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Appendix 1: Ethical Analysis Workbook

Framing the Situation (See Chap. 4 )

Facts

The table of facts below is an accurate refl ection of the objectively-known, incon-trovertible facts surrounding the situation being analyzed.

# Fact Source

1

2

3

4

5

6

7

8

9

10

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Factual Issues

The table of factual issues below is a list of the known bits of information that are factual in nature but are controversial or unsubstantiated. A good example of this type of issue is an unknown future effect of a given action. Your goal should be to resolve these issues through additional research and turn them into facts, or through making an educated assumption of its resolution.

# Factual issue Assumed resolution

1

2

3

4

5

6

7

8

9

10

Concepts

The table of concepts below is a list of the concepts and their defi nitions that bear on the situation at hand. This section is used to clearly defi ne these concepts so that someone reading your analysis understands the concepts and defi nitions being used in your later analyses.

# Concept Defi nition

1

2

3

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# Concept Defi nition

4

5

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8

9

10

Conceptual Issues

The table of conceptual issues below is a list of the concepts that bear on the situa-tion at hand that have ambiguous or controversial defi nitions. This section is used to state the defi nitions assumed in the rest of the analyses. They are stated here to clearly outline any controversial defi nitions separate from their use within the moral analyses.

# Conceptual issue Assumed defi nition

1

2

3

4

5

6

7

8

9

10

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Morals/Values

The table of morals below is a list of the values that will be brought to bear on the situation at hand in the subsequent analyses. This is a good location to clearly elu-cidate the pieces of a code of ethics (especially a professional code of ethics) that will be brought to bear in this analysis. For example, in most engineering codes, it clearly states that the public’s health, safety, and welfare are the paramount virtues and this section of the document would be where you would outline the values that will be used in the analyses.

# Moral/value Source

1

2

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4

5

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8

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10

Moral/Value Issues

The table of moral/value issues below is a list of the values that while being fol-lowed by the decision-maker in the situation are controversial in nature. These are moral conundrums whose interpretations and proposed answers can change the out-come of the analyses.

# Moral/value issue Assumed rule/resolution

1

2

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# Moral/value issue Assumed rule/resolution

3

4

5

6

7

8

9

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Ethical Analysis (See Chap. 5 )

Now that you have framed your decision with the information you know from your initial analysis, you are ready to start the ethical analysis phase of your decision- making process. First, defi ne your hypothesis with a null refl ecting a status quo of unethical behavior for the proposed action; also, specify an alternative hypothesis of appropriate scope for the situation. Second, you will defi ne your audiences (i.e., those affected by the action being proposed in the hypothesis). Third, you will pro-cess some set of the analyses, basing your evaluations and observations on the data resolved and stated in your framing. Fourth, you will interpret the results of the analyses and select the most ethical course of action.

Generate the Hypotheses

There are two hypotheses: the null hypothesis, which is the assumption of an unethi-cal status quo or assumed course of action, and the alternative hypothesis.

The Null Hypothesis

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The Alternative Hypotheses

Determine the Audiences

The audiences of any given hypothesis set are all of the entities with moral standing that are affected by the proposed hypotheses. Depending on your moral philosophy these can either be limited to people only or to other living creatures or to large scale systems like the environment. Who you include is really a refl ection of your answer to the moral issue surrounding who has moral agency (i.e., someone or something that is free to make their own moral decisions and be affected by them) and who has moral patiency (i.e., someone or something that is not at the level of autonomy to be considered a moral agent, but yet can still be affected by the decisions made around them).

Audience Description

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Visualization: Expected Reciprocity Analysis

Use the table below to organize the analysis results for each audience being consid-ered. Be sure to base your analysis on the data from your frame so you have a solid argument.

Audience Audience Analysis

Conclusion

Visualization: New York Times Analysis

Imagine the proposed action will be announced in all its glory/infamy in the New York Times tomorrow. Generate the headline and analyze how you would feel if it was published in the paper for all of your friends and acquaintances to see. Be sure to base your analysis on the data from your frame so you have a solid argument.

Proposed Headline

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Analysis for Headline

Conclusion

Visualization: Anticipatory Self-Appraisal Analysis

Use the table below to detail your vision of yourself after you have performed the hypothesized action. Be sure to base your analysis on the data from your frame so you have a solid argument.

Analysis

Conclusion

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Visualization: Aggregate Application Analysis (Categorical Imperative)

Use the tables below to develop your proposed universal rule and to capture its analysis. Be sure to base your analysis on the data from your frame so you have a solid argument.

Proposed Universal Rule

Analysis for Rule

Conclusion

Virtue Analysis

Use the tables below to describe your desired virtues or admired exemplars and your analyses related to each of the hypotheses as it relates to the virtue or exemplar.

Virtues / Exemplars

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Analysis

Conclusion

Utilitarianism: Act Utilitarian Analysis

Use the matrix below to help detail out the effects of the hypothesized action on the audiences identifi ed earlier. We fi nd the use of ‘+’ and ‘−’ symbols a way to easily document the increase or reduction in utility for an audience, with ‘++’ being a greater increase than ‘+’ for example. Be sure to base your analysis on the data from your frame and the audiences identifi ed earlier so you have a solid argument.

Null hypothesis Discussion Alternate hypothesis Discussion

Audience #1

Audience #2

Audience #3

…

Audience #N

Conclusion

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Utilitarianism: Rule Utilitarian Analysis

Use the matrix below to help detail out the effects of the universalization of the hypothesized action. Be sure to base your analysis on the data from your frame and the audiences identifi ed earlier so you have a solid argument.

The Null Hypothesis Rule

The Null Hypothesis Rule Analysis

The Alternative Hypothesis Rule

The Alternative Hypothesis Rule Analysis

Conclusion

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Utilitarianism: Cost-Benefi t Analysis

Use the matrix below to help detail out the effects of the hypothesized action on the audiences identifi ed earlier. Be sure to use a consistent currency and remember to be consistent in the evaluation of the costs and benefi ts in terms of their likelihoods and expected values. Also, if you are time discounting or using any other parameter involving ambiguity or risk, be sure to note this. Base your analysis on the data from your frame and the audiences identifi ed earlier so you have a solid argument.

Null hypothesis Discussion Alternate hypothesis Discussion

Audience #1 $ $

Audience #2 $ $

Audience #3 $ $

… $ $

Audience #N $ $

Conclusion

Respect for Persons: Rights-Based Analysis

The rights-based analysis processes how the proposed actions affect each of the audiences in terms of the actual or possible violation of their rights expressed in tiers. The Tiers to use are:

• Tier 1- Basic Rights- Life, bodily and mental integrity, freedom from torture • Tier 2- Maintenance Rights- Maintenance of position, livelihood, emotional state • Tier 3- Advancement Rights- Ability to advance or grow, achieve goals.

We have found that the table below can be used effectively by putting a 1, 2 or 3 in the grid for each violation, and you can subscript it with a ‘p’ or ‘a’ for whether it represents a possible or actual violation respectively. Be sure to base your analysis on the data from your frame and the audiences identifi ed earlier so you have a solid argument.

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Null hypothesis Discussion Alternate hypothesis Discussion

Audience #1

Audience #2

Audience #3

…

Audience #N

Conclusion

Respect for Persons: Pareto Effi ciency Analysis

The pareto effi ciency analysis processes how the proposed actions affect each of the audiences in terms of the actual or possible benefi t or harm the audience might face with the enactment of the proposed action. In this analysis, you will compare the change in benefi ts or harms with the enactment of the alternative hypothesis as compared to the null hypothesis. Ideally, your action will only provide benefi ts or no change for all audiences in order to satisfy the principle. Be sure to base your analysis on the data from your frame and the audiences identifi ed earlier so you have a solid argument.

Effects of the null hypothesis Effects of the alternate hypothesis Change

Audience #1

Audience #2

Audience #3

…

Audience #N

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Conclusion

Overall Conclusion (See Chap. 6 )

The overall conclusion should take into account the conclusions drawn from the analyses performed. Ideally, you should have performed at least one test from each of the types of tests; Visualization, Virtue, Utilitarianism, and Respect for Persons. It is also a good idea to ensure you have used at least one situational (i.e., act-based) and one universal analysis to give you a well-rounded, well-reasoned overall analysis.

Concluding Judgment

The table below can be used for you to look at the results of all of the analyses you have performed in one location to do your fi nal comparison and judgment either by collecting the conclusions from the analyses and solving by summation by observa-tion or through the use of a line-drawing (casuistic) analysis.

Analysis Conclusion reached

Visualization analyses Expected reciprocity

New York times

Anticipatory self-appraisal

Aggregate application (categorical imperative)

Virtue analysis Utilitarian analyses

Act utilitarian analysis

Rule utilitarian analysis

Cost-benefi t analysis

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Analysis Conclusion reached

Respect for persons analyses Rights-based analysis

Pareto-effi ciency analysis

+0 −

The table above can be used either as a summary table or as a line-drawing tool for helping you decide the fi nal judgment. If you want to use the table for line- drawing, you would represent the conclusion from each of the tests as a point some-where in the horizontal width of the grid cell according to the poles indicated at the bottom of the table (left-hand side represents absolutely morally permissible action, whereas the right-hand side represents the absolutely morally forbidden action).

Final Conclusion

After all of your framing, analysis, and judgment, you should be able to determine whether you have suffi cient evidence to reject the null that the proposed course of action is unethical. If you fail to reject the null, ask yourself where the crucial issues in the process for the proposed course of action are. These will guide you in a rede-sign of a potential ethical solution to the situation at hand.

Final Conclusion

Discussion or Formulation of New Hypothesis

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Appendix 2: Professional Codes of Ethics for the Social Sciences

Anthropology

American Anthropological Association Main: http://www.aaanet.org/issues/policy-advocacy/code-of-ethics.cfm Ad.Res.: http://www.aaanet.org/profdev/ethics/

Association of Social Anthropologists of the UK and Commonwealth Main: http://www.theasa.org/ethics/guidelines.shtml Ad.Res.: http://www.theasa.org/ethics.shtml

Communications

International Communication Association Main: http://www.icahdq.org/about_ica/ethics.asp

National Communication Association: Main: http://www.natcom.org/uploadedFiles/About_NCA/Leadership_and_Governance/Public_Policy_Platform/PDF-PolicyPlatform- NCA_Credo_for_Ethical_Communication.pdf Ad.Res.: http://www.natcom.org/Tertiary.aspx?id=2119

Criminology

American Society of Criminology No code of ethics adopted

290

British Society of Criminology Main: http://www.natcom.org/uploadedFiles/About_NCA/Leadership_and_Governance/Public_Policy_Platform/PDF-PolicyPlatform- NCA_Credo_for_Ethical_Communication.pdf

Economics

American Academy of Economic and Financial Experts Main: http://www.aaefe.org/en/ethics-statement

American Economic Association No formal code of ethics adopted Disclosure policy: http://www.aeaweb.org/aea_journals/AEA_Disclosure_Policy.pdf

National Association of Forensic Economics Main: http://nafe.net/about-nafe/nafes-ethics-statement.html

International Economic Development Council Main: http://www.iedconline.org/web-pages/inside-iedc/iedc-code-of-ethics/

Education

National Education Association Main: http://www.nea.org/home/30442.htm

American Educational Research Association Main: http://www.aera.net/Portals/38/docs/About_AERA/CodeOfEthics(1).pdf Ad.Res.: http://www.aera.net/AboutAERA/AERARulesPolicies/CodeofEthics/tabid/10200/Default.aspx

Environment

National Association of Environmental Professionals Main: http://www.naep.org/code-of-ethics

National Registry of Environmental Professionals Main: https://www.nrep.org/ethics.php

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History

American Historical Association Main: http://www.historians.org/about-aha-and-membership/governance/policies- and-documents/statement-on-standards-of-professional-conduct

Human Resource Management

Society for Human Resource Management Main: http://www.shrm.org/TemplatesTools/Samples/Policies/Pages/InternationalCodeofConductPolicy.aspx

International Relations

International Studies Association Main: http://www.isanet.org/ISA/Governance/PolicyandProcedures/tabid/216/

ID/9/ISA-Code-of-Conduct.aspx

Law

American Bar Association Main: http://www.americanbar.org/groups/professional_responsibility/publications/model_rules_of_professional_conduct/model_rules_of_professional_conduct_table_of_contents.html

Linguistics

Linguistic Society of America Main: http://www.linguisticsociety.org/fi les/Ethics_Statement.pdf

Politics

American Political Science Association Main: http://www.apsanet.org/content_9350.cfm

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Public Administration

American Society of Public Administration Main: http://www.aspanet.org/public/ASPA/Resources/Code_of_Ethics/ASPA/Resources/Code_of_Ethics/Code_of_Ethics1.aspx?hkey= acd40318-a945-4ffc-ba7b-18e037b1a858

Psychology

American Psychological Association Main: http://www.apa.org/ethics/code/index.aspx

Public Finance

Government Finance Offi cers Association Main: http://www.gfoa.org/index.php?option=com_content&task=view&id=98&Itemid=108

Public Management

Academy of Management Main: http://aom.org/uploadedFiles/About_AOM/Governance/AOM_Code_of_Ethics.pdf Ad res: http://aom.org/About-AOM/Ethics.aspx

American Academy of Certifi ed Public Managers Main: http://www.cpmacademy.org/operations/Code_of_Ethics.pdf

International City/County Management Association Main: http://www.gfoa.org/index.php?option=com_content&task=view&id=98&Itemid=108

Social Psychology

Society for Personality and Social Psychology Main: http://www.spsp.org/?page=Ethicspolicy

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Social Work

National Association of Social Workers Main: http://www.socialworkers.org/pubs/code/default.asp

Sociology

American Sociological Association Main: http://www.asanet.org/about/ethics.cfm

International Sociological Association Main: http://www.isa-sociology.org/about/isa_code_of_ethics.htm

Statistics

American Statistical Association Main: http://www.amstat.org/about/ethicalguidelines.cfm

Women’s Studies

National Women’s Studies Association Main: http://www.nwsa.org/content.asp?pl=19&contentid=46

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295© Springer Science+Business Media Dordrecht 2016 E.A.M. Searing, D.R. Searing (eds.), Practicing Professional Ethics in Economics and Public Policy, DOI 10.1007/978-94-017-7306-5

A Agency , 4 , 72 , 129 , 146 , 153 , 167 , 216 , 218 ,

221 , 234 Altruism , 26 , 180 , 181 , 183 Ambiguity , 8 , 59 , 61–64 , 67 , 68 , 155 Aristotle , 8 , 14–16 , 67 , 245 , 246 Assumption , 4 , 7 , 9 , 10 , 17 , 18 , 35 , 56 , 57 ,

67–68 , 73 , 75 , 76 , 107 , 125 , 126 , 128 , 132 , 144 , 146 , 151 , 154 , 159 , 180 , 183 , 203 , 210 , 224 , 225 , 227 , 243

Audience , 5 , 7 , 32 , 38 , 89–92 , 94 , 96 , 99–102 , 106 , 112 , 114 , 128 , 129 , 135–139 , 146 , 147 , 149 , 152 , 154 , 155 , 157 , 158 , 166 , 266 , 268

B Bentham, J. , 18–22 , 35–37 , 65 , 87 Bias , 9 , 10 , 56 , 66 , 72 , 90 , 92 , 110 , 112 , 220 ,

221 , 225 , 253

C Casuistry (line-drawing) , 107 , 109 , 115–119 ,

140 , 158 , 159 Categorical imperative , 28 , 83 , 95 , 245 Concept , 10 , 18 , 20 , 21 , 26 , 29 , 31 , 35 , 37 , 39 ,

40 , 43 , 44 , 63–64 , 67 , 80 , 87 , 88 , 98 , 101 , 103 , 114 , 127 , 133 , 134 , 234 , 270

Conclusions , 7 , 10 , 26 , 31 , 36 , 38 , 57 , 61 , 66 , 68–69 , 73 , 77–79 , 84 , 88 , 96 , 102 , 105–115 , 117–121 , 131 , 133 , 136 , 140 , 150 , 158 , 159 , 204 , 218 , 230 , 235 , 237–239 , 244 , 262

Cost-benefi t , 21 , 76 , 87 , 88 , 91 , 96–99 , 109 , 112 , 113 , 197 , 257

D Data , 10 , 57–62 , 66–68 , 74 , 78 , 79 , 107 , 108 ,

128 , 133 , 135 , 136 , 138 , 139 , 142 , 146 , 147 , 149 , 150 , 152 , 154 , 155 , 157 , 164 , 166 , 167 , 186 , 197 , 218 , 226 , 229 , 244 , 246

Decision scenario , 57 , 58 , 65 , 67 Democracy , 20 , 21 , 25 , 36 , 78 , 107 , 108 , 142 ,

143 , 180 , 185 , 249

E Economics

behavioral , 4 , 22 , 27 , 56 experimental , 11 , 56 , 195–204

Equilibrium , 17 , 23 , 25 , 29 , 30 , 37 , 78 Ethics , 5 , 8 , 10 , 14 , 15 , 60 , 73 , 75 , 84–87 , 97 ,

99 , 101 , 112 , 120 , 124–128 , 134 , 141 , 145 , 175–178 , 180–183 , 185 , 195–204 , 215–221 , 223–228 , 237–253 , 255–262 , 265–271

codes of , 11 , 59 , 224 , 257 professional , 5 , 6 , 8 , 9 , 59 , 62 , 238–241 ,

244 , 266 , 268–270

F Fact , 6 , 8–10 , 18 , 20 , 30 , 34 , 59 , 62–64 , 67 , 74 ,

79 , 87 , 88 , 90 , 91 , 98 , 100 , 110 , 115 , 124 , 126 , 130 , 132–134 , 148 , 155 , 158 , 172 , 174–177 , 181 , 185 , 189 , 196 , 198 , 208 , 211 , 212 , 220 , 225 , 230 , 231 , 234 , 258

Feminism , 266 Framing , 77 , 79 , 90 , 128 , 141 , 146 , 149 , 159 ,

173 , 239

Index

296

H Hayek, F.A. , 22–24 , 29 Heuristic , 5–7 , 66 , 67 , 72 , 107 , 111 , 113 Human resources , 167 , 215–221 , 261 Hypothesis

null , 58 , 67 , 73 , 75 , 76 , 80–82 , 86 , 102 , 106 , 109 , 114 , 128 , 132–134 , 136 , 137 , 139–141 , 146–152 , 154 , 155 , 157–160

testing , 9 , 10

I Individualism , 22 , 172 , 180

K Keynes, J.M. , 23 , 26 , 29–30 , 42 , 44 , 258

L Laissez-faire , 23 , 44 Libertarian , 23 , 38 , 259 Logic , 15 , 26 , 27 , 31 , 36 , 83 , 94 , 114 , 173 , 245

M Marx, K. , 10 , 16 , 33–35 , 44 , 65 Moral reasoning , 10 , 42 , 61 , 67 , 80 , 83 , 102 ,

105 , 115 , 177 , 178 , 190 , 249 Morality , 8 , 20 , 24 , 26 , 28 , 31 , 33 , 99 , 128 ,

246–248 , 253 , 267

N Normative , 6 , 26 , 27 , 56 , 61 , 64 , 65 , 72 , 73 ,

175 , 246 , 247 , 260 , 266 , 270

O Objectivity (objective) , 28 , 38 , 72 , 79 , 81 , 91 ,

99 , 119 , 120 , 164–166 , 175 , 177 , 228 , 246 , 258 , 266

Orthodox , 175 , 176 , 260 Ought , 6 , 25 , 26 , 57 , 64 , 65 , 86 , 182 , 208 , 232 ,

237 , 238 , 240 , 242 , 246

P Policy , 4–11 , 15 , 17–19 , 21 , 23 , 24 , 27–37 , 39 ,

40 , 44 , 45 , 57 , 61 , 65 , 68 , 73 , 77 , 87–89 , 96 , 97 , 112 , 120 , 124 , 143 , 145 , 150 , 160 , 164–168 , 180 , 188 , 197 , 201 , 207–212 , 217–219 , 221 , 235 , 246–252 , 256–259 , 262 , 266–271

social , 23 , 31 , 35–37 Positivism , 15 , 26 , 36 Poverty , 37 , 63 , 148 , 153 , 154 , 185 , 242 , 243 ,

256 , 258–260 , 266 Preferences , 18 , 36 , 173 , 183 , 185 , 202 ,

241 , 255 Priors , 56 , 66

R Recession , 16 , 23 , 30 , 34 , 44 , 260 Relativism , 28 , 246 , 247 Respect for persons , 84 , 99 , 107 , 108 , 112 ,

198 Rights , 7 , 9 , 21 , 25 , 32 , 33 , 37 , 39 , 41 , 42 , 64 ,

76 , 84 , 95 , 99–101 , 109 , 112 , 113 , 137 , 138 , 147 , 155–157 , 168 , 178 , 182 , 218 , 242 , 246 , 247 , 249–253

S Social contract , 25 , 26 , 28 , 34 , 41 , 42 Social welfare function , 18 , 21 , 41 , 204 State of nature (natural state) , 24 , 25 , 41 Subjectivity (subjective) , 28 , 38 , 56 , 96 , 175 ,

176 , 203 , 270

T Tyranny , 20 , 21 , 36 , 40

U Unemployment , 30 , 34 , 217 , 224 Utilitarianism , 6 , 9 , 10 , 19–21 , 35 , 84 , 87 – 89 ,

95 , 107 , 108 , 245 , 248 Utility , 7 , 18–21 , 36 , 37 , 40 , 41 , 56 , 64 , 88 , 89 ,

92 , 99 , 103 , 135 , 152 , 176 , 181 , 182 , 187 , 270

Index

297

V Validity , 26 , 36 , 66 , 68 , 73 , 77 , 182 , 196 ,

200–202 Value , 8–10 , 33 , 34 , 37–39 , 56 , 57 , 60 , 63–66 ,

73 , 79 , 87 , 91 , 92 , 96–99 , 107–109 , 113–115 , 117 , 127 , 128 , 134 , 138 , 144 , 145 , 149 , 155 , 158 , 159 , 163 , 164 , 175 , 176 , 180 , 182–184 , 187 , 210 , 220 , 223 , 224 , 230 , 246 , 247 , 253 , 258 , 259

Virture , 38 Visualization , 80 , 83 , 109 , 112 , 113 , 115 ,

130–133 , 140 , 147–151 , 158

W Weighting , 107 , 110–115 , 118 Well-being , 22 , 27 , 37 , 63 , 83 , 87–92 , 99 , 137 ,

151 , 155 , 175 , 181 , 189 , 234 , 260 , 261

Index