Engineering 1000
Chapter 8: Ethics
Outline
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What are ethics and why are they important?
Professional engineering codes of ethics
Duties of the engineer
Common ethical issues
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conflict of interest
confidentiality
whistleblowing
moonlighting
Product liability
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defects in products
negligence
risk
warranties
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Ethics 2
What is/are Ethics?
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From Webster:
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the discipline dealing with what is good and bad and with moral duty
and obligation
a set of moral principles or values
a theory or system of moral values
the principles of conduct governing an individual or a group
(professional ethics)
a guiding philosophy
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Ethics 3
Why is Ethical Behaviour Important?
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Imagine what would happen if there was no ethical behaviour
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technical short cuts taken
safety compromised for profit
corruption and bribery
From the textbook:
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During the early part of the nineteenth century, steam engineers were
redesigned by people such as James Watt, Oliver Evans, and Richard
Tevethick to become more portable and powerful. This work allowed such
engines to be installed in mines, factories, trains, and steam boats.
Unfortunately, an unexpected negative development soon appeared: Steamboat
owners were competing with one another for lucrative trade agreements by
racing along the riverways. Safety valves were disabled to increase steam
pressure, boilers were forced to operate beyond their capacities, and explosions
would often occur as a result of these actions. Between 1816 and 1848, 2563
people were killed and 2097 injured in 233 such explosions
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Professional engineering references attest that these practices
continue today
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Ethics 4
Westray Mine Explosion, Nova Scotia
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At 5:20am on 9 May 1992 the Westray coal mine exploded,
killing 26 miners
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It is a story of incompetence, of mismanagement, of bureaucratic
bungling, of deceit, of ruthlessness, of cover-up, of apathy, of
expediency, and of cynical indifference
Westray management, starting with the chief executive officer, was
required by law, by good business practice, and by good conscience to
design and operate the Westray mine safely. Westray management
failed in this primary responsibility …
The Department of Labour through its mine inspectorate must bear a
correlative responsibility for its continued failure in its duty to ensure
compliance with the Coal Mines Regulation Act and the Occupational
Health and Safety Act.
With its "hands-off" attitude, its general indifference to the quality of
mine planning, and its lassitude about any safety responsibility, the
Department of Natural Resources failed to discharge its duties in a
creditable manner.
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From the report of the Official Enquiry http://www.gov.ns.ca/labr/westray/contents.htm
Ethics 5
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In professional terms, ethics can be summarised simplistically:
Do the right thing!
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Simple, right?
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Ethics 6
Example
Kermit Vandivier had worked at B.F. Gooderich for five years, first in
instrumentation and later as a data analyst and technical writer. In 1968 he was
assigned to write a report on the performance of the Goodrich wheels and brakes
commissioned by the Air Force for its new A7-D light attach aircraft. According to
his account, he became aware of the design’s limitations and of serious
irregularities in the qualification tests. The brake failed to meet Air Force
specifications. Upon pointing out the problems, however, he was given a direct
order to stop complaining and to write a report that would show the brake qualified.
He was led to believe that several layers of management were behind this demand
and would accept whatever distortions might be needed because their engineering
judgement assured them that the brake was acceptable.
Vandivier then drafted a 200-page report with dozens of falsifications and
misrepresentations. But, he refused to sign it. Later he gave as excuses for his
complicity the facts that we was 42 years old with a wife and six children. He had
recently bought and felt financially unable to change jobs. He felt certain that he
would have been fired if he had refused to participate in writing the report.
From “Ethics in Engineering”, M. Martin and R. Schinzinger, McGraw Hill, 1996
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Ethics 7
But What is “Right”?
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The trouble with ethics is that determining what is really right,
and for whom, is difficult
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“if I complain, I’ll lose my job and my family will suffer”
“if I say something, Fred will lose his job”
“what about my career?”
“if the company loses money, there will be layoffs”
“just this once – my boss promised me a promotion if this product is on
time”
The solutions to other people’s problems are always easy
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ethical behaviour is harder when it is personal
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Ethics 8
Shades of Grey
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Most people can distinguish the extremes of ‘good’ and ‘bad’
The difficulty comes in the grey areas, when something is only
a little naughty
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“no-one will ever know”
“it’s OK to pirate this software because Bill has plenty of money
already”
“it’s OK to pirate this software because I wouldn’t have bought it
anyway”
“he/she only gave me a small gift - it didn’t affect my judgement”
“I know what the data will look like, so why waste time and effort”
“we only use a small amount of chemical, so we just dump it out the
back when we’re done”
“the product launch is next week; it’s only unsafe in exceptional
circumstances that will never happen …”
Minor ethical breaches have the habit of being a slippery slope,
leading to ever greater violations
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Ethics 9
Philosophical Roots of Ethics
Mill’s
Utilitarianism
(1806 - 1873)
An action is morally correct if it
produces the greatest benefit to the
greatest number of people.
A conflict of interest may arise
when evaluating the benefits. It is
important that a personal benefit be
counted as equal to a similar
benefit to someone else.
Kant’s DutyBased Ethics
(1724 - 1804)
Each person has a duty to follow those
courses of action that would be
acceptable as universal principles (e.g.
honesty, fairness) for everyone to
follow
Conflicts arise when following a
universal principle may cause harm.
e.g. telling a white lie in
unacceptable even when the truth
causes harm
Locke’s RightsBased Ethics
(1632 - 1704)
All persons are free and equal and
each has a right to life, health, liberty,
possessions, and the products of
his/her labour
It can be difficult to tell when one
person’s rights infringe on
another’s.
Aristotle’s Virtue
Ethics
(384 - 322BC)
Happiness is achieved by developing
virtues or qualities of character through
deduction and reason. An act is good if
it is in accordance with reason. This
usually means a course of action that
is the golden mean between extremes
of excess and deficiency
The definition of ‘virtue’ is vague.
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Adapted from “Canadian Professional Engineering Practice and Ethics”, G. Andrews and J. Kemper, Harcourt 1999
Ethics 10
Codes of Ethics
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Professional Engineers Ontario Code of Ethics from
Regulation 77 of the Professional Engineers Act.
1. It is the duty of a practitioner to the public, to the
practitioner's employer, to the practitioner's clients, to other
members of the practitioner's profession, and to the
practitioner to act at all times with,
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i.fairness and loyalty to the practitioner's associates, employers, clients,
subordinates and employees,
ii.fidelity to public needs,
iii.devotion to high ideals of personal honour and professional integrity,
iv.knowledge of developments in the area of professional engineering
relevant to any services that are undertaken, and
v.competence in the performance of any professional engineering
services that are undertaken.
The full text is available from
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http://www.peo.on.ca/EngPractice/code_of_ethics.html
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Ethics 11
Duties of the Engineer
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The codes of ethics can be summarised as a series of duties
Duty to society
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Duty to employers and clients
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courtesy and goodwill
unethical to review the work of a colleague without their knowledge
Duty to employees and subordinates
Duty to the engineering profession
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fairness and loyalty to employer
conflict of interest
Duty to colleagues
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protect the average person from physical or financial harm
maintain the dignity and prestige of the engineering profession
Duty to oneself
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duty to others is balanced by the engineer’s own rights
adequate payment, good work environment, etc.
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Ethics 12
The Engineer’s Creed
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As a Professional Engineer, I dedicate my professional
knowledge and skill to the advancement and betterment of
human welfare.
I pledge:
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To give the utmost of performance;
To participate in none but honest enterprise;
To live and work according to the laws of man and the highest
standards of professional conduct;
To place service before profit, the honor and standing of the profession
before personal advantage, and the public welfare above all other
considerations.
In humility and with need for Divine Guidance, I make this pledge.
Adopted by National Society of Professional Engineers, June 1954
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Ethics 13
Common Ethical Issues
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We will cover a few of the more common ethical issues that
may face an ordinary practising engineer
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conflict of interest
confidentially
whistleblowing
moonlighting
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Ethics 14
Conflict of Interest
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Consider this example from US National Society of Professional
Engineers (NSPE)
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Izzy A. Candid, P.E. was requested by client, Hope and Trusting (H&T), to prepare
specifications for a curtain wall system.
Candid immediately makes H&T aware that he is a minority shareholder in a
curtain wall manufacturing company and that if H&T agrees, Candid would be
pleased to prepare a set of generic specifications for a curtain wall system.
H&T agrees but is silent on the point of having Candid's firm submit a proposal.
Later, Candid provides H&T with the names of three manufacturers that prepare
curtain wall systems for bidding purposes. Candid includes the name of his firm
among the three manufacturers, but does not include the full specifications and
other supporting material about Candid's curtain wall manufacturing firm with the
bidding material provided to the client.
Candid's reasoning is that he could answer any questions that H&T might have
about the curtain wall manufacturing system in his company.
After evaluating the proposals solicited through documentation prepared by Candid,
and upon Candid's recommendation, H&T selects Candid's company.
Was it ethical for Candid to prepare bidding criteria, bid, evaluate
bids, and recommend his company for owner selection?
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Ethics 15
Conflict of Interest
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Conflict of interest occurs when an engineer has an interest
that interferes with his/her ability to make independent
judgements
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e.g. owns shares in a potential supplier of products to the engineer’s
client or employer
“Over the past few weeks, the opposition parties in the House of
Commons have held the Prime Minister to account over the conflict of
interest between his financial interest in the Grand-Mère Golf Club and
his pressuring a Crown corporation for money for the next door
Auberge Grand-Mère. We have been urging the Prime Minister to call
an independent judicial inquiry to look into this and other related
controversies known collectively as "Shawinigate".” www.shawinigate.ca
To resolve a conflict of interest, the engineer must fully inform
the client/employer of the conflict as soon as it occurs
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the client/employer is then free to make an informed decision
they can choose to ignore the conflict if they so wish
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Ethics 16
Example – Confidentiality
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An aeronautical research engineer from Company A conducted tests of
a new aircraft tail assembly configuration at his company’s wind tunnel
and knew that devastating vibrations could occur in the configuration
under certain conditions, leading to destruction of the aircraft.
Later, at a professional meeting, Company A’s engineer hears an
engineer from Company B, a competitor, describe a tail assembly
configuration for one of Company B’s new aircraft that runs the risk of
producing the same destructive vibrations that Company A’s engineer
found in his tests.
Presumably, there is an obligation, as a matter of both ethics and law,
to maintain company confidentiality regarding Company A’s proprietary
knowledge.
On the other hand, engineers have a duty to safeguard public safety
and welfare. If the engineer from Company A remains silent, Company
B might not discover the destructive vibrations until a fatal crash occurs,
killing many people.
What should the engineer from Company A do?
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From “Canadian Professional Engineering Practice and Ethics”, G. Andrews and J. Kemper, Harcourt 1999
Ethics 17
Confidentiality
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The engineer has a clear ethical responsibility (under normal
circumstances) to maintain the affairs of an employer or client
confidential
Potential issues
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consultants working for clients who are competitors
failure of a client to follow environmental regulations (which the
engineer is legally obliged to report)
Non-disclosure agreements (NDA)
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are frequently required before a company discusses technical details
with a consultant
may identify what each party is bringing to the discussion (so-called
background intellectual property), to avoid uncertainty later
may specify what information is being disclosed for what purpose, and
clauses governing the use of that information
especially important for patenting; an NDA indicates that the IP is not
being “publicly disclosed”, which affects a subsequent patent claim
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Ethics 18
Whistleblowing
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“Whistleblowers are people (usually employees” who believe
an organisation is engaged in unsafe, unethical or illegal
practices and go public with their charge, having tried with no
success to have the situation corrected through internal
channels” Quoted in “Canadian Professional Engineering Practice and Ethics”, G. Andrews and J. Kemper, Harcourt 1999
A recent case:
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Nancy Olivieri, at Toronto’s Hospital for Sick Children, became
convinced that use of the drug deferiprone on children with thalassemia
had dangerous side effects. The manufacturer of the drug, Apotex, that
funded Olivieri’s study, cancelled her research and threatened her with
a breach of contract suit should she inform her patients or publish her
negative findings. www.aaas.org
As with all complex issues, the ‘truth’ depends on whom you
talk with …
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Ethics 19
One View
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In the fall of 1995, liver biopsies in some of the Toronto patients showed dangerous levels of
iron overload throwing the researchers into a panic. Toxic levels can compromise liver function
and lead to scarring and life-threatening cirrhosis.
Dr. Olivieri immediately stopped giving the drug to those patients most at risk but, at the time,
was convinced the study should continue in those in whom the drug appeared useful. The
researchers thought the drug treatment could be appropriate for some of the patients. The only
way to find out for sure was to keep the study on track and carefully monitor the patients.
When Dr. Olivieri approached Apotex with her negative findings and a request to change the
patient consent form to include the contraindications, the company disagreed that the patients
were at risk. Apotex opposed changing the consent form.
But when Dr. Olivieri went ahead anyway and drafted a new consent form, and forwarded it to
Apotex in May, 1996, the company response was to fire her as principal investigator of the
Toronto studies and as chair of the international study's steering committee. The study at the
Hospital for Sick Children was halted, and Apotex confiscated the drugs from the hospital's
pharmacy.
Dr. Olivieri was also repeatedly threatened with legal action if she divulged the findings to her
patients. She spoke out anyway, believing that the health care of her patients was paramount.
Dr. Olivieri also believed she would be supported by the Hospital. But her request for legal
assistance from the institution was denied on the grounds that she had not obtained the
administration's approval for her deal with Apotex.
This summer, three years after she first arranged funding from Apotex, and in spite of the
manufacturer's claim that her study is seriously flawed, the New England Journal of Medicine
has published Dr. Olivieri's results.
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From Canadian Association of university Teachers www.caut.ca
Ethics 20
Another View
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Deferiprone once held promise for thousands of sick people, an effective treatment for Thalassemia. Now
questions are being raised: does the treatment do more harm than good? This is a story about a top Canadian
doctor, the company that funded her research and a controversial editorial in a prestigious medical journal.
It's been billed as a classic David and Goliath story: one lonely doctor against a mighty pharmaceutical company.
The combatants are Dr. Nancy Olivieri, a prominent Toronto researcher, and Apotex, a Canadian pharmaceutical
company. At issue is the effectiveness and safety of the experimental drug.
What made deferiprone so attractive was that it could be given in pill form instead of the daily 12-hour injection of
drug, is so cumbersome that many patients stop.
Dr. Nancy Olivieri was an early proponent of deferiprone, but her research led her to suspect the drug was either
ineffective or dangerous. She wanted to make her findings known, but there was a problem. She'd signed a
contract giving Apotex control over all communications bout the research. Nonetheless, Dr. Olivieri defied Apotex
and wrote an article, published on August 13 in the prestigious New England Journal Of Medicine. Five of 14
patients taking deferiprone showed evidence of liver damage.
To Dr. Olivieri, having her study published meant long-sought vindication. But questions are being asked about
her research. An editorial in the same issue of the journal raises some mportant concerns and finds her study
inconclusive. The editorial pointed out that the study had a "limited number of patients," that some researchers
would consider Olivieri's method of sampling the liver as "unacceptable." Their biggest objection was that the
patients studied weren't comparable.
The findings, wrote the editors, "weakened their conclusion." Dr. Marshall Kaplan, of Tufts New England Medical
Centre, is one of the editorial's authors. "We basically were asking questions and to say how strong are the data,
and I think we decided we couldn't come to a conclusion," Kaplan said
For Dr. Jerome Kassirer the editor-in-chief of the "New England Journal Of Medicine," the study is intriguing, but
hardly the last word. "It is some evidence -- I wouldn't be willing to describe it as weak, it is some evidence that
adds to our current knowledge about the efficacy and perhaps even the toxicity of the drug," Kassirer said
Officials at Apotex have called the editorial a vindication of their position that deferiprone is safe. In the end, what
looked like a battle between David and Goliath is turning into a scientific debate as to who's research you can
trust.
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http://www.tv.cbc.ca/
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Moonlighting
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Moonlighting is the practice of performing part-time
employment in addition to a regular job
While it is not unethical to moonlight, the code of ethics states
that the full-time employer must be fully informed and be
allowed to judge whether the second job affects the
performance of the primary employment
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Some companies require contracts that state that ideas etc
related to the primary employer are company property
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in particular, the moonlighting should not compete with the primary
employer
neither should the employer’s facilities be used for the moolighting
without prior approval
whether or not they occur on company property or in company time
If the engineer is offering engineering services to the public,
he/she also requires the appropriate licenses under the
Engineering Act (e.g. a Certificate of Authorisation)
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Ethics 22
Product Liability
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Product liability deals with what happens when a product fails
It is related to ethics, since product failure can be the result of
unethical behaviour
Many products are required by law to conform to certain safety
standards
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The CSA describes a standard …
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these are the result of cumulative experience with product failures
e.g. the Canadian Standards Association
Many standards define safety requirements intended to reduce the risk
of personal injury due to electrical shock or fire. Some standards set
levels of performance for products, and increasingly standards address
social concerns, such as how our environment is managed or how
information about us is being used.
Product liability is determined in a lawsuit between a plaintiff
who is seeking to recover damages for personal injury or
property loss from the seller or manufacturer (the defendant)
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Ethics 23
Defects in Products
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Manufacturing defects
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Design defects
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a serious but localised flaw, occurring in one or a few products out of
the many produced
a result of poor design or a design that does not meet appropriate
standards
design defects are global, and affect the entire product populations
e.g. Bridgestone-Firestone tyre recall in 2000
“Bridgestone/Firestone Announces Voluntary Recall of 3.85 million
RADIAL ATX and RADIAL ATX II Tires, and 2.7 million Wilderness AT
Tires” www.bridgestone-firestone.com/
Warning Defects
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absence of adequate warnings on products
e.g. McDonalds 1992 scalding coffee case
has led to warnings on many disposable coffee
cups
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Ethics 24
Product Risk Versus Cost
Risk of failure and primary cost of production are inversely
related
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it is materially cheaper to produce an inferior product
but this does not include secondary costs, such as litigation, reputation
etc.
“Ethics in Engineering”, M. Martin and R.
Schinzinger, McGraw Hill 1996
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Ethics 25
Limited Liability
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The plaintiff must demonstrate that
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Once exception is the principle of ‘patent danger’, based on
legal precedent where manufacturers were found not to be
liable for dangers that were inherently obvious from the use of
the product
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the manufacturer violated a legal responsibility to the customer
the defect actually caused the failure which led to injury or loss of
property
e.g. falling off a ladder is sufficiently obvious not to require a specific
warning on the ladder
With the McDonalds coffee case, it could be argued that the
risks of opening coffee on your lap in a car were obvious
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McDonalds were found liable partly because the temperature of their
coffee was at 180-190°F (compared with a typical value of 130-140°F
in other restaurants)
which is just above the threshold for causing burns to human skin
www.lectlaw.com
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Ethics 26
Negligence
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Liability may be filed based on several legal principles
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A defendant is considered negligent if their conduct led to an
unreasonable exposure of the plaintiff to risk
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the defendant need not intend to harm the plaintiff, but may be shown
not to care sufficiently about the plaintiff’s welfare
The responsibility of the defendant is higher if
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which may examine the conduct of the manufacturer and/or on the
performance of the product
there is a higher probability of harm
the harm is likely to be more serious
These principles are tempered by the concept that no
manufacturer can ever ensure that a product is totally safe
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it is a question of whether a reasonable person would consider that
reasonable precautions had been taken to ensure safety
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Ethics 27
Product Warranties
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A warranty is a promise made by a manufacturer about a
product
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If the product does not meet these promises – the product is
misrepresented – the manufacturer may be liable
An express warranty is a promise – written or verbal – that the
product will perform certain functions for a certain time
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in some ways analogous to a restricted set of specifications
there may be some flexibility in distinguishing sales ‘hype’ from verbal
express warranties
An implied warranty is not explicitly stated but is a reasonable
expectation based on the purpose of the product
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it differs from a guarantee, which covers services rather than products
e.g. one would expect that coffee from a fast food restaurant is hot
The USA also has a concept of strict liability – see textbook
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manufacturer is responsible for any damage resulting from the use of
the product, regardless of whether they were negligent or not
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Ethics 28
Summary
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The professional engineer has a duty to behave ethically
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The engineer’s duty to public safety and welfare is paramount
Common issues are
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following a codes of ethics is a legal requirement of professional
engineers in Ontario
these are designed to assist the engineer in determining a course of
action in case of a dilemma
conflict of interest
confidentiality
whistleblowing
moonlighting
Companies can be held liable for product failures for a variety
of reasons
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including negligence and misrepresentation
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Ethics 29
Resources
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“Canadian Professional Engineering Practice and Ethics”, G.
Andrews and J. Kemper, Harcourt 1999
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“Ethics in Engineering”, M. Martin and R. Schinzinger, McGraw
Hill 1996
www.nspe.org
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Ontario code of ethics
http://ethics.tamu.edu/pritchar/an-intro.htm
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case studies and codes of ethics
www.peo.on.ca
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a recommended text for the PEO Professional Practice Examination
lots of case studies from a course at Texas A&M University
For an analysis of whistleblowing since the Challenger
explosion
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http://www.nspe.org/ethics/eh1%2Dwhi.asp
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Ethics 30
What’s Next?
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The details of the second part of ENG1000 are dependent on
the instructor, but may include the following:
Completion of the design cycle
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Basic engineering tools
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Hazard and failure analysis
Design analysis
Implementation
AutoCAD
Major design project, potentially including manufacture of
prototypes
Engineering Design II (ENG2000) will include other techniques
of engineering, materials science, mechanical properties of
materials and structures, electronic properties of materials
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and more design projects!
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Ethics 31
Exercises from PEO Professional Practice Exam
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Question 1
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Shortly after signing a consulting contract with the XYZ Company to
oversee the construction of a new manufacturing plant, you receive a
letter from Mr. Smith, P.Eng. In his letter Mr. Smith points out that he
was contracted by the XYZ Company for the work that you are now
doing. He goes on to state that, despite having been notified by the
XYZ Company that his services are no longer required, he feels that he
has been terminated improperly and has taken the position that until
the matter is settled he is still engaged on this project.
Do you have any ethical obligation to Mr. Smith? Does the receipt of
this letter and the knowledge of Mr. Smith's position with respect to the
XYZ Company have any effect on your position vis a vis the XYZ
Company?
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Ethics 32
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Question 2
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After many years of working together as ABC Consultants the partners
have come to a parting of the ways. "A" and “B" are carrying on with
the old business. “C” has established a competitive business with his
son, who is an engineer, and has hired two senior Professional
Engineers from the old firm.
It has been brought to "A”’s attention by one of his clients that “C" has
sent out a mailing to potential clients, including the clients of the ABC
Company, announcing the new practice and soliciting work
opportunities for it. “A" has also heard that in some direct personal
solicitations "C" has questioned the ability of his old firm to perform on
certain types of work because of the fact that senior staff members with
specific expertise are no longer there. Engineer "B" in discussion with a
potential client has warned of the danger of dealing with engineer “C"'s
new firm because of its lack of a track record working as a company.
Discuss all aspects of the ethics of this situation.
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Ethics 33