02 VCT with Ethics
Ethical Test & Ethical Frameworks
ETHICAL TESTS and FRAMEWORKS for DECISION MAKING(Chapter 8—and Figure 8-2)The Golden RuleDo unto others as you would have them do unto you.The most universal of all frameworksUtilitarianDo what creates the most good for the most people or the least harm.Kant's Categorical ImperativeAct in such a way that the action taken under the circumstances could be a universal law or rule of behavior—everyone would agree to do it thisway.Principles of RightsA right is “inalienable” (as stated in the U.S. Constitution) and can only beoverridden by a more basic right—but the issue is whose right isright. There are many types of rights claimed.Principles of JusticeJustice involves the “fair” treatment of each person—problem is agreeing on wh at is “fair.” There are various types of justice claimed. Rawls’theory of justice is discussed in the text.Principles of CaringB ased on feminist theories of relationships.Virtue EthicsBased on Plato and Aristotle. Certain things are just in and of themselves to be done such as honesty, fairness, truthfulness, benevolencewhich lead to building one’s character.Servant LeadershipRotary International credo—others before self. You lead by serving others.Ten characteristics of servant leadership are discussed in the text.The Professional EthicTake only those actions that would be viewed as being proper by adisinterested panel of your professional colleagues (doctors, lawyers, accountants, etc). Just because a profession has a code of ethics, it does not mean that everyone in that profession will observe it.The TV Test (60 Minutes Test, Going Public)Would you feel comfortable explaining your actions to a national television audience, or on the front page of your local newspaper, or to youfamily and friends?Test of Common SenseTry to stand back and determine if what you are contemplating makes logical sense—what are the practical implications. This does not mean that anything is legal until you get caught.Test of One’s Best SelfAssumes you hold yourself in high self esteem and would do nothing toendanger that personal perception of self.Test of VentilationIf you discussed your proposed action with others whose opinions you value, what would they think of it? A potential problem for those inleadership positions who do this is group think a la the children’sstory of the emperor’s new clothes.Test of the Purified IdeaAre you being asked to do something that you find questionable bysomeone with authority over you who is telling you that it is OK (i.e., itis purified because I say so)?Gag TestDoes what you are being asked to do make you gag?Situational EthicsDo your actions conform to the local conventional wisdom (i.e., When inRome, do as the Romans)?Machiavellian EthicsYou rationalize by saying that the ends justify the means.There is nothing wrong with combining several of these asdiscussed in the text.。
常用哲学英文
常用哲学英文**English Version:**Commonly Used Philosophical English TermsPhilosophy, as the study of fundamental questions about existence, knowledge, values, reason, mind, and language, has a rich vocabulary that is essential for any student of the subject.Here are some commonly used philosophical terms in English:1.Metaphysics: The branch of philosophy that examines the fundamental nature of reality, including the relationship between mind and matter, substance and attribute, and possibility and necessity.2.Ethics: The study of moral principles that govern a person"s behavior or the conducting of an activity, encompassing ideas of right and wrong, good and bad.3.Epistemology: The branch of philosophy concerned with the nature, origins, and limits of knowledge, as well as the justification of beliefs.4.Logic: The discipline that studies correct reasoning, aiming to distinguish valid arguments from invalid ones.5.Ontology: A subset of metaphysics focusing on the study of existence, being, reality, or essence.6.Axiology: The branch of philosophy that studies values, including aesthetic, moral, and logical values.7.Existentialism: A philosophical approach that emphasizes individual existence, freedom, and choice, as well as the subjective experience of life.8.Rationalism: A philosophical perspective that emphasizes the role of reason in acquiring knowledge, often in contrast to empiricism.9.Empiricism: A philosophical view that knowledge is derived primarily from sensory experience and experimentation.10.Idealism: A philosophical position that suggests that reality is fundamentally mental or spiritual in nature.11.Materialism: The philosophical belief that everything in the universe is composed of matter and is subject to the laws of physics.12.Dualism: The view that the mind and body are two distinct substances that interact with each other.13.Monism: The philosophical view that the universe is a unified whole, and that mind and matter are not distinct entities.14.Nihilism: A philosophy that suggests life is inherently meaningless, and that values, moral principles, and beliefs are unfounded.15.Skepticism: A method of inquiry that involves doubting everything to arrive at reliable conclusions, or the view that certain knowledge is unattainable.Understanding these terms is crucial for engaging with philosophical texts, discussions, and thought experiments.**中文版本：**常用哲学英文术语哲学是研究关于存在、知识、价值、理性、心灵和语言等基本问题的学科，拥有丰富的词汇量，对于任何学科的学习者来说都是必不可少的。
CFA一级Ethics道德笔记
CFA一级Ethics道德笔记道德在CFA一级考试中占比15%，约36道题目。
最重要的是掌握七大标准，22个细则！最好能够阅读官方教材或者职业道德手册，并且一定要多做题。
这个章节共有4个Reading，其考试占比大致如下图，一定要好好掌握Reading 2，下面为大家提供详细的道德笔记，希望能给大家带来帮助。
Reading 1.Code of Ethics and Standards of Professional ConductReading 1有三个LOS，根据历年考试规则，主要需要掌握LOS 1.a中五种被调查的情况及相应的处罚结果，同时要了解LOS 1.b 中六大道德规范（Code of Ethics）的内容。
笔记一：五种引起调查的情况（Circumstances that can prompt at inquiry）Members和Candidates在职业行为陈述表中自我披露其行为违反了CFA职业道德标准职业行为调查人员（Professional Conduct Stuff）收到书面投诉来自媒体或其他公众资源的考生、会员或持证人的不当行为证据，CFA考官在报告中披露的考生违反考试规定，CFA 考试后分析试卷检测社交媒体去检测是否有考试相关信息泄露笔记二：调查结果及相应处罚没有违反职业道德——No discipline sanction(无纪律处分）违反了职业道德但是情节不严重——Issue a cautionary letter(不进行公开披露，给与警告信）违反并且情节严重——A disciplinary sanction(纪律处分），由处罚的严重程度从轻到重排列Public censure（公开责备），其他CFA会员进行谴责Suspension of membership and the use of the CFA designation（暂停会员资格和使用CFA称号的资格）Revocation of the CFA charter（收回CFA证书）Suspension from the further participation in the CFA Program（暂停之后参加CFA考试的资格）注：如果考生和会员不认可处罚结果，可申请由DRC members和CFA协会会员志愿者组成的听证陪审团（a hearing panel）重新裁决，此裁决结果为最终裁决！Reading 2. Guidance for Standards I-VII——Standard I: ProfessionalismReading 2包括三个LOS,处处皆重点，共有7大准则，22个细则。
牛津大学公开课伦理学入门笔记_共七课(全)
牛津大学伦理学入门笔记第一课真理和理论：伦理推论的介绍A Romp Through Ethics for Complete Beginner●之所以会形成这种道德困境（比方说在kind 和honesty),是因为道德的判断一般是形成于情形之下的，那么自然很容易在特定情形下形成冲突不同的分类：●道德普遍主义者：道德是由原则支配的rule-governed 无论你认为●道德个别主义者：道德根本不是由原则支配；所有的行为的动机都是基于情境的。
道德个别主义者认为没有随时随地都正确的原则，经验法则只是一种在绝大部分时候都正确的法则道德理论化●它跟我们每天在道德困境下思考如何做选择是完全不同的moral thinking●道德理论化是第二阶的moral theorizing is called second order moral thinking.whereas everyday decision-making about how we should act is called first order moral thinking.道德理论化就是思考我们平常思考的如何做的问题（实际问题是第一阶的道德问题是第二阶的）冗余真理（举例：这猫就是虎斑猫这句话是真的因为这猫就是虎斑猫==因为这是个经过经验法则来验证的事实）--------------------------------------------------------------------------------------------------------------- /entries/skepticism-moral大部分的哲学家都相信存在moral facts 都不是道德怀疑者，有以下四种，关于什么样的事实是moral facts，哪些事实能够决定一个道德命题是真还是假ps：我们在考虑什么是事实的时候，有的时候过于狭窄了，我们只会把那些能够看得到的，听得到的，摸得到的东西归类为事实，而忽略了以下这些。
brosure
Frequency 4 sailing / week Port rotation Busan (Ulsan) (Kwangyang) Shanghai
PYONGTAEK / INCHEON - CHINA SERVICE
Pyongtaek-Shanghai Service
SINOKOR MERCHANT MARINE CO., LTD.
Sinokor Merchant Marine Co., Ltd. inaugurated the first container liner service between Korea and China in 1989, three years before the two countries had established diplomatic relations. These container liner services played a major role in enhancing human resources and economic cooperation and normalizing relations between the two countries. The establishment of the first direct sailings between Ulsan and Kwangyang in Korea and Chinese ports in 1998 greatly reduced the logistics costs for Korea’s main chemical commodity import/export trades, while offering new routes to meet the export requirements of customers. This in turn led to shorter delivery times and a more efficient service overall. Subsequently, in 2001, Sinokor expanded its Liner services from Pyongtaek in Korea to include Shanghai, Qingdao, Tianjin, and Dalian in China, pioneering a quality container liner service from Korea’s west coast ports with a reputation for logistical innovation. Sinokor’s container liner currently services some 60 ports in 20 countries China, Japan, Russia, Vietnam, Thailand, Malaysia, Singapore, Taiwan, the Philippines, Indonesia, India, Myanmar, Cambodia, Bangladesh, Pakistan, Iran, and the UAE. Sinokor has some 26 subsidiaries with local offices in each country, enabling it to provide first-class, customer oriented services. Sinokor entered Dry Bulk & Tanker Carriage Sectors in 2001 and provides service with employees of over 100 technical experts who are highly qualified and experienced. Basis its strong abilities, Sinokor has long term contracts with 1st Class Charterers worldwide.
管理沟通以案例分析为视角英文版第5版教辅文件IM Mgt Comm 5e Chapt 03
C OMMUNICATION E THICSC HAPTER 3Ethical business practice is a noble goal to which virtually all firms aspire.I. The ethical conduct of employers.A. Employees question the ethics of many of their managers today.B. Only one third of employees feel comfortable reporting ethical misconduct.There are three primary reasons employees do not report actual observedmisconduct.1. Believed the organization would not respond.2. Perceived lack of anonymous and confidential means of reporting.3. Fear of retaliation from management.C. Ethical misconduct by competitors causes the free marketplace to be undermined,expectations are destroyed, and trust is eliminated.D. Your ethical misconduct may very well cause you to be viewed as unreliable andself-centered, thus eventually isolating you from upstanding business practitioners. II. Defining business ethics.A. Business morality is what business ethics is about.1. The term “ethics” most often refers to a field of inquiry, or discipline, inwhich matters of right and wrong, good and evil, virtue and vice, aresystematically examined.2. The term “morality” is most often used to refer not to a discipline but topatterns of behavior common to everyday life.B. The phrases “corporate social responsibility” and “the social responsibility ofbusiness” are not synonymous with business ethics.1. They imply business ethics deal exclusively with relationships betweenbusiness organizations and their external constituencies.12. They do not include interaction with internal constituencies and otherethical issues.III. There are three levels of inquiry to business ethics:A. At the individual level, the concern is that the values by which self-interest andother motives are balanced with concern for fairness and the common good, bothinside and outside of a company.B. At the organization level, the concern is for the strength of the group consciencethat every company has as it pursues its economic objectives.C. At the business system level, the concern is for the pattern of social, political, andeconomic forces that drives individuals and businesses.IV. There are three views of decision making for the business communicator and all others who make business decisions.A. A moral point of view.1. Helps individuals establish a willingness to seek out and act on reasons.2. Requires individuals to act impartially.3. Under this view, the decisions to be made are not especially clear andmost often decision makers do not have adequate information.B. An economic point of view.1. Allocates resources based on the forces of supply and demand.2. Incorporates assumptions about the free market, such as honesty, theft,and fraud into decisions.3. Stresses that companies are not merely abstract economic entities, butlarge-scale organizations that involve human beings and must operate in acomplex environment.C. A legal point of view.1. Helps business activity stay in line with the extensive system of lawswhich govern our nation.2. Ignores a number of realities involving the law and decision making.a.The law is inappropriate for regulating certain aspects ofBusiness activity; not everything immoral is illegal.b. The law if often too slow to develop in new areas of concern.c. The law employs moral concepts which are not precisely defined,making it difficult to make decisions without considering morality.d. The law is often unsettled or in evolution on many issues.e. The law does not provide specific guidance in all possibleinstances.f. The law is generally seen as an inefficient and expensiveinstrument.D. An integrated approach.1. Many business ethicists advocate a decision-making process thatintegrates all three viewpoints.2. In cases where neither the issue at hand nor the answer is not clear, someethicists stress the use of open dialogue with the stakeholders to makebetter decisions.V. A few basic concepts may help us to understand the nature of moral judgments:A. Normative judgments are claims that state or imply that something is good or bad,right or wrong, better or worse.B. Moral norms are standards of behavior that require, prohibit, or allow certainkinds of behavior.C. Moral principles are much more general concepts used to evaluate both group andindividual behavior.VI. Distinguishing characteristics of moral principles from other standards.A. They have serious consequences to human well-being.B. Their validity rests on the adequacy of the reasons which are used to support andjustify them.3C. They override self-interest to accomplish things for the greater good of society orpeople at large.D. They are based on impartial considerations.VII. Four resources are available to every business communicator who is trying to make ethical decisions.A. Observations are descriptive statements that rely on correct presentations of facts,and can usually be verified by more research.1. Their usefulness can be evaluated by the degree of objectivity they contain.2. A statement qualifies as an observation if contrary evidence can bedisproved.3. Unlike assumptions, observations are usually specific and empirical innature.B. Assumptions are reflective statements that rely on culture, religion, social, andpersonal history.1. Their theoretical roots are in our attitudinal system.2. They can be evaluated by criteria such as relevance, consistency, andinclusiveness.C. Value judgments are normative statements that rely on assumptions and make theconnection between a proposal and an observation.1. They cannot be verified by empirical research.2. They can be evaluated by different ethical traditions.D. Proposals are prescriptive statements that can be evaluated by examiningsupporting reasons.VIII. Moral judgments seem to depend on decision makers having and using four separate capacities.A. Ethical sensibility is reflected in your capacity to impose ethical order on asituation. A person lacking in ethical sensibility is vulnerable to acting in waysthat are improper.B. Ethical reasoning involves careful reasoning about a situation to determine whatkind of ethical problem is present. Ethical reasoning then offers opportunities forsolution.C. Ethical conduct requires people to act upon the ethical issues they have identifiedand examined. This can also be described as moral courage. \D. Ethical leadership calls for all levels of the corporate ladder to maintain highlevels of integrity. This concept stresses that the moral education of those beneathyou in an organization depends on your willingness to engage in and rewardethical behavior.IX. A formal statement of ethical principles is the most important means of establishing moral leadership in a business organization.A. A written statement of ethics makes a company’s expectations more concrete.B. There are three predominant types of ethical statements.1. Corporate code of ethics.2. Values statement.3. Corporate credos. Ethics codes help promote tolerance of diversepractices and customers while doing business overseas.C. Many values, along with the roles and objectives that managers must follow, arein competition with one another. Managers must respond to these conflicts withcaution, sensitivity, and a sense of fairness to everyone concerned.D. There are seven imperatives for managers to follow in writing and living out theprinciples of a corporate code of ethics.1. Write it. A written document helps to guide the values of the firm and alsosignals to everyone that the company is serious about its ethical values.2. Tailor it. The process places special emphasis on common issues andallows a company to address those matters which it regards as especiallyimportant.3. Communicate it. This continuing process assures all stakeholders areaware of and understand the behavior that a company expects of them.54. Promote it. The ethics document should be promoted through as manypublications, events, and channels as possible.5. Revise it. This process will help to keep the document current andreflecting changing conditions.6. Live it. Members must follow the firm’s values on a daily basis; theyshould be rewarded for these positive actions by managers.7. Enforce/Reinforce it. Managers must penalize those employees whorefuse to live by the principles.X. The “Front Page” test.A. Here managers ask themselves the simple question, “Would you be pleased if thepolicies in your organization, or the behavior of your employees, were to appearin a story on the front page of a major newspaper?”B. This test helps managers to determine if a firm’s policies or actions arefundamentally sound.。
cfa一级ethics部分
cfa一级ethics部分摘要：1.CFA 一级伦理部分概述2.CFA 一级伦理部分的核心概念3.CFA 一级伦理部分的重要性4.如何准备CFA 一级伦理部分正文：CFA（Chartered Financial Analyst）一级伦理部分是CFA 考试三个级别中的第一个级别。
CFA 考试旨在为投资专业人员提供全面的知识和技能，使他们能够在投资管理领域取得成功。
伦理部分在CFA 考试中占有重要地位，因为它为候选人提供了在金融行业中遵循道德和职业行为的必要知识。
CFA 一级伦理部分主要涉及三个核心概念：职业道德、专业行为和法律法规。
职业道德是指在履行职责时遵循的道德原则和价值观，它要求候选人展示诚信、公正、透明和尊重。
专业行为是指在履行职责时遵循的行为准则，它要求候选人具备专业能力、勤勉尽责和审慎决策。
法律法规是指在履行职责时需要遵守的法律和规定，它要求候选人了解相关法律法规，并确保其行为符合法律规定。
CFA 一级伦理部分的重要性在于，它为候选人提供了在金融行业中遵循道德和职业行为的基础。
随着金融行业的不断发展和风险加剧，伦理和职业行为对于投资专业人员来说变得越来越重要。
在金融行业中，遵循职业道德和法律法规不仅可以保护投资者的利益，还可以提高整个行业的声誉和信誉。
要想成功通过CFA 一级伦理部分，候选人需要掌握核心概念，理解相关法律法规，并能够在实际工作中运用这些知识。
为了准备CFA 一级伦理部分，候选人可以参考CFA Institute 提供的官方教材和模拟试题，参加培训课程，以及与同行进行讨论和交流。
通过这些准备措施，候选人可以提高自己的知识水平和应试能力，为通过CFA 一级伦理部分奠定坚实的基础。
总之，CFA 一级伦理部分是CFA 考试中至关重要的一个部分，它为投资专业人员提供了遵循职业道德和法律法规的基础。
要想成功通过这一部分，候选人需要掌握核心概念，理解相关法律法规，并能够在实际工作中运用这些知识。
课件-Corporate Governance and ethics
However … there are still risks
Transaction costs
Characteristics – continued
‘Information asymmetry’
Good quality information often lacking Issue: commercial sensitivity
A corporate code of ethics?
A growing fashion, mainly …
… honesty, promise keeping, reliability and competence, benevolence, fairness
But: Enron had a code of ethics …
Definition
The influence and power of the stakeholders to control the strategic direction of the organisation in general and, more specifically, the chief executive and other senior officers in the organisation.
A question of ethics …
Why did it happen? Who is responsible? Is this a case of negligence? Is there evidence of a cover-up and a
general failure to disclose?
Japan
Board heavily weighted towards executive members
崇德务实求是英语
崇德务实求是英语一、“崇德务实求是”的英语表达1. 英语：Uphold Virtue, Be Practical - minded and Seek Truth.2. 英语释义- Uphold Virtue- 释义：To support, maintain or advocate moral excellence and good values.（支持、维护或倡导道德上的卓越和良好的价值观。
） - 单词：- uphold [ʌpˈhəʊld]，动词，用法：uphold sth.（如uphold the law维护法律）。
- virtue [ˈvɜːtʃuː]，名词，用法：a virtue（一种美德），如Honesty is a great virtue.（诚实是一种伟大的美德。
）- 双语例句：We should uphold virtue in our daily lives.（我们在日常生活中应该崇尚美德。
）- Be Practical - minded- 释义：To have a mindset that focuses on practicality, dealing with things in a realistic and useful way.（有一种注重实际的思维方式，以现实和有用的方式处理事情。
）- 单词：- practical [ˈpræktɪkl]，形容词，用法：be practical（是实际的），如This plan is very practical.（这个计划非常实际。
） - minded [ˈmaɪndɪd]，形容词（与其他词构成复合形容词），用法：如safety - minded（有安全意识的）。
- 双语例句：In business, we should be practical - minded to achieve success.（在商业中，我们应该务实以取得成功。
2008美国社会工作伦理守则
The 2008 NASW Delegate Assembly approved the following revisions to the NASW Code of Ethics:1.05 Cultural Competence and Social Diversity(c) Social workers should obtain education about and seek to understand the nature of social diversity and oppression with respect to race, ethnicity, national origin, color, sex, sexual orientation, gender identity or expression, age, marital status, political belief, religion, immigration status, and mental or physical disability.2.01 Respect(a) Social workers should treat colleagues with respect and should represent accurately and fairly the qualifications, views, and obligations of colleagues.(b) Social workers should avoid unwarranted negative criticism of colleagues in communications with clients or with other professionals. Unwarranted negative criticism may include demeaning comments that refer to colleagues’level of competence or to individuals’attributes such as race, ethnicity, national origin, color, sex, sexual orientation, gender identity or expression, age, marital status, political belief, religion, immigration status, and mental or physical disability.4.02 DiscriminationSocial workers should not practice, condone, facilitate, or collaborate with any form of discrimination on the basis of race, ethnicity, nationalorigin, color, sex, sexual orientation, gender identity or expression, age, marital status, political belief, religion, immigration status, or mental or physical disability.6.04 Social and Political Action(d) Social workers should act to prevent and eliminate domination of, exploitation of, and discrimination against any person, group, or class on the basis of race, ethnicity, national origin, color, sex, sexual orientation, gender identity or expression, age, marital status, political belief, religion, immigration status, or mental or physical disability.PreambleThe primary mission of the social work profession is to enhance human wellbeing 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. A historic and defining feature of social work is the profession’s focus on individual wellbeing in a social context and the wellbeing of society. Fundamental to social work is attention to the environmental forces that create, contribute to, andaddress problems in living.Social workers promote social justice and social change with and on behalf of clients. “Clients” is used inclusively to refer to individuals, families, groups, organizations, and communities. Social workers are sensitive to cultural and ethnic diversity and strive to end discrimination, oppression, poverty, and other forms of social injustice. These activities may be in the form of direct practice, community organizing, supervision, consultation administration, advocacy, social and political action, policy development and implementation, education, and research and evaluation. Social workers seek to enhance the capacity of people to address their own needs. Social workers also seek to promote the responsiveness of organizations, communities, and other social institutions to individuals’ needs and social problems. The mission of the social work profession is rooted in a set of core values. These core values, embraced by social workers throughout the profession’s history, are the foundation of social work’s unique purpose and perspective:∙service∙social justice∙dignity and worth of the person∙importance of human relationships∙integrity∙competence.This constellation of core values reflects what is unique to the social work profession. Core values, and the principles that flow from them, must be balanced within the context and complexity of the human experience.Purpose of the NASW Code of EthicsProfessional ethics are at the core of social work. The profession has an obligation to articulate its basic values, ethical principles, and ethical standards. The NASW Code of Ethics sets forth these values, principles, and standards to guide social workers’ conduct. The Code is relevant to all social workers and social work students, regardless of their professional functions, the settings in which they work, or the populations they serve.The NASW Code of Ethics serves six purposes:1The Code identifies core values on which social work’s mission is based.2The Code summarizes broad ethical principles that reflect the profession’s core values and establishes a set of specific ethical standards that should be used to guide social work practice.3The Code is designed to help social workers identify relevant considerations when professional obligations conflict or ethical uncertainties arise.4The Code provides ethical standards to which the general public can hold the social work profession accountable.5The Code socializes practitioners new to the field to social work’s mission, values, ethical principles, and ethical standards.6The Code articulates standards that the social work profession itself can use to assess whether social workers have engaged in unethical conduct. NASW has formal procedures to adjudicate ethics complaints filed against its members.* In subscribing to this Code, social workers are requiredto cooperate in its implementation, participate in NASW adjudication proceedings, and abide by any NASW disciplinary rulings or sanctions based on it.The Code offers a set of values, principles, and standards to guide decision making and conduct when ethical issues arise. It does not provide a set of rules that prescribe how social workers should act in all situations. Specific applications of the Code must take into account the context in which it is being considered and the possibility of conflicts among the Code‘s values, principles, and standards. Ethical responsibilities flow from all human relationships, from the personal and familial to the social and professional.Further, the NASW Code of Ethics does not specify which values, principles, and standards are most important and ought to outweigh others in instances when they conflict. Reasonable differences of opinion can and do exist among social workers with respect to the ways in which values, ethical principles, and ethical standards should be rank ordered when they conflict. Ethical decision making in a given situation must apply the informed judgment of the individual social worker and should also consider how the issues would be judged in a peer review process where the ethical standards of the profession would be applied.Ethical decision making is a process. There are many instances in social work where simple answers are not available to resolve complex ethical issues. Social workers should take into consideration all the values, principles, and standards in this Code that are relevant to any situation in which ethical judgment is warranted. Social workers’ decisions and actions should be consistent with the spirit as well as the letter of this Code.In addition to this Code, there are many other sources of information about ethical thinking that may be useful. Social workers should consider ethical theory and principles generally, social work theory and research, laws, regulations, agency policies, and other relevant codes of ethics, recognizing that among codes of ethics social workers should consider the NASW Code of Ethics as their primary source. Social workers also should be aware of the impact on ethical decision making of their clients’ and their own personal values and cultural and religious beliefs and practices. They should be aware of any conflicts between personal and professional values and deal with them responsibly. For additional guidance social workers should consult the relevant literature on professional ethics and ethical decision making and seek appropriate consultation when faced with ethical dilemmas. This may involve consultation with an agencybased or social work organization’s ethics committee, a regulatory body, knowledgeable colleagues, supervisors, or legal counsel.Instances may arise when social workers’ ethical obligations conflict with agency policies or relevant laws or regulations. When such conflicts occur, social workers must make a responsible effort to resolve the conflict in a manner that is consistent with the values, principles, and standards expressed in this Code. If a reasonable resolution of the conflict does not appear possible, social workers should seek proper consultation before making a decision.The NASW Code of Ethics is to be used by NASW and by individuals, agencies, organizations, and bodies (such as licensing and regulatory boards, professional liability insurance providers, courts of law, agency boards of directors, government agencies, and other professional groups) that choose to adopt it or use it as a frame of reference. Violation of standards in this Code does not automatically imply legal liability or violation of the law. Such determination can only be made in the context of legal and judicial proceedings. Alleged violations of the Code would be subject to a peer review process. Such processes are generally separate from legal or administrative procedures and insulated from legal review or proceedings to allow the profession to counsel and discipline its own members.A code of ethics cannot guarantee ethical behavior. Moreover, a code of ethics cannot resolve all ethical issues or disputes or capture the richness and complexity involved in striving to make responsible choices within a moral community. Rather, a code of ethics sets forth values, ethical principles, and ethical standards to which professionals aspire and by which their actions can be judged. Social workers’ ethical behavior should result from their personal commitment to engage in ethical practice. The NASW Code of Ethics reflects the commitment of all social workers to uphold the profession’s values and to act ethically. Principles and standards must be applied by individuals of good character who discern moral questions and, in good faith, seek to make reliable ethical judgments.Ethical PrinciplesThe following broad ethical principles are based on social work’s core values of service, social justice, dignity and worth of the person, importance of human relationships, integrity, and competence. These principles set forth ideals to which all social workers should aspire.Value: ServiceEthical Principle: Social workers’primary goal is to help people in need and to address social problems.Social workers elevate service to others above selfinterest. Social workers draw on their knowledge, values, and skills to help people in need and to address social problems. Social workers are encouraged to volunteer some portion of their professional skills with no expectation of significant financial return (pro bono service).Value: Social JusticeEthical Principle: Social workers challenge social injustice.Social workers pursue social change, particularly with and on behalf of vulnerable and oppressed individuals and groups of people. Social workers’ social change efforts are focused primarily on issues of poverty, unemployment, discrimination, and other forms of social injustice. These activities seek to promote sensitivity to and knowledge about oppression and cultural and ethnic diversity. Social workers strive to ensure access to needed information, services, and resources; equality of opportunity; and meaningful participation in decision making for all people.Value: Dignity and Worth of the PersonEthical Principle: Social workers respect the inherent dignity and worth of the person.Social workers treat each person in a caring and respectful fashion, mindful of individual differences and cultural and ethnic diversity. Social workers promote clients’socially responsible selfdetermination. Social workers seek to enhance clients’ capacity and opportunity to change and to address their own needs. Social workers are cognizant of their dual responsibility to clients and to the broader society. They seek to resolve conflicts between clients’ interests and the broader society’s interests in a socially responsible manner consistent with the values, ethical principles, and ethical standards of the profession. Value: Importance of Human RelationshipsEthical Principle: Social workers recognize the central importance of human relationships.Social workers understand that relationships between and among people are an important vehicle for change. Social workers engage people as partners in the helping process. Social workers seek to strengthen relationships among people in a purposeful effort to promote, restore, maintain, and enhance the wellbeing of individuals, families, social groups, organizations, and communities.Value: IntegrityEthical Principle: Social workers behave in a trustworthy manner.Social workers are continually aware of the profession’s mission, values, ethical principles, and ethical standards and practice in a manner consistent with them. Social workers act honestly and responsibly and promote ethical practices on the part of the organizations with which they are affiliated.Value: CompetenceEthical Principle: Social workers practice within their areas of competence and develop and enhance their professional expertise.Social workers continually strive to increase their professional knowledge and skills and to apply them in practice. Social workers should aspire to contribute to the knowledge base of the profession. Ethical StandardsThe following ethical standards are relevant to the professional activities of all social workers. These standards concern (1) social workers’ethical responsibilities to clients, (2) social workers’ethical responsibilities to colleagues, (3) social workers’ ethical responsibilities in practice settings, (4) social workers’ethical responsibilities as professionals, (5) social workers’ethical responsibilities to the social work profession, and (6) social workers’ ethical responsibilities to the broader society.Some of the standards that follow are enforceable guidelines for professional conduct, and some are aspirational. The extent to which each standard is enforceable is a matter of professional judgment to be exercised by those responsible for reviewing alleged violations of ethical standards.1. SOCIAL WORKERS’ ETHICAL RESPONSIBILITIES TO CLIENTS1.01 Commitment to ClientsSocial workers’primary responsibility is to promote the wellbeing of clients. In general, clients’interests are primary. However, social workers’responsibility to the larger society or specific legal obligations may on limited occasions supersede the loyalty owed clients, and clients should be so advised. (Examples include when a social worker is required by law to report that a client has abused a child or has threatened to harm self or others.)1.02 SelfDeterminationSocial workers respect and promote the right of clients to selfdetermination and assist clients in their efforts to identify and clarify their goals. Social workers may limit clients’right to selfdetermination when, in the social workers’ professional judgment, clients’ actions or potential actions pose a serious, foreseeable, and imminent risk to themselves or others.1.03 Informed Consent(a) Social workers should provide services to clients only in the context of a professional relationship based, when appropriate, on valid informed consent. Social workers should use clear andunderstandable language to inform clients of the purpose of the services, risks related to the services, limits to services because of the requirements of a thirdparty payer, relevant costs, reasonable alternatives, clients’ right to refuse or withdraw consent, and the time frame covered by the consent. Social workers should provide clients with an opportunity to ask questions.(b) In instances when clients are not literate or have difficulty understanding the primary language used in the practice setting, social workers should take steps to ensure clients’comprehension. This may include providing clients with a detailed verbal explanation or arranging for a qualified interpreter or translator whenever possible.(c) In instances when clients lack the capacity to provide informed consent, social workers should protect clients’ interests by seeking permission from an appropriate third party, informing clients consistent with the clients’ level of understanding. In such instances social workers should seek to ensure that the third party acts in a manner consistent with clients’wishes and interests. Social workers should take reasonable steps to enhance such clients’ ability to give informed consent.(d) In instances when clients are receiving services involuntarily, social workers should provide information about the nature and extent of services and about the extent of clients’right to refuse service.(e) Social workers who provide services via electronic media (such as computer, telephone, radio, and television) should inform recipients of the limitations and risks associated with such services.(f) Social workers should obtain clients’ informed consent before audiotaping or videotaping clients or permitting observation of services to clients by a third party.1.04 Competence(a) Social workers should provide services and represent themselves as competent only within the boundaries of their education, training, license, certification, consultation received, supervised experience, or other relevant professional experience.(b) Social workers should provide services in substantive areas or use intervention techniques or approaches that are new to them only after engaging in appropriate study, training, consultation, and supervision from people who are competent in those interventions or techniques.(c) When generally recognized standards do not exist with respect to an emerging area of practice, social workers should exercise careful judgment and take responsible steps (including appropriate education, research, training, consultation, and supervision) to ensure the competence of their work and to protect clients from harm.1.05 Cultural Competence and Social Diversity(a) Social workers should understand culture and its function in human behavior and society, recognizing the strengths that exist in all cultures.(b) Social workers should have a knowledge base of their clients’ cultures and be able to demonstrate competence in the provision of services that are sensitive to clients’ cultures and to differences among people and cultural groups.(c) Social workers should obtain education about and seek to understand the nature of social diversityand oppression with respect to race, ethnicity, national origin, color, sex, sexual orientation, gender identity or expression, age, marital status, political belief, religion, immigration status, and mental or physical disability.1.06 Conflicts of Interest(a) Social workers should be alert to and avoid conflicts of interest that interfere with the exercise of professional discretion and impartial judgment. Social workers should inform clients when a real or potential conflict of interest arises and take reasonable steps to resolve the issue in a manner that makes the clients’ interests primary and protects clients’ interests to the greatest extent possible. In some cases, protecting clients’ interests may require termination of the professional relationship with proper referral of the client.(b) Social workers should not take unfair advantage of any professional relationship or exploit others to further their personal, religious, political, or business interests.(c) Social workers should not engage in dual or multiple relationships with clients or former clients in which there is a risk of exploitation or potential harm to the client. In instances when dual or multiple relationships are unavoidable, social workers should take steps to protect clients and are responsible for setting clear, appropriate, and culturally sensitive boundaries. (Dual or multiple relationships occur when social workers relate to clients in more than one relationship, whether professional, social, or business. Dual or multiple relationships can occur simultaneously or consecutively.)(d) When social workers provide services to two or more people who have a relationship with each other (for example, couples, family members), social workers should clarify with all parties which individuals will be considered clients and the nature of social workers’professional obligations to the various individuals who are receiving services. Social workers who anticipate a conflict of interest among the individuals receiving services or who anticipate having to perform in potentially conflicting roles (for example, when a social worker is asked to testify in a child custody dispute or divorce proceedings involving clients) should clarify their role with the parties involved and take appropriate action to minimize any conflict of interest.1.07 Privacy and Confidentiality(a) Social workers should respect clients’right to privacy. Social workers should not solicit private information from clients unless it is essential to providing services or conducting social work evaluation or research. Once private information is shared, standards of confidentiality apply.(b) Social workers may disclose confidential information when appropriate with valid consent from a client or a person legally authorized to consent on behalf of a client.(c) 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. In all instances, social workers should disclose the least amount of confidential information necessary to achieve the desired purpose; only information that is directly relevant to the purpose for which the disclosure is made should berevealed.(d) Social workers should inform clients, to the extent possible, about the disclosure of confidential information and the potential consequences, when feasible before the disclosure is made. This applies whether social workers disclose confidential information on the basis of a legal requirement or client consent.(e) Social workers should discuss with clients and other interested parties the nature of confidentiality and limitations of clients’ right to confidentiality. Social workers should review with clients circumstances where confidential information may be requested and where disclosure of confidential information may be legally required. This discussion should occur as soon as possible in the social workerclient relationship and as needed throughout the course of the relationship.(f) When social workers provide counseling services to families, couples, or groups, social workers should seek agreement among the parties involved concerning each individual’s right to confidentiality and obligation to preserve the confidentiality of information shared by others. Social workers should inform participants in family, couples, or group counseling that social workers cannot guarantee that all participants will honor such agreements.(g) Social workers should inform clients involved in family, couples, marital, or group counseling of the social worker’s, employer’s, and agency’s policy concerning the social worker’s disclosure of confidential information among the parties involved in the counseling.(h) Social workers should not disclose confidential information to thirdparty payers unless clients have authorized such disclosure.(i) Social workers should not discuss confidential information in any setting unless privacy can be ensured. Social workers should not discuss confidential information in public or semipublic areas such as hallways, waiting rooms, elevators, and restaurants.(j) Social workers should protect the confidentiality of clients during legal proceedings to the extent permitted by law. When a court of law or other legally authorized body orders social workers to disclose confidential or privileged information without a client’s consent and such disclosure could cause harm to the client, social workers should request that the court withdraw the order or limit the order as narrowly as possible or maintain the records under seal, unavailable for public inspection.(k) Social workers should protect the confidentiality of clients when responding to requests from members of the media.(l) Social workers should protect the confidentiality of clients’ written and electronic records and other sensitive information. Social workers should take reasonable steps to ensure that clients’ records are stored in a secure location and that clients’ records are not available to others who are not authorized to have access.(m) Social workers should take precautions to ensure and maintain the confidentiality of information transmitted to other parties through the use of computers, electronic mail, facsimile machines, telephones and telephone answering machines, and other electronic or computer technology. Disclosure of identifying information should be avoided whenever possible.(n) Social workers should transfer or dispose of clients’records in a manner that protects clients’confidentiality and is consistent with state statutes governing records and social work licensure.(o) Social workers should take reasonable precautions to protect client confidentiality in the event of the social worker’s termination of practice, incapacitation, or death.(p) Social workers should not disclose identifying information when discussing clients for teaching or training purposes unless the client has consented to disclosure of confidential information.(q) Social workers should not disclose identifying information when discussing clients with consultants unless the client has consented to disclosure of confidential information or there is a compelling need for such disclosure.(r) Social workers should protect the confidentiality of deceased clients consistent with the preceding standards.1.08 Access to Records(a) Social workers should provide clients with reasonable access to records concerning the clients. Social workers who are concerned that clients’ access to their records could cause serious misunderstanding or harm to the client should provide assistance in interpreting the records and consultation with the client regarding the records. Social workers should limit clients’ access to their records, or portions of their records, only in exceptional circumstances when there is compelling evidence that such access would cause serious harm to the client. Both clients’ requests and the rationale for withholding some or all of the record should be documented in clients’ files.(b) When providing clients with access to their records, social workers should take steps to protect the confidentiality of other individuals identified or discussed in such records.1.09 Sexual Relationships(a) Social workers should under no circumstances engage in sexual activities or sexual contact with current clients, whether such contact is consensual or forced.(b) Social workers should not engage in sexual activities or sexual contact with clients’ relatives or other individuals with whom clients maintain a close personal relationship when there is a risk of exploitation or potential harm to the client. Sexual activity or sexual contact with clients’ relatives or other individuals with whom clients maintain a personal relationship has the potential to be harmful to the client and may make it difficult for the social worker and client to maintain appropriate professional boundaries. Social workers—not their clients, their clients’ relatives, or other individuals with whom the client maintains a personal relationship—assume the full burden for setting clear, appropriate, and culturally sensitive boundaries.(c) Social workers should not engage in sexual activities or sexual contact with former clients because of the potential for harm to the client. If social workers engage in conduct contrary to this prohibition or claim that an exception to this prohibition is warranted because of extraordinary circumstances, it is social workers—not their clients—who assume the full burden of demonstrating that the former client has not been exploited, coerced, or manipulated, intentionally or unintentionally.(d) Social workers should not provide clinical services to individuals with whom they have had a prior sexual relationship. Providing clinical services to a former sexual partner has the potential to be harmful to the individual and is likely to make it difficult for the social worker and individual to maintain appropriate professional boundaries.1.10 Physical Contact。