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Chapter 2: Engineering Ethics
2.1. Introduction
Engineering is a people-serving profession. It will not exist without people and
society. Engineers play a pivotal role in modern society. By virtual of education and
experience, engineers are better equipped than most people to foresee and appreciate
problems as well as to identify and to assess alternatives. Hence, in addition to make a
successful career and contribute to his or her firm, engineers also have a responsibility to
the people, the society and the future of human beings.
There are countless examples of successful engineering products and projects that
change the human life, such as train, automobile, airplane, highway, plastics, and so on.
These inventions and development are the material foundations of the modern society.
However, there are also many examples of engineering failures, which cause catastrophic
consequences. Therefore, engineers must meet a high standard. Such a standard is
referred to as engineering ethics or the rule of conduct.
2.2 The Rule of Conduct and the Code of Ethics
As an engineer, his or her conduct must meet an ethic standard. Such a standard is
referred to as the Rule of Conduct. The Rule of Conduct may be slightly different
depending on the country that an engineer serves. However, its principles are essentially
the same. Following are four basic rules:
Rule 1: Responsible to the General Public and Society: An engineer in discharging his /
her responsibility to his employer and the profession shall at all times be
governed by the overriding interest of the general public, in particular their
environment, welfare, health and safety.
Rule 2: Responsible to Employers and Clients: An engineer shall discharge his duties to
his employer or client with integrity and in accordance with the highest standards
of business ethics.
Rule 3: Responsible to Colleagues: An engineer shall not maliciously or recklessly injure
nor attempt to injure whether directly or indirectly the professional reputation of
another engineer, and shall foster the mutual advancement of the profession.
Rule 4: Responsible to the Profession: An engineer shall order his / her conduct so as to
uphold the dignity, standing and reputation of the profession.
Now, let us study these rules in more details.
(1) The responsibility of engineers to the society. In fact, given the power of
modern technology, the consequences of wrong choices or errors can be massive in terms
of damage to the environment and the loss of life, liberty, and property. Therefore,
engineers should
 Consider social and environmental consequences, not allowing their professional
judgements regarding these to be overruled arbitrarily.
 Not commit their engineering skills to projects whose purpose they regard as
pernicious.
 Make available information relevant to the public interest (under certain conditions).
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Enormous examples can be found from historical cases, reference books and daily
newspapers, which directly or indirectly teach the engineers the responsibility of
engineers to the society.
(2) The responsibility of engineers to the employers. Over 95% of engineers are
employed various firms large or small. The employee engineers, like any other employee,
take orders from a boss. Therefore, the employee engineers should be good employees,
follow the order of the boss, and contribute to the well beings of the firm. In other words,
the conducts that would jeopardize the profit or respect of the firm are considered as
unprofessional misconduct. On the other hand, it is possible that the boss makes decisions
that the engineer considers unethical or unwise. In this case, engineers should not follow
the wrong order. In a civilized society, loyalty to wrongdoers is not considered to be a
virtue but rather a betrayal of important values.
(3) The responsibility of engineers to colleagues. This includes to not
intentionally harming any colleagues in any cases by any means. As pointed out early,
engineers need to work as a team. The mutual respect is vital to the success of
engineering practice.
(4) The responsibility of engineers to profession. Engineering is a profession with
high moral standard and public trust. The general publics regard engineers as trustful
professional people. It is therefore important for engineer to keep such a reputation.
To formally express the basic principles of engineering ethics, the so-called Rule
of Conduct and Codes of ethics are developed. These rules or codes are ubiquitous for
three basic reasons: they serve as public relations documents, as contracts among the
members of the profession, and as a means of encouraging members of the profession to
make decisions in the public interest. It is interesting and important to know that Code of
Ethics is not a law and hence, does not bear any law binding powers. Instead, it merely
sets a moral sample for engineers to follow.
For the connivance of the readers, Appendix A presents the Rule of Conduct
composed by the Hong Kong Institute of Engineering (HKIE). Appendix B is the Code of
Ethics from the US National Society of Professional Engineers (NSPE).
2.3. The Principles of Engineering Ethics
Simply following the Rule of Conduct of the Code of Ethics is sometimes not
sufficient to solve the engineering ethic problems. In order to understand better what is
right and wrong in engineering practice, we must further study the engineering ethics.
Engineering ethics is a part of ethics. The principles of engineering ethics are delivered
from the study of human ethics. As we know, ethics may be defined as the study of right
and wrong (or good and bad) actions or behavior. Ethics is one of the five subdivisions of
philosophy; the other four are logic, aesthetics, politics, and metaphysics. More precisely,
ethics involves defining, analyzing, evaluating, and resolving moral problems and
developing moral criteria to guide human behavior. It has been a vital field of study since
the dawn of the civilization and has had a written history for more than 2500 years. In
fact, many ethics principles we use today can be traced back to centuries ago.
In ethics, the goal is to differentiate between good and bad, between right and
wrong. Therefore, the key question is “What is good,” though the to define the basic term
“good” is difficult. Throughout the history, many prominent philosopher have devoted
their lives to the development of ethical theories and their thoughts cannot be covered by
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one thousand books. Fortunately, there are just four basic moral theories or moral
maxims that are proven effective and related to engineering ethics. These are: Mill’s
utilitarianism, Kant’s formalism, or duty ethics, Lock’s rights ethics, and Aristotle’s
virtual ethics, which are briefly described below.
(1) Mill’s utilitarianism. This theory was set out most clearly by John Stuart Mill
(1806 – 73). It states that the best choice in a moral dilemma is the one which produces
the maximum benefit for the greatest number of people. The utilitarianism theory is
probably the most common justification for ethical decisions in engineering, or indeed in
modern society. In fact, this is what the democracy all about. However, it could be
difficult in making a quantitative calculation of the “maximum benefit.” In evaluating
benefits, it is important that certain principles should apply. First, the benefit to oneself
must not be given any greater value or importance than the same benefit to any other
individual. In other words, one shall not benefit one and sacrifice another. Second,
equality of distribution of benefits is important. That is, there should be maximum
number of people benefiting.
(2) Kant’s formalism, or the duty ethics. Duty ethics, or formalism, was put
forward by Immanuel Kant (1724 – 1804), who proposed that each person has a
fundamental duty to act in a correct ethic manner. He believed that the most basic good
was “good will,” through which individuals receive satisfactory reward of good.
Examples are: be honest, be fair, do not hurt others, keep your promise, and obey the law.
These would result in an increased respect for humanity. Under this theory, every
engineer has an individual duty to prevent harm to human life and to consider the welfare
of society to be paramount.
(3) Locke’s rights ethics. The right-based ethical theory comes mainly from the
work of John Locke (1632 – 1704). It proposes that everyone has rights that arise from
one’s very existence as a human being. The rights to life and the right to the maximum
possible individual liberty and human dignity are fundamental. In evaluating ethical
choices in engineering problems, it is important to recognize that individual have these
basic rights, which should not be infringed upon.
(4) Aristotle’s virtue ethics. One of the earliest and most durable ethical theories
was proposed by the ancient Greek philosopher Aristotle (384 – 322 B.C.), who observed
that the goodness of an act, object, or person depends on its function or goal. For
example, a good chair is comfortable and a good knife cuts well. Since human beings
have the power of thought, Aristotle stated that true happiness would be achieved by
developing qualities of character through thought, reason, deduction, and logic. Aristotle
called these qualities of character “virtues.” Applying this theory to engineering ethics,
the correct engineering choice can be obtained by examining the extremes of excess or
deficiency and seeking the compromise.
The above four theories have survived the tests of centuries and can be considered
true. These theories show remarkable agreement on general principles. As an example, let
us consider the Golden Rule: “Do unto others as you would have others do onto you.”
This is a clear statement of Kant’s formalism: it imposes duty on the individual to hold
human life as a goal, rather than as a means to a goal. On the other hand, it could be
considered a utilitarian principle, since it imposes an inconvenience on an individual
while benefiting everyone with whom that person comes into contact. The proponents of
rights-based ethics would agree with the Golden Rule as well since the duty of the
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individual to act fairly comes from the rights of others to be treated fairly. Finally, the
concept of fairness embodied in the rule would be recognized as a virtue by Aristotle.
However, these theories do not agree to each other all the time. Furthermore, while each
is true for a wide range of applications, none of the theories is universally true or clearly
superior to the other theories in every instance. Consider, for example, the case of
engineers Smith and Jones, who are both employed in the design of the control system for
an electrical power generating plant. If Jones has definite knowledge that Smith has a
addiction to alcohol or drugs that is seriously affecting Smith’s metal stability and
technical judgement, what is Jones’s proper course of action? The duty-based theory
would state that Jones has a duty to the employer and should report Smith to management
for reassignment or disciplinary action. The rights-based theory would state that Smith’s
health is a private matter; and Jones has no right to investigate it or discuss it with others.
Following table summaries the four ethic theories with possible conflicts.
Table 2.1. A summary of four ethical theories and possible conflicts
Mill’s Utilitarianism
Statement:
An action is morally correct if it produces the greatest benefit for the
greatest number of persons. The duration, intensity, and equality of
distribution of the benefits should considered.
Conflict:
A conflict of interest may arise when evaluating the benefits. It is
important that a personal benefit must be counted as equal to a similar
benefit to someone else.
Kant’s Duty-Based Ethics
Statement:
Each person has a duty to follow those courses of action that would be
acceptable as universal principles for everyone to follow
Conflict:
Conflicts arise when following a universal principle may cause harm. For
example, telling a “white” lie is not acceptable, even if the truth causes
harm.
Locke’s Rights-Based Ethics
Statement:
All persons are free and equal and each has a right to life, health, liberty,
possessions, and the product of his or her labor.
Conflict:
It is occasionally difficult to determine when one person’s rights infringe
on another person’s rights.
Aristotle’s Virtual-Based Ethics
Statement:
Happiness is to be achieved by developing “virtues” or qualities of
character, through deduction and reason. An act is good if it is in
accordance with reasons. This is usually means a course of action that is
the golden mean between extremes of excess and deficiency.
Conflict:
The definition of “virtue” is occasionally vague and difficult to apply in
specific cases. However, the concept of seeking a “golden mean” between
two extremes is frequently useful in ethics
When there is a conflict or contradiction between two moral theories, it is helpful
to examine all four theories to see if there is a majority of agreement favoring a particular
course of action. In the case of Smith and Jones, the contradiction between the duty-based
theory and the rights-based theory can be resolved by considering the utilitarian and
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virtue-based theories. The degree of danger to others and the degree of incapacitation
resulting from Smith’s drug or alcohol addiction are important factors that must be
considered as the consequences affects the safety of the electrical power generator and
the general public (Utilitarianism); and Smith’s addiction does not develop virtues
(Aristotle’s Virtual-Based Ethics). Therefore, an informed ethical decision could be
made. In important cases where life, safety, security, or personal reputation is at stake, a
decision not only must be ethical but also must be seen by others to be ethical. This is an
art to be a true professional.
In order to put ethics into practice, most people need clearer day-to-day guidance
than what is provided by general philosophical principles. Therefore, customs,
conventions, laws, and ordinances have developed over the centuries that are consistent
with the ethical theories but give more specific guidance. Criminal and civil laws are
examples of these, so as the engineering laws and the codes of ethics for engineers. Note
that the codes of ethics for engineers may or may not bear a law enforced power. The
code of ethics for engineers in Hong Kong, referred to as the Rule of Conduct, is
enclosed in Appendix A.
Finally, it is interesting to compare the traditional Chinese ethics with the ethical
principles discussed above (though, I am not a philosopher, and hence my point of view
may be bias, partial, or incorrect). The traditional “King-Servant, Father-Son” ethics is
clearly the Duty-Based principle. On the other hand, the “Manner, Music, Poem,
Reading” can be viewed as virtue. However, the democracy (utilitarianism) and liberty
(Right-Based ethics) are largely ignored. Therefore, in the history the values of
individuals were often jeopardized. (Is it still the same now?)
2.4. Ethical Problems in Industry and Management
Various ethical problems may occur in industry. In this section, we will discuss a
number of typical cases and possible solutions.
(1) Employer authority and employee duties. When an engineer accepts an offer
of employment, a contract is created in which the engineer, as an employee, agrees to use
his or her ability to achieve the employer’s legitimate goals. The employer has a duty
under the same contract to treat the engineer in a professional manner but also clearly
acquires the authority to direct the engineer. In general, the employer has the
management authority while the engineer has the technical authority, and the individuals
involved will show mutual respect and co-operate. This usually works well. However,
there are cases when the employer and the engineer cannot agree due to various reasons.
For instances, the engineers are asked to perform illegal acts, acts contrary to the Code of
Ethics, and acts contrary to the conscience of the engineer. Moreover, there are cases
which are difficult to say who is right. In order to solve the conflict, profession employee
guidelines have been developed. For example, the U. S. National Society of Professional
Engineers (NSPE) developed a set of Guidelines to Professional Employment for
Engineers and Scientists (shown in Appendix C). The NSPE Guidelines are not legally
binding, but they provide a constructive way to bridge the engineer and the management.
(2) Unethical managers. In very rare instances, the management of a company
may appear unethical. For example, an engineer may be asked, directly or indirectly, to
provide false statement to media regarding to the company’s product or service. When
these instances occur, depending on the degree of seriousness, engineers may: (a) stay in
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the company but alert the manager or higher management the consequences; (b) stay in
the company but inform the media; and (c) resign from the company in protest. If the
instance is serious, consult a lawyer is also advised.
(3) Labor union. Engineers have a right to fairness in negotiating pay scales and
conditions of employment. The NSPE Guidelines outline basic conditions of
employment. Engineers are entitled to form and join unions. However, when employment
problems occur, as a general policy, engineers should try to resolve problems with
employers through negotiated contracts that do no involve formal unionization.
(4) Reviewing work and competence of the others. Engineers, whether employees
or managers, are required by law to practice only with their limits of competence.
Engineers should not undertake, and managers should not assign, work that is not within
the competence of the engineer. Whether an engineer is competent may determined by
reviews. It is common practice to evaluate the performance of all employees on a regular
basis, and the engineering manager is generally responsible for this evaluation. However,
engineering review is not a trial. As a general rule, a manager should not ask a
professional engineer to review the work of another engineer without the knowledge of
the engineer who prepared the work. A more common review is the review for accuracy.
Such a “double check” should use the same principle.
(5) Hiring and dismissal. Engineering managers usually hire and dismiss
engineering staffs, when required. The best method for employing professional engineers
is through clear-cut employment contracts. These contracts eliminate uncertainty.
Engineering managers usually hire and dismiss engineering staffs, when required. The
best method for employing professional engineers is through clear-cut employment
contracts. These contracts eliminate uncertainty by specifying the duration (either fixedlength or indefinite); the remuneration and hot it will increase with time and duties;
vocation entitlement and statuary holidays; what would constitute just cause for
termination; and terms and amounts of severance pay and other payments. Again, the
NSPE Guidelines to Professional Employment gives a good explanation. Dismissal is
more difficult to deal with. In general, employees may be discharged for just cause, as
listed below:
- Serious misconduct
- Habitual neglect of duty
- Serious incompetence, not just management dissatisfaction with performance
- Conduct incompatible with his or her duties or prejudicial to the company’s business
- Willful disobedience to a lawful and reasonable order of a superior in a matter of
substance
- Theft, fraud or dishonesty
- Continual insolence and insubordination
- Excessive absenteeism despite corrective counseling
- Permanent illness; and
- Inadequate job performance over an extended period as a result of drug or alcohol
abuse and failure to accept or to respond to the company’s attempt to rehabilitate.
In summary, it is important for an engineering manager to be alert to the myriad
of difficulties and complications that are associated with supervising the work of other
human beings. The manager needs leadership ability, sensitivity, and a professional
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attitude. A knowledge of law or access to legal advice is also beneficial and should be
obtained before taking hard decisions.
(6) Confidentiality and conflict of interest. The engineer has a clear obligation to
keep the affairs of the client confidential. He or she must not disclose the client’s affairs
to any third party unless authorized to do so by the clients or compelled to do so by law,
as may occur in court proceedings or under regulations or acts such as environment
protection acts. Conflict of interest may occasionally occur. In every instance of conflict
of interest, the engineer must make a full disclosure to the client of any personal interest,
whatever that may be.
Engineering ethic problems do occur from time to time. We can solve complex
ethical problems following the process of engineering design. The typical steps or phases
in the processes are as follows:
 Recognizing that a problem or need exists
 Gathering information and defining the problem to be solved or goal to be achieved
 Generating alternative solutions or methods to achieve the goal (synthesis)
 Evaluating benefits and costs of alternate solutions (analysis)
 Decision making and optimization
 Implementation the best solution.
Following these steps, the engineers can protect the interest of the society and themselves
as well.
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