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Ethical and Professional Conduct in an ‘Experiment in Anarchy’

The digital world offers revolutionary means to communicate, store and share data. But using it in a responsible and ethical manner is as important as it is challenging, as Lauren Bloom, an expert on professional ethics and risk management, pointed out in the recent ASPPA webcast, “Ethics and Professionalism in the Digital Age.”

“The digital world is an experiment in anarchy,” said Bloom, calling the Internet “the first thing man has built that he doesn’t understand.” She noted that while it offers many advantages, using electronic tools is not a panacea and outlined the challenges professionals face in using them:

  • speed and growing variety of electronic communications
  • maintaining control of final work products
  • maintaining confidentiality
  • the tremendous amount of information
  • opportunities to plagiarize
  • snafus in using social media
  • maintaining a professional tone
  • permanence of electronic messages
  • online advertising
  • document retention
Regarding electronic communications, Bloom suggested that it is wise to treat email and text messages in the way in which one would treat registered mail. She urged care concerning tone, and suggested that one use the telephone or even meetings for discussion of sensitive topics.
Bloom highlighted controlling work product as an especially important function. She suggested ways to do that:

  • control drafts during work on a document or issue
  • establish protocols
  • uniquely identify drafts — remember that multiple drafts can get crossed in email
  • present content fairly
  • identify sources
  • train those working on a project or document on ethical and professional ways to proceed
  • remember that files can go anywhere — without close control, third parties can obtain and use one of your documents
To illustrate the risks of not closely controlling where a file goes, Bloom said that she was surprised to receive a thank-you note from a firm in Reykjavik, Iceland regarding a document of hers that they had found helpful. Not only had she not sent it to them, she had never even heard of them.

Confidentiality also is critically important. “Once it’s out, you can’t call it back,” she warned. She added that cybersecurity is a constant, and worsening, risk, cautioning that there is “always the possibility a hacker might want information about and from a benefit plan.” And it is wise to make sure that one’s employees are sensitive to confidentiality, Bloom advised, remarking, “The biggest risk may be your staff.”

To better maintain confidentiality, Bloom suggests the following steps:

  • know the legal obligations
  • limit access to sensitive information
  • think before sending an electronic transmission
  • remember that there may be cases in which a client may not want their identity known
  • put cybersecurity controls in place
  • train staff members
  • think about who in the company may have access to confidential information
  • remember that electronic files, communication and documents are permanent
Plagiarism is another risk. Bloom argued that time pressures heighten the temptation to plagiarize. She suggested carefully considering what is research and what is theft. Further, said Bloom, “Just because something is online doesn’t mean it is in the public domain and that you may use it.” To avoid plagiarism, she offered these tips:

  • build enough time into projects
  • always include attributions
  • ask an author for permission to use their material
  • don’t use material you are not competent to use
  • define ownership rights
“Think before you post!” was the essence of Bloom’s comments regarding social media. Her more detailed suggestions included:

  • make sure online bios are accurate
  • exercise care while tweeting and blogging
  • control emotions
  • don’t argue online
  • establish an online communications policy
  • train staff in work-related use of social media
Bloom urged attendees to resist the temptation to inflate one’s credentials when advertising online and to be careful to make sure references are accurate and not to automatically reciprocate endorsements.

And she recommended care regarding document retention. Key considerations:

  • emails can be subject to recovery
  • once a file or document is sent, it’s permanent
  • electronic documents that have been deleted can be reconstructed by other parties
  • remember when creating a virtual document, it may be subject to discovery
  • set a document retention policy and follow it
A document retention policy must be part of a regular proactive policy, and not simply a response to a specific request for a document or information. In other words, have the policy in place first.

Bloom observed throughout that ASPPA’s Code of Professional Conduct, adopted July 1, 2013, provides standards and guidelines that address all these critical considerations and offers a comprehensive way to ensure that use of electronic media and communications, as well as document creation, dissemination and use, are conducted in an ethical and professional manner that complies with the letter and spirit of the law.

The bottom line, said Bloom, is to remember that technological gifts come with a cost. “Use them cautiously,” she said, adding, “Sometimes it’s as simple as slowing down. Treat it with the respect that permanent things deserve.”

Bloom will deliver the keynote address at the 2014 ASPPA Annual Conference on Oct. 27 on ethics in the digital age. For more information, click here.