Professional responsibility Conflict of interests

What virtues do you associate with him?

What does he lack?

Defining features of an Engineer

Technical Knowledge and skills Analytical skills Expertise Specialist Communication skills

Character Honesty and integrity Responsibility

Definition of responsibility

A duty to be in charge of someone or something, so that you make decisions and can be blamed if something bad happens.

[Longman Dictionary of Contemporary English]

liable to be called on to answer; liable to legal review or in case of fault to penalties; 2) able to answer for ones conduct and obligations; able to choose for oneself between right and wrong.

[Websters Ninth New Collegiate Dictionary]

Definition of responsibility

Liable to be called on to answer; liable to legal review or in case of fault to penalties Able to answer for ones conduct and obligations; able to choose for oneself between right and wrong [Websters Dictionary]

The focal concerns of engineering ethics

Avoiding harm Ensuring safety Human progress Human happiness????????

Responsibilities of engineers

Legal responsibilities Not to cause harm If harm is caused it should be compensated Follow the laws

Moral responsibilities Recognize and discharge our duties and obligations Understand and adhere to a Code of Ethics Avoid all harms

Why just law-following is not enough?

Innovations in technology brings new ethical challenges New technology creates new sociotechnological situations Current law may not suffice to deal with the issues that may arise from the use of new technology Extreme care should be there in using them Ethical responsibility is important

Causing harm

Intentional: A criminal action. Legally and ethically wrong Reckless: Causing harm was not intentional. But was aware of the fact that the act might cause harm Negligent: Neither intentional nor was aware of the possibility of har. But could have avoided has necessary care been taken

Three models of ethical responsibility

Malpractice model

Reasonable Care Model

Good Works model

Minimalist

Due Care

Chemical leaking

Gopal is a Supervisor of a Chemical Co. One day he gets a message from another department. Check for open caustic valves. Supply tank is empty. Pump still running. Hence, either there is a leak or a valve is open. Gopal found that a valve is open in his department. Cleaning is costly. The lead operator Jairaj forgot to close it. Who is responsible?

Who is responsible?
When Gopal joined the department, Jairaj took him around to show how the distribution system works. He observed that while the acid distribution piping has spring loaded valves that automatically close when not in use, the caustic valves have to be manually operated. Is Jairaj the only personal who is responsible? Is Gopal responsible? Who all share the responsibility? What does responsibility mean?

Meaning of responsibility

Narrow down to one person or a group of people and punish them to deter others. Examine what factors and circumstances led to the undesirable situation, so that we can create awareness and bring improvement.

Jairajs job is to take care of such things. He failed to do his job He must be punished This is a very narrow view. It is minimalist and legalistic. Focus on malpractice

Who is responsible

Gopal has noticed that the caustic valves do not have springloaded valves and have to be manually operated Being an engineer he knew that this is risky He could have got them changed

Who is responsible?

Gopal was a disciplined professional. Does everything belong within his preview? He conforms to the standard operating procedures of his profession Spring-loaded valves are costly Hence Jairaj is appointed to take care of them This is a too narrow view Too minimalistic

Malpractice model

Engineers have a duty only to conform to accepted practice and fulfill only basic duties prescribed by terms of employment. Those who would follow this model might be most concerned with not doing anything wrong.

Malpractice model

This is the result of a view of responsibility which links the latter with blame. It looks for the person who has done it in order to blame him. It is based on the deterrent view of punishment.

Reasonable care model

Gopal feels that he is also responsible. Though I am not expected to go around and check all the valves, I could have prevented it from happening. There may be a standard of reasonableness as seen by a normal, prudent nonprofessional that is more demanding than the mere minimalist professional standard.

Reasonable care model

Adhere to accepted standards of practice Take reasonable care to ensure that mistakes are prevented and the public welfare is protected Exercise and apply skill, ability and judgement reasonably and without neglect

Reasonable care model

Explores what virtues or qualities of character professionals should have. What ought to be done without necessarily blaming or faulting. Responsibility is a virtue

Positive view Focus is on preventing harm and not on the cause of harm No focus on fault or blame. No link between responsibility and blame. Other-regarding Intrinsically motivational Binds persons together. Focus on common good.

Why reasonable care model?

Use of innovative technologies introduce hitherto unknown ethical challenges. Hence one must exercise care and caution Minimal standards of practice may not prevent all harms Educate oneself and learn continuously

Good works model

Above and beyond the call of duty A physician offers free services to the poor

Model for engineering

The reasonable care model Engineering activities can cause harm. Hence engineers should be extremely cautious and prevent harm Principle of Proportional Care: When people have a greater ability to harm, they have a greater obligation to prevent harm

Conflicts of interests

"We can define a conflict of interest as a situation in which a person has a private or personal interest sufficient to appear to influence the objective exercise of his or her official duties as, say, a public official, an employee, or a professional.
[Chris MacDonald, Michael McDonald, and Wayne Norman, Charitable Conflicts of Interest, Journal of Business Ethics 39:1-2, 67-74, August 2002. (p.68)]

Any situation in which an individual or corporation (either private or governmental) is in a position to exploit a professional or official capacity (role) in some way for their personal or corporate benefit (role). Therefore, conflict of interest can be equated with conflict of roles

Conflict of interests

Having conflict of interests is not necessarily indicative of anything wrong Many professionals face it Can have severe legal consequences if professionals try to influence decisions for personal benefits

The Ethics Act and Types of Conflicts of Interest

Self-dealing: in which public and private interests compete, if not collide Outside employment: in which the interests of one job contradicts or competes with another Family interests: in which a spouse, child, or other close relative is employed or where goods or services are purchased from said relative

Acts that are not to be treated as conflict of interests

Accepting bribes: is corruption Unauthorized disclosure of confidential information: not all cases Use of government or corporate property or assets for personal use: this is fraud

How to deal with COI

Avoid them completely Recusal: do not be part of the decision making process See the larger picture

The Challenger disaster

Large number of seals are required to integrate large size solid rocket motor. The Solid Propellant is not cast as a single piece and hence these connections are necessary. As the L/D ratio is about 12.4, the pencil like structure is vulnerable from gust & cross wind loads apart from usual inertial-acceleration loads. The failed O-seal is shown in this figure that triggered leakage of combustion gases, deposited aluminum and final escape of naked flame through the gap at full throttle.

The main mechanical failure that occurred in flight was the improper sealing of the O-rings around main boosters. O-rings seal the 4 main sections of the rocket together preventing fuel leakage. Cooler conditions cause o-ring material to expand and contract at a different rate. NASA knew the o-rings eroded somewhat throughout their missions. They looked for, but didn't find the information explaining how the O-rings would be influenced by the cold.

The escaped hot gases through the failed seal created a hole that became big enough such that the flame passed through it. This flame burned through external fuel tank and one support that attaches booster to one side of tank. Booster broke loose and collided with the tank piercing the external tank from side.

Challenger failure is attributed to

1. 2.

3. 4. 5.

6.

Poor design of O- seal Inadequate validation and subsequent modifications Hostile weather & inordinate delays Improper decision making process Politically incorrect pressures for frequent launches Management buckling under the pressure, operations

Impediments of responsibility

Self-interest

Failure to see beyond our horizon Failure to see the larger picture Copying in the exam is pardonable: unable to see beyond your horizon

Copying in the exam: two situations

Raju copied in an exam and was caught. He lost one year and faces problems in his placements Is it wrong on the part of the teacher to have reported it?

Copying in the exam: two situations

You find Raju copying in the exam. It is your moral responsibility as a member of the society to report it. But you know that if you report it Raju will be in trouble. You know that if Raju scores more than you, he will make a better job than you.

Factors that influence your decisions

Self-interest: you do not mind it the exam is not a competitive exam where your chances are not affected. But wherever you are affected, you have problems. Failure to see beyond our horizon Failure to see the larger picture

Kants maxim

The Categorical Imperative is a rule for testing rules.

Before you act, consider the maxim or principle on which you are acting

Generalise that principle

Kant's example of a false promise

Maxim: I may make a false promise in order to reap financial gain Generalized: Anyone may make a false promise to get something s/he wants. This is self-contradictory because: If anyone may make a "false promise," nobody would take a promise seriously; promising becomes meaningless. Result: I may not act on that maxim. The maxim fails Test One.

Kant's example of a false promise

Maxim: I may copy in the exam in order to get good grades Generalized: Anyone may copy in the exam in order to get good grades This is self-contradictory because: If anyone may make copy in the exam nobody would take exams seriously;examination system becomes meaningless

If exams becomes meaningless

It is an exam (JEE) which brought you here It is the exams you write here makes you IIT graduates If invigilators universally decide to pardon students who copy, then the examination system becomes meaningless

Self deception

Do unto others as you would have others do unto you. Confront yourselves honestly and ask if you would approve of others treating as in the same way as we treat them.

Self deception

You bribe an officer to get undue advantage over others Would you approve of others treating you in the same way and getting an advantage over you

Rationalization

Everybody does it. So you have to do it in order to survive In the name of ideology

Weakness of will

No courage Give way to temptation Hey, all those values are not very serious. Let us be practical

Ego-centric thinking

Limited perspective A special form of ignorance inability to understand things from other perspectives Absolute indifference to the problems faced by others Very close to animals

Ignorance

Of vital information. Of the potential danger of a design.

Microscopic vision

Seing only one aspect Over-importance to one aspect.

Relevant values

Protect society from harm by using technology Follow basic human values: impartiality, honesty, reliability, honesty etc. Respect for life, freedom and human rights Treat others as end.

Relevant values

Do not make your opinion about which you do not have sufficient knowledge. Do not present somebody elses views as your own. Credibility: of client, employer, society etc. Client confidentiality.

Safety and risk

Public health and safety are vital. Physical Wellbeing and Economic Wellbeing Assessment of Risk and identification of risk

Assessment and identification

Identification of Risk Deep knowledge Imagination Concern Assessment of Risk Safety measures of one product is not same as another Eg. A car is not a tank.

Arrive at a balance between comfort, progress, development & safety Economic development & Pollution

Two elements of risk

Likelihood of an adverse effect or harm Magnitude of that adverse effect. Relatively slight harm that is highly likely Relatively large harm that is far less likely: while construction of a dam Which one is more dangerous?

Challenges before us
1.

2.

3.

4. 5.

We cannot accurately predict the harm in every case only probability of harm can be predicted. Even probability of harm cannot be eliminated accurately. We cannot anticipate all the mechanical, physical, electrical and chemical problems that lead to failures. We cannot estimate all the points of human errors. The probabilities assigned to failure are conjectural and are not based on experimental testing.

Estimating risk

Whether risk exists or not? What is the extent of risk? Is there any viable way out? The Colas in Indian market contain poisoness materials. Hence they have to be banned The cigarettes cause cancer.

The burden of proof: Utilitarianism

On those who claim that a particular risk is unacceptable. Those who raise the criticism have the responsibility to conclusively prove it. Favours good science. Rights of the producers of technology No excessive regulations Favours economic growth. Pro-developmental

The burden of proof: Deontologism

On those who are being accused It is the responsibility of the Co.s to prove that there is no risk involved Protect public interest even at the cost of economic development Focus n public health and safety. Every member in the society is important. Development not at the cost of total human welfare. The idea of sustainable development. Respect for person.

Framework of acceptable risk

A balanced view about harm and protecting society from harm Idea of sustainable development Comprehensive view More practical and viable option Not too conservative nor too modern

Realization

We cannot eliminate all the harm without eliminating certain very important good things. Development and progress are meaningless unless they are sustainable and total.

Step I: Define what is a benefit. Replaceable Benefit and Irreplaceable Benefit. Step II The idea of Informed Consent Step III Just Distribution of Harm

Engineering ethics as preventive ethics

Professional engineers have to make each decision carefully as each may lead to a sequence of consequences. Think ahead to anticipate possible consequences. Think effectively about those consequences and decide what is ethically and professionally right.

Training in preventive ethics

Stimulate Moral Imagination Emphasis on cases, discussions that stimulate moral imagination. Imagination is necessary for anticipating consequences of actions and coming up with solutions. Imagine possible alternatives and their likely consequences.

Training in preventive ethics

Recognize Ethical Issues Ethical dimensions of situations are not always so apparent. Eg. the ethical issues raised by the construction of a commercial complex near a hilly area, or the construction of a dam. This is not just a technical issue Develop Analytical Skills

Training in preventive ethics

The technical and analytical skills should be used for good engineering practices with caution in analyzing moral issues. Moral analysis requires thinking about concepts like utility, justice, rights, duties, respect for persons etc., which are not amenable for quantitative analysis.

A complex issue

You are a highway safety engineer. You consider two intersections that need safety improvements Urban intersections that handles over 2400 cars per day Rural intersection that handles 600 cars per day. The annual number of fatal accidents at each intersection is identical, but the number of property damage and minor injury accidents at the urban is substantially greater.

There is enough money left in this years budget to improve one of the intersections. The result of the improvement at either intersection will be to cut the number of annual fatality roughly in half. Greater reduction in property damage and minor injury accidents in the urban. Which one should be selected? Quantitative analysis is not enough but a philosophical support is needed.

Sense of responsibility

Sense of themselves as moral agents. Professional codes have to be practiced and applied critically.

Tolerate disagreements and ambiguity

There will be ambiguity, vagueness and disagreements. Eg. The Highway Safety Engineers case. Lack of consensus may disturb technical people who are accustomed with technical solutions to problems. Codes do not provide automatic solutions. No code is self-interpreting. Some codes may conflict with each other. Eg. Public safety and employer loyalty.

Understanding responsibility

The case of Professional Recommendation Both Jayadev and Ratish were classmates. Jaya was hardworking and sincere. After 10 years of graduation, now works in Motionaid, a reputed firm. Rati tried many jobs inconsistent and problem maker. Finally got a job in Motionaid, with the help of Jaya, but lost it.

Professional recommendation

Finally, Jaya wrote a recommendation letter and Rati got a job in Transideas, a customer of Motionaid. Jaya cited only Ratis qualities in his letter. Identify and discuss the ethical issues involved. Assume that Rati did well in Transidea (consequence) and earned good reputation.

Issues involved

Mixing of personal commitments with professional ones. Jayas letter of reco carries a lot of weight as it is assumed to be a professional judgement based on reason, analysis, consideration of professional goals, anticipation of the most posssible consequences etc. Since Transideas is a customer of Motionaid responsibilities to a customer.

Responsibility

A highly complex situation. Issues involving safety, rights, comforts etc. Conflict of interests. Need for a balanced view.

Responsibility: A balanced view

Responsibility is seen as s virtue and is sought after. Not associated with blame. Virtues that express direct concern for public welfare. Focus on what ought to be done and not whom to be blamed. Not shift responsibility to others.

Responsibility: A balanced view

A person or group of persons hold responsibility. Responsibility is a question that becomes relevant not after a harm is done. Constant checks and vigility to avoid harm. Concern about harm. Principle of care: Other things being equal, one should exercise due care in avoiding contributing to significantly harming others.

Responsibility: A balanced view

When one is in a position to contribute to greater harm or to play a more critical part in producing harm, then one must exercise greater care to avoid doing so. When one is capable of preventing the actual or possible harm, one ought to do that in all possible ways.

Ethics committee

15-Sep-13

Dr. Sreekumar Nellickappilly Madras

IIT
85

Ethics Committee

Also sometimes called the Institutional Review Board To assess the ethical impact of the organizations various activities Care and protection Scientific design Community interests Recruitment Confidentiality
Dr. Sreekumar Nellickappilly Madras IIT 86

15-Sep-13

Constitution of Ethics Committee

Scientific background Without scientific background Religious and other community leaders Participants in earlier studies Other community members Gender, age, ethnicity, culture should vary Outside consultants when necessary
Dr. Sreekumar Nellickappilly Madras IIT 87

15-Sep-13

Ethical hotline

Seeks to deal with any potential issues in an open and honest way by encouraging employees to report any issue of concern to their appropriate line management. Employees can raise genuine ethical concerns with line management has established an ethical hotline which is accessible to any employee or agent of the company Complaints can be dealt with anonymously The identity of the employee is only known to the third party operators engaged to man the ethics hotline.
Dr. Sreekumar Nellickappilly Madras IIT 88

15-Sep-13

Myths about Professional Ethics

1.

2.

Professional ethics is more a matter of religion than management. Aim of PE is to managing values and conflict among them. It does not aim at altering people's values or souls Our Professionals are ethical so we don't need attention to business ethics. In professional life we face highly complex problems. We face significant value conflicts among differing interests; real alternatives that are equality justifiable; significant consequences on "stakeholders" in the situation. When presented with complex ethical dilemmas, most people realize there's a wide "gray area" when trying to apply ethical principles.

15-09-13

Dr. Sreekumar Nellickappilly Madras

IIT 89

Myths about Professional Ethics

3.

4.

Professional ethics is a discipline best led by philosophers, academics and theologians. However, PE adopts a programmatic approach that includes several practical tools. Professional ethics is superfluous -- it only asserts the obvious: "do good!" It deals with ethical values in professional life. It suggests what values are to be emphasized and designs codes for PE
Dr. Sreekumar Nellickappilly Madras IIT 90

15-09-13

Myths about Professional Ethics

5.

6.

Professional ethics is a matter of the good guys preaching to the bad guys. Good people can take bad actions, particularly when stressed or confused and stress or confusion are not excuses for unethical actions -- they are reasons. PE deals with all of us working together to help each other remain ethical and to work through confusing and stressful ethical dilemmas. Professional ethics is the new policeperson on the block. Not correct, as it has been there since long, though in recent times it has become more relevant and systematic.

15-09-13

Dr. Sreekumar Nellickappilly Madras

IIT 91

Myths about Professional Ethics

7.

Ethics can't be managed. The behavior of the organization's founder or current leader is a strong moral influence, or directive if you will, on behavior or employees in the workplace. Strategic priorities (profit maximization, expanding marketshare, cutting costs, etc.) can be very strong influences on morality. Laws, regulations and rules directly influence behaviors to be more ethical, usually in a manner that improves the general good and/or minimizes harm to the community. Management itself is a value system. Skeptics might consider the tremendous influence of several "codes of ethics," such as the "10 Commandments" in Christian religions or the U.S. Constitution. Codes can be very powerful in smaller "organizations" as well.
Dr. Sreekumar Nellickappilly Madras IIT 92

15-09-13

Myths about Professional Ethics

8. We have no trouble with the law, so we're ethical. One can often be unethical, yet operate within the limits of the law, e.g., withhold information from superiors, fudge on budgets, constantly complain about others, etc. However, breaking the law often starts with unethical behavior that has gone unnoticed. The "boil the frog" phenomena is a useful parable here: If you put a frog in hot water, it immediately jumps out. If you put a frog in cool water and slowly heat up the water, you can eventually boil the frog. The frog doesn't seem to notice the adverse change in its environment.

15-09-13

Dr. Sreekumar Nellickappilly Madras

IIT 93

Myths about Professional Ethics

9. Managing ethics professions has little practical relevance. Managing ethics in professional life involves identifying and prioritizing values to guide behaviors in the profession, and establishing associated policies and procedures to ensure those behaviors are conducted. One might call this "values management.
15-09-13 Dr. Sreekumar Nellickappilly Madras IIT 94