estate broker.
• No. He fully disclosed to Keith that he was a commercial broker and that Keith's property was outside his area of expertise. He also recommended that Keith have the property appraised.*

Sean considers refinancing a twenty three unit apartment building he has owned for several years to unlock some of the equity.  The lending firm, ABC Mortgage, orders an appraisal for the property from REALTOR® Paul, who happens to be a licensed appraiser and a commercial real estate broker.  The appraisal report is complete with the property address, date prepared, value, purpose, and market data.  After receiving the appraisal, Sean is surprised to learn how much the building has appreciated and decides to sell the property instead of refinancing it.

Because Sean likes how thorough REALTOR® Paul was with the appraisal process and knowing that he is a commercial broker, Sean hires Paul to represent him as his listing broker.  Within one week, an offer is made on the property and accepted. 

During the loan application, the prospective purchaser informs the new lender that the property was recently appraised for ABC Mortgage.  The lender is surprised to learn that Paul is both the listing broker and the appraiser, and that no disclosure was made about his “contemplated interest” as established in Standard of Practice 11-1.

• As used in Standard of Practice 11-1, does Paul have a “present or contemplated interest” in the property when he does the appraisal?
• Yes, as a licensed commercial broker, there always is the chance that Paul could have listed the property in the future.
• No.  At the time of the appraisal, Sean had no interest in selling the property.*
• Yes, Paul was paid to conduct the appraisal.
• No, ABC Mortgage ordered the appraisal.
• Is Paul in Violation of Article 11?
• Yes. Paul should have disclosed in the appraisal that he is a licensed broker.
• No, Paul provided all of the appropriate information in his appraisal, and at that time, he had no intention of listing Sean’s property.*
• Yes, Paul is not qualified to conduct the appraisal.
• Yes, Paul is not qualified to list the property.

Tony operates a small accounting firm and owns the building that houses his offices. Given the recent growth of his firm, Tony purchased a larger office building and is planning to relocate. He enlisted the services of Sue, a REALTOR®, to sell his current office building and entered into a 90-day exclusive agreement.

Three months later and one week before Tony was to close on the new building, Tony’s previous building remained unsold.  Sue had shown the property only five times in the three months. “I think I should get another agent,” Tony said to Fred, his friend. Fred suggested that Tony talk to Laura, a REALTOR® who had helped Fred sell his office building. Fred told Tony, “I'll give Laura a call, tell her about your situation, and see if she can help.”

After Laura received Fred's call, she decided to call Sue to ask when her listing agreement with Tony expired. Laura had heard of Sue, but had never spoken to her. When Laura finally reached Sue after leaving a number of messages, Sue was abrupt, refusing to discuss her listing or disclose when it expired. Laura explained that under the circumstances she could go directly to the seller to get the information, thinking this might elicit a response from Sue. Instead, Sue hung up.

Laura then called Tony. He recognized Laura’s name from his conversation with Fred and was happy to hear from her. Laura explained her services and indicated she would be happy to list Tony's office building after his exclusive listing agreement with Sue expired.

Two weeks later Sue's listing expired and Laura listed Tony's property. By the end of the month, it was sold.

Remember, if there is a conflict between state law and the Code, state law prevails.

Check your state law to be sure the actions in this case are permissible in your state.

• What Standard of Practice under Article 16 applies to this situation?
• Standard of Practice 16-6 (discussions with others' clients).
• Standard of Practice 16-4 (soliciting other's clients).*
• Standard of Practice 16-2 (general mailings).
• All of the above.
• Is Laura in violation of Article 16?
• Yes, Laura's call to Tony was an unethical solicitation.
• No, Article 16 doesn't apply.
• No, Laura followed the exact procedure specified by Standard of Practice 16-4.*
• Yes, Laura was required to get Sue's permission to deal with Sue's client Tony.
• What was Laura's obligation?
• Not to solicit Sue's listing unless Sue refused to tell Laura the nature and expiration date of the listing.*
• None. Listings are fair game for solicitation at any time.
• Not to solicit Sue's listing under any circumstances.
• Not to solicit Sue's listing unless Sue's client, Tony, called Laura directly without Laura directly or indirectly initiating the discussion.
• Is Sue in violation of Article 16?
• Yes, Sue is required to give Laura the nature and expiration date of the listing when Laura asks.
• No, Sue is not required to give Laura the requested information.*
• Sue is not in violation of Article 16, but she is in violation of Article 3 by refusing to cooperate with Laura.

REALTOR® Barbara has an exclusive listing on Sue’s property – a banquet hall that seats 2400 people.  An offer for the property is submitted by Buyer Broker Mike.  Barbara takes Mike with her to present the offer to Seller Sue later that evening.  Sue is interested, but wants time to think it over.  

The next day, Mike thinks about what an inept job Barbara did presenting his client’s offer -- it was as if she didn’t fully understand it.  There were several important considerations that Barbara did not explain to Sue.  Because he attended the presentation and was involved in the negotiations, Mike decides to contact Sue directly to ask if she has any questions and to explain some of the finer points of the offer.  Although the offer is less than the list price, Mike thinks it is fair and recommends that Sue accept it.  After a little more discussion, Sue agrees.  The contract is signed and a copy is faxed to Mike’s office.

When Mike calls Barbara to tell her about the sale, she becomes very upset because Mike worked directly with Sue, rather than her.

• Identify the Standard of Practice that applies to this situation?
• Is there an obligation on Mike’s part to work through Barbara?
• No, the fact that Barbara had introduced Mike to Sue opened the door for him to carry on the negotiations with Sue directly.
• It depends on whether Barbara had expressly precluded Mike from contacting Sue directly.
• No.  Mike has always been able to contact Sue directly.
• Yes.  Mike should have worked only through Barbara, Sue’s listing agent*