The professions in a comprehensive context: A two-tier framework

Abstract

This article proposes the expansion of the definition and scope of a “profession” to explicitly incorporate issues of ethics, equity, environment and philanthropy to meet the demands of the 21st century. Governing bodies (professional designations, certificates and licensures) that develop and advance fields of study are tasked with updating the profession’s institutional knowledge, professional standards and best practices. The proposed two-tier framework elevates the significance of learning about the best practices for effectively applying ethical standards, achieving equity, protecting the environment and embracing philanthropy (tier 2) to the level of required technical knowledge (tier 1) in the field. Institutions of higher education have a critical role in nurturing and disseminating this broader two-tier framework early in the education of professionals of the future. Government agencies can directly and indirectly contribute to these efforts by providing resources and incentives. More importantly going forward, expanding the definition of a profession can only produce better-rounded leaders who will be more comprehensively prepared to take on global complex challenges. Adopting the framework will benefit professionals, the professions, employers, the community and the environment.

Keywords

Ethics and professional conduct industry diversity equity and inclusion philanthropy environmental concerns professions

The objective of this article is to present a new two-tier framework intended to expand the definition and scope of a profession, regardless of the discipline – be it education, engineering, technology, healthcare, law, economics, etc. Governing bodies (professional institutions) that develop and advance disciplines are tasked and credited with continuously updating the profession’s institutional knowledge, professional standards and best practices. The proposed expansion of the definition raises the significance of learning about the best practices for effectively applying ethical standards, achieving equity (social justice) and protecting the environment to the level required for specialized knowledge in the field. Professions have become increasingly global. We argue that, for a profession to meet the demands of the 21st century, its professional standards and required best practices should explicitly integrate:

1. codes of ethics and standards for professional conduct;

2. equity (in the spirit of equity, diversity and inclusion, aimed at furthering social justice);

3. environmental awareness and care; and

4. philanthropy.

Four definitions of “profession” are examined. The definitions do not adequately address the four connections listed above. In addition, professional designations and licenses develop codes of ethics and best practices for professional conduct and expect members to comply with them. Yet the codes of ethics and professional conduct are not covered (as part of the curriculum) in the exams required for many (not all) of these designations and licenses. Interestingly, many of the sponsoring organizations of these professional designations and licenses have already committed resources to develop a code of ethics and standards of professional conduct. They expect members to comply with its requirements, yet the “code of ethics subject matter” is not covered in the associated exam. For example, according to the CFA Institute (2022a), the globally recognized designation of “Chartered Financial Analyst” includes ethics and standards of professional conduct in the curriculum required for the three levels of exams; the Project Management Institute (2021), sponsor of the Project Management Professional (PMP) Certificate, expects its members, certification holders and applicants to comply with the code of ethics and professional conduct. The code and the standards are supplemented with the Code Values Card and Ethical Decision Making Framework. Yet the required curriculum for the PMP Certificate exam does not cover the code and the standards.

The proposed two-tier framework

The framework, presented in Figure 1, proposes that practitioners in all professions, whenever appropriate, study and consider how their profession- or industry-specific decisions interact with current ethical practices as well social and environmental issues. In addition, the framework recommends that philanthropy becomes a common professional culture and practice. Philanthropy can take many forms, including volunteering for profession-related events, serving on the board of a not-for profit organization, distributing food to the needy, coaching school children, mentoring young professionals and obviously making pecuniary donations, among others. The framework does not advocate that all professionals become philanthropists or ethics, social or environmental activists.

Figure 1.

Two-tier framework for professions.

Under no conditions should equity, environmental and philanthropic issues dominate the core professional knowledge, skill sets and responsibilities. They are important because they are likely to influence the decisions of practitioners in many professions and help practitioners make better informed and more society- and environment-friendly decisions. Specifically, the objective of focusing attention on equity issues is to provide access to a larger segment of the population without compromising academic rigor, ethical demands or professional standards and responsibilities. Many young people need:

• an introduction to the profession;

• education and training to help prepare them for completing the requirements of the certificates, professional licenses and designations;

• mentoring by members of the profession; and

• in some cases, financial support.

How does the framework affect curricula for professional designations and licenses?

This framework does not interfere with the curriculum specific to the profession. Profession-specific requirements can be thought of as “tier 1” requirements and ethics, equity, environment and philanthropy can be through of as “tier 2” requirements. The governing body of each profession can decide on the tier 2 topics and applications that are most complementary to current needs and future challenges and aspirations of the profession. Governing bodies may seek the counsel of institutions with extensive knowledge and expertise in ethical and professional practices, equity and environmental issues and philanthropy.

Institutions of higher education have a critical role in nurturing and disseminating this broader two-tier framework early in the education and career development of the professionals of the future.

What is the definition of a profession? Four examples

In this section, four overarching definitions of a profession are identified and discussed.

First, the Australian Council of Professions (2003) defines a profession as:

“a disciplined group of individuals who adhere to ethical standards and who hold themselves out as, and are accepted by the public as possessing special knowledge and skills in a widely recognized body of learning derived from research, education and training at a high level, and who are prepared to apply this knowledge and exercise these skills in the interest of others.”

It is inherent in the definition of a profession that a code of ethics governs its activities. Such codes require behavior and practice beyond the personal moral obligations of an individual. They define and demand high standards of behavior in respect to the services provided to the public and in dealing with professional colleagues. Often these codes are enforced by the profession and are acknowledged and accepted by the broader community.

The definition weaves ethical standards into special knowledge, a high level of learning and the application of knowledge and skills to serve others. Although it emphasizes codes of ethics and covers the basics of what a profession is, it is silent on equity (social justice), environment and philanthropy. The definition does not identify who the intended others are. Most likely, they are the individuals who are directly involved in the profession.

Second, Cruess et al. (2004) (CJC) describe a profession as:

“An occupation whose core element is work based upon the mastery of a complex body of knowledge and skills. It is a vocation in which knowledge of some department of science or learning or the practice of an art founded upon it is used in the service of others. Its members are governed by codes of ethics and profess a commitment to competence, integrity and morality, altruism, and the promotion of the public good within their domain. These commitments form the basis of a social contract between a profession and society, which in return grants the profession a monopoly over the use of its knowledge base, the right to considerable autonomy in practice and the privilege of self-regulation. Professions and their members are accountable to those served and to society.”

CJC’s definition is broad. It encompasses ethics, a high level of knowledge and several commitments of members to society. It introduces, at least implicitly, a contract between society and members of the profession. Through this contract members acquire knowledge and skills, self-regulate and are rewarded with “unique” monopoly power to apply and advance the knowledge base. Although the inclusion of altruism in the definition is a welcome expansion, it does not explicitly address equity, environment and philanthropy. In the context of this definition, altruism does encompass philanthropy gifted to direct constituents of the profession as well as acts of charity, contributions and volunteering to the broader community. Yet the definition does not account for issues pertaining to equity and environment.

Interestingly, to describe the relationship between society and the profession, the definition correctly encompasses the word “contract” which normally invokes legal, economic and financial consequences, rights and duties, dispersed over time.

Third, Aukett (2017) quotes Lord Benson speaking in a debate in the British House of Lords in 1992. Lord Benson listed four key features of a profession:

“Rules and standards over and above norms required by law. A membership, which is independent in thought and outlook, but which subordinates its private interests in favor of support for the governing body. Disciplinary action if standards are not practiced. Leadership.”

Lord Benson’s definition holds professionals to a higher standard and expects them to act independently and follow the governing body of their profession. The governing body disciplines members when a violation of standards occurs. For the governing body to discipline members, it must have some power over them: the most likely source of this power would be a legally required license or a designation that members must complete its requirements in order to deliver their services to clients. Interestingly, Lord Benson’s definition incorporates leadership but does not specify where that leadership is expected to show its impact. A professional may demonstrate leadership within their own career at their current place of employment, within the profession and broadly within society. Although Lord Benson does not explicitly address ethics, one may argue that ethical practices are subsumed in the higher standards that professionals must adhere to. This definition is quiet on equity, environment and philanthropy.

Fourth, the most comprehensive definition of a profession is delineated in the “six commonplaces” of Gardner and Shulman (2005). They attribute the following six common characteristics to professions:

1. “A commitment to serve in the interests of clients in particular and the welfare of society in general.”

2. “A body of theory or special knowledge with its own principles of growth and reorganization.”

3. “A specialized set of professional skills, practices, and performances unique to the profession.”

4. “The developed capacity to render judgments with integrity under conditions of both technical and ethical uncertainty.”

5. “An organized approach to learning from experience both individually and collectively and, thus, of growing new knowledge from the contexts of practice.”

6. “The development of a professional community responsible for the oversight and monitoring of quality in both practice and professional education.”

In essence, professionals serve and place first the interests of their clients and those of society; acquire knowledge and collaborate to advance the specialized practices, tools and skills unique to their profession; refine their abilities to make challenging independent decisions (impartial to personal or institutional interests) under uncertain technical and ethical conditions; respect institutional history and foster institutional knowledge; and, lastly, contribute to advancing the professional community.

Gardner and Shulman (2005) emphasize the acquisition, development and application of knowledge, skills and practices at the individual and institutional professional levels. Notice that, the scope is broad; the six commonplaces do unequivocally address ethical conduct. Members are expected to develop the judgement to make decisions under technical and ethical mistiness. Gardner and Shulman dedicate greater attention to the professional’s responsibility toward society, most likely within the boundaries of the profession. Their framework expects members to balance the interests of clients, served directly, against societal interests through their role within the profession. For example, a wealth manager places a client’s interests ahead of his or her own and those of the employer but will not do so at the expense of other clients or other practitioners in the wealth management industry.

The Gardner and Shulman commonplaces are extensive but they do not consider equity issues (social justice), environmental concerns and philanthropy. The model can be expanded by modifying the definition of “welfare of society” in characteristic 1 above to clearly account for diversity, equity and inclusion. In addition, we can also integrate the seventh and eighth characteristics: a deliberative impactful concern for the welfare of the environment and a deliberative impactful tangible commitment to philanthropy.

How do professional designations and licenses cover environmental issues?

The governing bodies of many professions adopt a narrow view of environmental issues, addressing them only to the extent of their significance in discharging duties within the profession. We present in this section actual examples of required subject matter (content) and/or from the standards of professional conduct of several professions.

Chartered financial analyst

The Chartered Financial Analyst (CFA®) designation is sponsored by the US-based CFA Institute (2022a), with chapters and exam centers all over the world. The Candidate Body of Knowledge (2022) includes the following relevant topics: (a) Corporate Issuers – Risk Factors (including environmental and social); (b) Portfolio Management & Wealth Planning – Environmental, Social and Governance (ESG) Investing; and (c) risk management.

These selected topics suggest that the CFA Institute embraces a focused view of environmental topics, covered in the CFA exams. The topics address environmental issues only to the extent of their significance in discharging duties within the investment management profession.

The CFA Code of Ethics and Standards of Professional Conduct includes, among others, the following Standards: (a) Standard III, Duties to Clients; (b) Standard IV, Duties to Employers; and (c) Standard VII, Responsibilities as a CFA Institute Member or CFA Candidate. A standard on “Duties to the Environment” and another standard on “Duties to Equity (Social Justice)” would make a substantial complement to the rest of the standards and would more comprehensively prepare investment management professionals for the challenges of the 21st century.

To the credit of the CFA Institute, it has committed huge resources to environmental, social and governance issues. In 2005 it developed and launched the ESG Guide for Investment Professionals. The CFA Institute (2022c) also released the Global ESG Disclosure Standards for Investment Products in 2021. And in March 2021, it launched the Certificate in ESG Investing.

The stakeholders in the global investment management profession stand to benefit substantially from incorporating these resources into the CFA curriculum and exams, which in turn are intended for the generalist investment management professional. The aim of this significant attention to and recognition of these issues is to change the attitudes and behavior of participants in the profession.

Professional engineer

The Professional Engineer (PE®) designation is sponsored by the US-based National Council of Examiners for Engineering and Surveying (NCEES, (National Council of Examiners for Engineering and Surveying, 2022) Exams are offered in many countries. The NCEES organizes the Principles and Practice of Engineering Examination (NCEES, 2020). The exam lists the topics and the number of questions allocated for each topic. One of the subjects for the Chemical CBT Exam is “Plant Design and Operation”. Under “Plant Design and Operation”, the following topics are required for “Safety, Health, and Environment” : (a) hazards identification and management (e.g., chemical and reactivity hazards, process hazard analysis, independent protection layers, safety data sheets, exposure limits and control); (b) protective systems (e.g., pressure relief, inerting, discharge location, secondary containment); and (c) environment (e.g., emissions evaluation, mitigation, remediation).

The NCEES administers exams for different engineering disciplines. For many of those disciplines, the content does not include any general environmental issues the relevant selected topics above show that the NCEES supports a curriculum focused view of environmental issues, covered in the exams. The topics address environmental issues only to the extent of their significance in discharging duties within the engineering profession.

Project management professional

The Project Management Professional (PMP®) designation is sponsored by the US-based Project Management Institute (PMI) with chapters and exam centers throughout the world. Several of the PMI certification exams are translated into different languages. According to the January 2021 exam update, the PMP Examination Content Outline breaks up the required content into three domains: “People”, “Process” and “Business Environment”. In turn, there are several tasks that make up each domain. Under “People”, Task 11, “Engage and support virtual teams”, the responsibilities listed include: (a) examine virtual team member needs (e.g., environment, geography, culture, global, etc.); (b) investigate alternatives (e.g., communication tools, co-location) for virtual team member engagement; (c) implement options for virtual team member engagement; and (d) continually evaluate the effectiveness of virtual team member engagement.

The relevant selected tasks clearly show that the PMP adopts a curriculum specific view of environmental issues covered in the exams. The tasks address environmental issues only to the extent of their significance in discharging duties within the profession.

Registered nurse

The Registered Nurse (RN®) license is sponsored by the US-based National Council of State Boards of Nursing (NCSBN). Exams are administered in the USA, Canada and Australia.The content of the National Council of State Boards of Nursing (2020) Registered Nurses (NCLEX-RN®) Test Plan is organized into four major “Client Needs” categories: (a) Safe and Effective Care Environment; (b) Health Promotion and Maintenance; (c) Psychosocial Integrity; and (d) Physiological Integrity. Under “Safe and Effective Care Environment” the section on “Safety and Infection Control” includes the following activity statements:

• Accident/Error/Injury Prevention. Assess client for allergies and intervene as needed (e.g., food, latex, environmental allergies). Evaluate client care environment for fire/environmental hazard.

• Handling Hazardous and Infectious Materials. Identify and employ methods to control the spread of infectious agents (e.g., cleaning with appropriate solutions). Identify and address unsafe conditions in health care environment (e.g., environmental, biohazard, fire). Demonstrate knowledge of facility protocols for handling hazardous and infectious materials

• Home Safety. Identify fire/environmental hazards (e.g., frayed electrical cords, small area rugs, inadequate footwear). Determine client understanding of home safety needs. Provide client with information on home safety. Reinforce client education on home safety precautions (e.g., home disposal of syringes, lighting, handrails, kitchen safety).

The general Safety and Infection Control activity statements include the need to identify and address unsafe conditions in the health care environment (e.g., environmental, biohazard, fire). Despite the profound impact that healthcare profession has on the environment, the topics required for the Registered Nurse exam do not incorporate general environmental issues. The activity statements in the NCLEX®-RN Test Plan incorporate environmental issues only to the extent of their significance in discharging duties within the nursing profession.

Summary

The narrow focus on environmental issues unique to the profession is evident in the requirements of these four professional designations and licenses. Hence the open invitation to prepare a plan to directly address and substantively incorporate environmental issues in a broader context of the profession.

Role of higher education institutions

Universities and colleges are central to the implementation and realization of the intended outcomes of the two-tier framework. Tier 1 covers p rofession-specific requirements and tier 2 enriches the scope of the profession by integrating profession-relevant requirements for ethical, equity, environmental and philanthropic issues.

Universities are generally very responsive to diversity, equity and inclusion concerns and rely on different forms of philanthropy to support many of their programs, scholarships, projects and extracurricular activities. As might be expected, universities and colleges teach many of the topics in the curriculum required for the exams. In addition, many universities make purposeful efforts to integrate the curriculum required for a license or professional designation into the courses required to earn the university degree. For example, the CFA Institute (2022b) set up the University Affiliation program, and many undergraduate programs in Business Administration have embedded the topics required for the CFA exam in their courses and advertise their affiliation with the program. Like many other licenses and professional designations, the CFA curriculum includes an extensive ethics and professional conduct component. I invite universities to take the next step by instilling the idea of care for and genuine interest in ethical conduct equity (social justice), environmental and philanthropic issues.

To support students post-graduation, many universities invest in a career development center to help students secure career opportunities. To this end, career centers maintain relationships with potential employers in both the private and public sectors. Universities can expand the scope of their career centers so that they not only provide career advice and support but also evaluate potential employers with regard to their commitment to equity and environmental causes. Universities and their career centers can benefit from the disclosures made by companies and government agencies at CDP (2022) – “a not-for-profit organization that runs the global disclosure system for investors, companies, cities, states and regions to manage their environmental impacts”. Over 10,000 institutions internationally disclose through CDP, which has developed the “gold standard” of environmental reporting, becoming the most comprehensive data source on city and corporate actions.

Invoking ethics, equity, environment and philanthropy into the requirements of a profession makes every field of study inescapably and necessarily multidisciplinary and globally oriented. This creates new opportunities for innovation, internships, research, journals and collaboration among different specialties. Going forward, universities can enhance curricula and students’ educational experience by developing and using cases and research journals with multidisciplinary perspectives. To the extent that a license or a professional designation mandates continuing professional development, that requirement can be met, at least in part, through training on current equity, environmental and philanthropic issues.

Some may argue that expanding the curriculum of professional designations and licenses to incorporate ethics, equity and the environment will raise the cost of completing the requirements of the designation. Indeed! Yet the increase in the cost is relatively small, considering that it relates to a long-term change in the structure of the designation and license. More importantly, expanding the definition of a profession can only produce better-rounded leaders who will be more comprehensively prepared to bring about constructive societal impact and take on global complex challenges. Over the long term, the new tier in professional designations will augment value for the professional, the employer, the profession, the immediate community, the city and society at large.

Implications and conclusions

This article commends and supports the development and adoption of professional designations, licenses, and certificates such as the CFA, the PMP, the Professional Engineer and the Registered Nurse, to name only those examples discussed in this article. The author also acknowledges their genuine interest in and support for ethics, equity, environmental and philanthropic initiatives.

Professionalism can be complete only with more impactful accompanying professional conduct. Ethical practices, equity and environmental issues should be explicitly addressed in the recommended best practices, the required curriculum and the associated examinations that are mandatory for earning the designation or license. The two-tier framework proposed in this article facilitates a more comprehensive and broadly relevant career development.

Society would benefit were the professions to reduce and eventually eliminate access barriers for its socioeconomically less privileged members. However, while enhancing access to professional designations and licenses, sponsors should not dilute the professional standards that industry participants are expected to rise to, uphold and enforce.

The two-tier framework introduces a societal care contract between the professional, society and the environment. Although duties to the environment and duties to equity (social justice) may not be directly related to a professional’s daily responsibilities, they are critical for the long-term success of employee, employer (private and public), the profession, clients and society. The government, at different levels and through numerous agencies, can directly and indirectly boost efforts to adopt the framework by providing resources and incentives for incorporating ethical, equity and environmental issues into the profession’s knowledge base, curriculum, exams, standards and best practices. Government agencies can offer internships, training programs, podcasts, scholarships and research grants to students, educators and researchers working on equity, ethical, environmental and philanthropic issues.

The proposed two-tier framework comes with many potential benefits. With a greater number of individuals earning the professional designations, certificates and licenses, economic inequality will retreat, and incomes and standards of living will rise. As more people embrace sensitivity to environmental concerns, over the long term the world will be a better place to inhabit. A better quality of life will emanate from long-term solutions for droughts, fires, heavy floods and higher temperatures. These solutions can be developed through the collaborative efforts of government agencies, international organizations, universities, companies and public–private partnerships. It is noteworthy that promoting and applying best practices for protecting the environment constitute neither a cost center nor an act of charity; rather, there are opportunities to take advantage of business opportunities (products and services). Young entrepreneurs may start to create and develop market fostered and funded solutions for potential supply disruptions. Conscious efforts to embark on the two-tier framework can only foster faster economic growth.

Already many consumers are conscious of sustainability and demand products that are environmentally-friendly. Pension funds and other institutional investors impose environmental, social and corporate governance (ESG) policies on the companies they invest in. Bloom et al. (2021), in Ernst and Young’s 2021 Global Alternative Fund Survey, report that “One in five investors say they decided not to invest with an asset manager because their ESG policies were inadequate.” In modern societies, a profession cannot be silent on or distant from increasingly relevant, complex and globally critical issues such as equity, diversity and inclusion, codes of ethics, professional conduct and environmental awareness. The two-tier model is a major step toward global citizenry.

Let's institutionalize the spirit of the two-tier framework so that our tomorrow (and that of future generations) is brighter than our today!

Footnotes

Declaration of conflicting interests

The author(s) declared no potential conflicts of interest with respect to the research, authorship, and/or publication of this article.

Funding

The author(s) received no financial support for the research, authorship, and/or publication of this article.

ORCID iD

Majed R Muhtaseb

References

Aukett

(2017) What is a profession? British Dental Journal 223: 323–324. DOI: 10.1038/sj.bdj.2017.754

Australia Council of Professions (2003). What is a professional? Available at: https://www.professions.org.au/what-is-a-professional/ (accessed 12 July 2022).

Bloom

Munson

Jaros

, et al. (2021) The Ernst and Young’s 2021 global alternative fund survey. Available at: https://www.ey.com/en_us/wealth-asset-management/can-the-difference-of-one-year-move-you-years-ahead (accessed 24 June 2022).

CDP (2022) Who we are. Available at: https://www.cdp.net/en (accessed 12 July 2022).

CFA Institute (2022a) The CFA program, curriculum & exam topics. Available at: https://www.cfainstitute.org/en/programs/cfa/curriculum (accessed 11 July 2022).

CFA Institute (2022b). University affiliation program. Available at: https://www.cfainstitute.org/en/about/universities/university-affiliation#sort=%40titlewithfallback-ascending (accessed 11 July 2022).

CFA Institute (2022c) Certificate in ESG investing. Available at: https://www.cfainstitute.org/en/programs/esg-investing (accessed 5 July 2022).

Cruess

Johnston

Cruess

(2004) “Profession”: a working definition for medical educators. Teaching and Learning in Medicine 16(1): 74–76.

Gardner

Shulman

(2005) The professions in America today: crucial but fragile. Dedalus 134(3): 13–18.

10.

National Council of Examiners for Engineering and Surveying (2022) Become a professional engineer. https://ncees.org/. Available at: https://ncees.org/exams/examinee-guide/ (accessed 5 July 2022).

11.

NCEES (2020) NCEES principles and practice of engineering examination: chemical CBT exam specifications. Available at: https://ncees.org/wp-content/uploads/PE-Che_Jan2020-1.pdf (accessed 5 July 2022).

12.

National Council of State Boards of Nursing (2020) NCLEX-PN® test plan. Available at: https://www.ncsbn.org/2020_NCLEXPN_TestPlan-English.pdf (accessed 5 July 2022).

13.

Project Management Professional® (2021) Examination content outline –January 2021. Available at: https://www.pmi.org/-/media/pmi/documents/public/pdf/certifications/project-management-professional-exam-outline.pdf (accessed 5 July 2022).