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CANDIDATE GUIDEPROFESSIONALETHICSOUTCOME 8
TABLE OF CONTENTSPAGE NO.CANDIDATE INFORMATION4COMPETENCY STANDARD REQUIREMENTS5KEYS TO ICONS6GENERAL GUIDELINES7CANDIDATE SUPPORT9SECTION 1: AN INTRODUCTION TO THE CONCEPT OF ETHICS AND10ETHICAL BEHAVIOUR1.1.What are Ethics?1.2.Value Systems1.3.A Brief History of Ethics1.4.Ethics Definitions1.5.Key Concepts1.6.Ethics Alarms1.7.Importance of Ethical Conduct in Business1.8.Professional Ethics1.9.Ethical Issues Facing Engineers1.10.Code of Ethics1.11.SAIMechE‟s Code of ConductINITIAL TEST2
SECTION 2: PRACTICAL ETHICAL DECISION MAKING MODEL AS37PER THE ASSESSMENT CRITERIA2.1.Introduction2.2.Steps in Ethical Decision MakingSTEP 1: Define the Ethical ProblemSTEP 2: Identify Affected PartiesSTEP 3: Explore Optional SolutionsSTEP 4: Evaluate SolutionsSTEP 5: Select and Justify a SolutionASSESSMENT TESTSECTION 3: GENERIC GUIDELINES: LEARNING OUTCOMES AND57ASSESSMENT CRITERIA ARE THE GUIDING PRINCIPLESOF PROFESSIONAL PRACTICEAPPENDICES59REFERENCES70RECORDING OF REPORTS73ASSESSMENT PROCESS743
CANDIDATE INFORMATIONDetailsPlease Complete detailsName of candidateName of supervisorWork UnitName of mentorDate startedDate of completion &Assessment4
COMPETENCY STANDARD REQUIREMENTS(Direct extract from SAIMechE‟s Standard of Professional Competency (SPC))LEARNING OUTCOME 8Conduct his or her engineering activities ethically.Assessment Criteria:The candidate is expected to be sensitive to ethical issues and adopt a systematicapproach to resolving these issues, typified by:1. Identify the central ethical problem;2. Identify affected parties and their interests;3. Search for possible solutions for the dilemma;4. Evaluate each solution using the interests of those involved, accorded suitablepriority;5. Select and justify solution that best resolves the dilemma.Range Statement: Ethical behaviour is at least that defined by the Code of Conduct.5
KEYS TO ICONSThe following icons are used throughout the study guide to indicate specific functions:DON'T FORGET/NOTEThis icon indicates information of particular importanceCANDIDATE GUIDEThis refers to the learning material in this module which is aligned tothe SAIMechE Competency StandardEXERCISESPractical activities to do, either individual or in syndicate groupsduring the training processBOOKS AND WEBSITESAdditional resource information for further reading and referenceSELF TEST QUESTIONSSelf-evaluation for candidates to test understanding of the learningmaterialQUOTATIONSQuotations which offer interesting points of view and statements ofwisdom and insightYOUR NOTE PADProvided for candidate to document notes during presentation oftraining6
GENERAL GUIDELINESPURPOSEThis module provides easy to follow steps to help you define, analyse, understand andsolve ethical problems.This module is designed to equip you with the basic skills required to:1. Know the definitions and major concepts in ethics2. Understand the ethical approach to decision making,3. Follow the assessment criteria steps when making a decision4. Understand the SAIMechE Code of Conduct5. Explain the concept of personal ethics and their relationship to business andengineering ethics6. Describe the role of a code of conduct in a work environment, when followingethical principles7. Uphold the code of conduct within the work team8. Identify and solve ethical problems in upholding the code of conduct9. Communicate effectively, when explaining and describing the concept of ethics andthe application of a code of conduct.This module introduces the engineer to these ethical responsibilities and concerns. Whileit may be impossible and impractical to present in this module all the guidelinespertaining to engineering practice, certain issues of concern will be highlighted anddiscussed.Candidates will have the opportunity to discuss and debate values and ethical standards,and thereby understand and be better equipped to address ethical issues.7
LEARNING OUTCOME AND RANGE OF LEARNINGThis programme uses the basic structure of SAIMechE‟s Competency Standard andspecifically the assessment criteria to take you through the process of learning, as anunderstanding of the assessment criteria and the range of understanding required isfundamental to professional competence.8
CANDIDATE SUPPORTResourcesCandidate Guide(Manual)Professional Ethics.Candidate Portfolio ofEvidence GuideThis is a separate document which providesguidelines for candidates on how to compile theirportfolio and a template to structure their practicaltask evidence into a file for assessment by thementor/ assessorBooks and WebsitesRefer to References at the end of the CandidateGuideVideosSeconds from DisasterThis Candidate Guide is both a manual, coveringthe theory of ethical problem-solving anddecision-making, and also a workbook containingexercises for skills application with selfassessments to chart your understanding of eachsectionhttp://www.youtube.com/watch?v SainTe1ZOS0&list PL3D5BE0A550A4155F&index 1Folder EnclosuresThis includes all hand outs, checklists e.g. “TheEngineer‟s Code of Conduct”9
SECTION 1ETHICAL ISSUESLEARNING OUTCOMES: Describe and define what is meant by the word“ethically”Explain the role of general ethical codes in goodbusiness practiceBe fully conversant with The Code of Conduct10
1.ETHICAL ISSUES1.1. What are Ethics?Ethics is relevant to you in your everyday life as at some point in your professional orpersonal life you will have to deal with an ethical question or problem, e.g. what is yourlevel of responsibility towards protecting another person from threat, or whether or notyou should tell the truth in a particular situation?EXAMPLES OF POOR ETHICS: Your fair share is whatever you can get away withNobody expects you to be honest when they're not lookingIt's not stealing unless they catch youAN AFRICAN FABLETruth, Falsehood, Water, and Fire were traveling together and cameupon four heads of cattle. They decided to split the cattle evenly andeach take an equal share. But Falsehood was greedy and toldWater that Fire was going to burn his land and steal his cattle.Water believed him and jumped on Fire and put him out. Falsehoodtricked Truth into believing that Water was going to steal their cattleso they took them to the top of a hill for Water cannot run uphill.Falsehood laughed that he had tricked everyone and Truth, realizingFalsehood had lied, began to fight him for the cattle. They calledWind to determine whom the cattle belonged to, but Wind did notknow. According to this fable, what are Falsehood and Truth stilldoing?According to this fable told in Ethiopia and other eastern Africannations, Truth and Falsehood are still in a battle with one another.Let's hope truth wins.11
1.2. Value SystemsValues are the unarticulated beliefs that form the foundation for ethical behavior, i.e.practices that are viewed by our society as correct behavior. As an Engineer, you shouldacknowledge the fundamental importance of the following values both for yourself andyour profession:1. Quality of life - people being satisfied with their whole life experience;2. Health, human potential, empowerment, growth and excellence - people beinghealthy, aware of the fullness of their potential, recognizing their power to bring thatpotential into being, growing into it, living it, and, generally, doing the best they canwith it, individually and collectively;3. Freedom and responsibility - people being free and responsible in choosing howthey will live their lives;4. Justice - people living lives whose results are fair and right for everyone;5. Dignity, integrity, worth and fundamental rights of individuals, organizations,communities, societies, and other human systems;6. All-win attitudes and cooperation - people caring about one another and aboutworking together to achieve results that work for everyone, individually andcollectively;7. Authenticity and openness in relationships;8. Effectiveness, efficiency and alignment - people achieving the maximum ofdesired results, at minimum cost, in ways that coordinate their individual energies andpurposes with those of the system-as-a-whole, the subsystems of which they areparts, and the larger system of which their system is a part;9. Holistic, systemic view and affected parties orientation - understanding humanbehaviour from the perspective of whole system(s) that influence and are influencedby that behaviour; recognizing the interests that different people have in the system'sresults and valuing those interests fairly and justly;10. Wide participation in system affairs, confrontation of issues leading to effectiveproblem solving, and democratic decision making.12
1.3. A Brief History of Ethics1.3.1.Natural BehaviourEven when observing the animal kingdom, there are clear signs of rules of behaviour.The young monkey does not mess with the “big daddy” and when lions are feeding off afreshly killed carcass the hyenas keep a good distance. All of this behaviour appears tobe instinctual or intuitive but it serves the very clear purpose of maintaining order withinthe animal kingdom.1.3.2. Human BehaviourHuman ethical behaviour has been observed from the earliest recorded data andanthropological and archeological studies have indicated that all primitive tribes havevery definite rules of behaviour. Christopher Boehm (1982) has hypothesized that theincremental development of moral complexity throughout hominid evolution was due tothe increasing need to avoid disputes and injuries in moving to open savannah anddeveloping stone weapons. Human morality, though sophisticated and complex relativeto other animals, is essentially a natural phenomenon that evolved to restrict excessiveindividualism and foster human co-operation.Group morality develops from sharedconcepts and beliefs and is often codified to regulate behaviour within a culture orcommunity.1.3.3. MythologyPerhaps the existence of mythology arose out of the need to regulate society and thiswas much easier to do when the stories were fascinating and the members of thecommunity could identify with the mythological characters. Out of these myths grewrules of behaviour and conduct which contributed towards controlled and ordered living.13
1.3.4. Codes of ConductMoral code examples throughout history are: the „Golden Rule‟, the „Five Precepts‟ andthe „Noble Eightfold Path‟ of Buddhism, the Egyptian code of Ma‟at, and the „TenCommandments‟ of Judaism, Christianity and Islam.Among the earliest written codes is the „Code of Hamaurabi‟, the sixth King of Babylonwho lived between 1810 BCE and 1750 BCE. This code was of a more secular natureand was written up on stone pillars for all the subjects of his kingdom to see and live by.There were very clear, if somewhat brutal, sanctions for anyone who transgressed thembut this led to the orderly functioning of that ancient society.1.3.5. From Ancient Greece to the Modern EraAncient Greece was the birthplace of Western philosophical ethics, moral precepts fromthe 7th and 6th centuries BCE. Names like Socrates, Plato and Aristotle have becomehousehold names. Greece had moved from being a warring group of tribes to acommunity of people living in city states where individuals spent time thinking about ofbeingorganised.Ethical principles and practices have become the cement that binds a society together insuch a way that individual citizens may pursue their desires and reach for their goals.Grayling (2005) states that: „manners are central to true morality; they are the lubricant ofsocial relations, the sweetener of personal interaction, and the softener of conflict.Without them society itself would be impossible and out of control. The answers toquestions about how a complex, pluralistic community should cope with the stresses ofinternal difference and competition have to put civility at their heart, because nothing else- certainly not the blunt instrument of the law - can do nearly as well‟.14
1.3.6. The Need for Ethics and Codes of Conduct“On the whole human beings want to be good, but not toogood, and not quite all the time”George OrwellTherefore, from the early stirrings of functionality in primitive society, through the earlycodes of city life and academic philosophizing we arrived at a place where society needsrules of conduct which, when expressed as simple plain good manners, can provide aframework for the „good life‟ which is of benefit to both individuals and society.A 2005 global study of over 1100 managers and executivesidentified the top three factors most likely to cause businesspeople to compromise ethical standards: Pressure to meet unrealistic objectives/deadlinesDesire to further one’s careerDesire to protect one’s livelihoodJohn Eckmire in the essay Ethics Dilemma15
1.4. Ethics DefinitionsIt is useful to have a clear understanding of what is meant by the word ethics.Definition of Ethics:The Concise Oxford Dictionary definesethics as:“Relating to morals, treating of moralquestions; morally correct, honourable”.This begs the question: “What is the definition of MORALS?”Definition of Morals:“Concerned with goodness or badness of character or disposition, or with the distinctionbetween right and wrong; dealing with regulations of conduct”.Definition of Ethics from the Dictionary of Psychology:“A branch of philosophy concerned with that which is deemed acceptable in humanbehaviour, with what is good or bad, right or wrong in human conduct in pursuit of goalsand aims.”Ethics explores the nature of rights, of moral responsibilities, and of how to go aboutaddressing an ethical problem.Engineering ethics is the field of applied ethics which examines and sets standards forengineers' obligations to the public, their clients, employers and the profession and isappropriate in all aspects of professional practice.16
"Don't compromise yourself. You are all you've got."Janis Joplin1.5. Key ConceptsHere are the meanings of some key words and concepts:Ethics:The process of determining right and wrong conduct. Thediscipline dealing with what is good and bad and with moralduty and obligationsEthicalBehaviour that conforms to accepted standards of conductBehaviour:EthicalThe process of sorting out the principles that help determineReasoning:what is ethical when faced with an ethical dilemmaEthical System:A specific formula for distinguishing right from wrongUnethical:An action or conduct which violates the principles of one ormore ethical systems, or which is counter to an acceptedethical value, such as honestyNon-ethicalPowerful human motivations that are not based on right orConsiderations:wrong, but on considerations of survival and well-being, suchas health, security, love, wealth, or self-esteemEthical Dilemma:This is an ethical problem in which the ethical choice involvesignoring a powerful non-ethical consideration. Do the rightthing, but lose your job, a friend, a lover, or an opportunity for17
advancement. A situation or problem facing an individual thatinvolves complex and often conflicting principles of ethicalbehaviour1.6 Ethics AlarmsJack Marshall, director of ProEthics,runs an ethics blog (http://proethics.com/)and he says:“Ethics alarms are the feelings in your gut, the twinges in your conscience, and the senseof caution in your brain when situations involving choices of right and wrong arebeginning to develop, fast approaching, or unavoidable.” The better your ethics alarm isworking and the sooner your alarm goes off the more likely you are to do the right thing,or at least use good ethical reasoning to decide what to do.He goes on to say “creating an ethical culture is the shared obligation of everyone, andeach of us needs to think critically about what is right and wrong, make our opinionsknown, and never hesitate to communicate those opinions for fear of being „judgmental‟”.We should be judgmental – civil, fair, open-minded, and also willing to hold ourselves tohigh standards of conduct. Living ethically is not always easy, but it becomes easier withthought, debate and practice.18
1.7. The Importance of Ethical Conduct in BusinessThe field of business ethics often overlaps and informs ethical decision making forengineers.Conducting business ethically is critical to a company‟s success in the marketplace.Customers, suppliers and employees will not support a company that is involved infraudulent, dishonest or unethical practices. Setting high standards of integrity inbusiness relations and promoting their adherence by employees will enable the companyto merit the confidence and support of its customers and the public at large.As an employee or consultant you act as an ambassador and represent the organisationin your business dealings. The company‟s reputation is in your hands and it thereforedepends on you to do the right thing in the best interests of the organization. Highstandards in business conduct will go a long way to meriting the confidence and supportof your clients and employers.While business practices may change over time, our commitment to the higheststandards of integrity should remain constant and unblemished. Conducting businessethically is critical to success in the marketplace. It means more than obeying the law; itmeans that high standards of integrity must underlie every activity we undertake. It is upto the engineer to apply these guidelines to the best of their ability in their own individualsituation.Many organizations provide broad principles on expected ethical behaviour in the form ofa Code of Conduct. However, the responsibility to apply the guidelines and use soundjudgment in situations that could compromise integrity is up to the individual. It is theindividual‟s choice not to commit dishonest destructive or illegal acts – even if instructedby a supervisor, co-worker or others to act improperly. It is no justification to claim that ahigher authority ordered illegal acts.19
“It is curious - curious that physical courage should be socommon in the world, and moral courage so rare”Mark Twain1.8. Professional EthicsIn life our behavior is governed by different norm systems. The word NORM comes fromLatin “NORMA” yardstick. Norms dictate what we “ought” or “ought not” to do. The normsystems governing the behaviour of a professional are: Individual moralityRefers to individual values of a specific person and what they believe to be right.Individual morality is influenced by how a person was raised. It is their personalvalue system. The sanction for disobeying one‟s individual morality is a guiltyconscience. Positive moralityThis set of norms represents what is considered “right” in society at a particulartime. The sanction for failure to obey positive morality is social sanction. Law (Legal Norms)Laws protect society and prevent anarchy by regulating behavior.Public Law – also referred to as criminal law: between the state and individual.Private Law – also referred to as contractual law and focuses on the relationshipbetween persons.Formal Law and Common Law find expression in the reported judgments ofcourts. Professional EthicsProfessionals are a group of people who earn a living by undertaking a commonactivity and who regulate most of this themselves. Firstly they must form aconstitution, e.g. SAIMechE, and secondly they must publish a professional code20
of rules or an ethical code of conduct. This code must be in line with the law and isoften more restrictive than the law.1.9. Ethical Issues Facing EngineersWhistle blowing is an ethical issue facing Engineers in that they are obliged to report toSAIMechE the alleged wrongdoing on behalf of a client or employer who endangersothers by failing to comply with the engineer‟s advice. This duty supersedes the duty toclient and employer, and if the engineer does not bring such failure to the notice ofSAIMechE his/her membership may be cancelled.There are several other ethical issues that engineers may face. Some have to do withtechnical practice, but many others have to do with broader considerations of businessconduct. These include: Relationships with clients, consultants, competitors, and contractors Ensuring legal compliance by clients, client's contractors, and others Conflict of interest Bribery and kickbacks, which might include:o Gifts, meals, services, entertainment and recreation opportunitieso Treatment of confidential or proprietary informationo Consideration of the employer‟s assets Outside employment/activities (moonlighting)“Live a good, honorable life. Then when you get older and thinkback, you’ll be able to enjoy it a second time”The Dali Lama21
1.10. Code of EthicsThe norm system governing and regulating engineering professional behavior isprofessional ethics.Certain common principles underlie professional codes andbodies, e.g. Medical and Dental Council, Police Service Code of Conduct, Estate AgentsCode of Conduct. Codes may not be exhaustive and may not include all the rules andregulations that apply to every situation. The contents therefore have to be viewed withinthe framework of company policies, procedures and the requirements of the law.In our society ethical concerns have escalated in the past few years and have beenraised at government level. Organisations have hot lines for employees to anonymouslyreport unethical behaviour. In our field of engineering issues of fairness have beenlegislated and we have a Code of Conduct in place. The question of ethical practice,however, covers broad ground and encompasses everything we do as professionals andthe way we behave towards each other and our clients.Practising engineers must become aware of their ethical responsibility towards the clientas well as being on the lookout for possible areas where ethical concerns could arise.Engineers need to understand what values are and examine their own value systemwhich determines their interactions. What pitfalls regarding business and professionalethics face Engineers and what standards of integrity do they need to be aware of andadhere to, i.e. what ideals should they strive towards?The Boy Scout Law: "A Scout is trustworthy, loyal, helpful, friendly,courteous, kind, obedient, cheerful, thrifty, brave, clean, andreverent."22
Most codes have common fundamental principles which boil down to four universalfundamental principles:1. Respect for People’s Dignity and Rights Respect the client‟s personal integrity (privacy, confidentiality) Be non-judgmental of the intrinsic value of the client irrespective of age,behavior, culture, gender, race or religion If you are not competent to undertake a project/ task refer to another engineer Respect the knowledge skills and experience of your colleagues and otherprofessionals2. Responsible Practice The critical focus of this principle is to limit your practice to your field ofexpertise and competence You must have the appropriate knowledge and skill before undertaking anactivity Undergo relevant training and adhere to best practice Keep abreast of new developments in your field Use a new technique under supervision of a competent and experiencedengineer3. Integrity in Relationships The power relationship is unbalanced between the client and the engineer asmost power rests with the engineer (having the knowledge and skill) whichleaves the client vulnerable Professional codes expect engineers to act with integrity For engineers to be accepted in society and successful in their professionthey need to be trusted. There is a fiduciary relationship whereby one person(the client), in a position of vulnerability, justifiably reposes confidence, goodfaith, reliance and trust in another (the engineer) whose aid, advice orprotection is sought in some matter. In such a relationship good consciencerequires one to act at all times for the sole benefit and interests of another,with loyalty to those interests (source Wikipedia)23
4. Responsibility Clients are clearly the engineer‟s first responsibility but engineers also have aresponsibility to society Examples of responsible social actions are to:o disperse information that can advance the professiono protect the public trust in the engineering profession by “blowing thewhistle” on non-professional conducto assisting in some instances where worthy causes cannot affordprofessional serviceso protect society from dangerous practices24
GROUP EXERCISE 11. What makes an ethical person? Identify persons who have famously held fastto their principles despite opposition and even when doing so placed them indanger.2. Can you think of an unethical role model for the youth of today?3. Discuss one of the following topics:a. Honesty is the best policy.b. The truth will set you free.c. Honesty is something so tough and tempting. It demands self-denial andspiritual purity. Honesty counts even things that we may think simple andimmaterial. Who doesn‟t sometimes behave dishonestly?d. You are allowed to tell a white lie once in a while to spare someone'sfeelings; that‟s not wrong!e. Is giving a bribe dishonest if I have to accomplish something?f. To be honest with yourself, will make your life simple. Honesty is the bestpolicy. Be honest and you are less likely to face any difficulties.g. What are some advantages of conducting business with integrity? Somepeople say they have no responsibility beyond maximizing the value of thefirm in financial terms. Can this position be defended? If so, how?h. I try to be honest and treat others as I would like to be treated. I hope thatothers do the same. I believe it is very important to have empathy for oneanother.i.If I am hungry and my family is starving, is it acceptable to steal food fromthe local supermarket?j.Workers sometimes take sick leave or students miss class and stay offwork when they are not sick. Is this acceptable?25
4. Discuss one of the following topics:a. Is corporal punishment unethical or immoral?b. Is it ethical to tax the citizens of a country excessively?c. What is the correct thing to do about illegal aliens?d. Is cloning to produce children ethical?e. “Euthanasia is an acceptable practice in a civilized society with an ageingpopulation”.GROUP EXERCISE 2Quick TestTwo ethical questions:Question 1:You have been asked to participate as an “Engineer in Training” in the design andconstruction of a nuclear power plant. You will be working in a team of 10 designengineers. Some of the engineers are experienced and capable nuclear plant designers.a) Is the use and development of nuclear power plant ethical?b) Can you participate in the design of such a plant without any previous experience?Question 2:You work for a Government department as a Procurement Engineer. Your wife works forone of the companies that supplies some of the pump spares that you use. One day youdecide to stop buying spares from this company because they have become too26
expensive and the company has said they cannot drop their prices. You inform thesupplier of your decision on Wednesday.On Friday your wife comes home with two tickets to the rugby final on Saturday and yougo to the game and thoroughly enjoy it. Two weeks later your wife comes home andinforms you that she has been given a voucher for a weekend away at an exclusivegame lodge. Her boss told her she and her husband deserve a luxurious break.Should you have gone to the rugby?27
1.11 SAIMechE’s Code of ConductThe Code of Conduct provides information about the standards of integrity that theCouncil expects all members to follow. These rules of conduct serve as a guideline forpractice that must be adhered to at all times. This is to ensure that engineers conductthemselves in a manner that is professionally and ethically acceptable, and do not bringthe profession into disrepute.Know about applicable regulations & guidelines and thinkabout them when conducting your work.The limitations of professional codes are that they haverestricted powers as they are voluntary and only apply tomembers.The SAIMechE‟s Code of Conduct is not a substitute for the responsibility of eachengineer to exercise sound judgment. It is meant to serve both as a guide to assist eachengineer to resolve ethical dilemmas in an increasingly complex global businessenvironment, and a public statement of the Council‟s commitment to the higheststandards of integrity. It provides a universal set of principles to guide individualengineers on ethical matters.Having a guideline to follow is helpful to assist engineers in practicing principled businessdealings in an increasingly complex global business environment. The Code of Conductcannot address or set “rules” and regulations that apply to every possible situation orethical dilemma. It should be viewed within the framework of company policies,procedures and requirements of the law.28
What you are tomorrow depends on what you do today.Ultimately our conduct is our own responsibility. None of us should ever commitdishonest, destructive or illegal acts, even if directed to do so by a supervisor orcolleague, nor should we direct others to act improperly. In addition, don‟t deviate fromthe code even if doing so appears to be in your employer‟s favour. Your reputation is inyour hands – so do the right thing.Code of Conduct for Professional PersonsThe purpose of the Code of Conduct is threefold:-to increase professional and ethical consciousness among engineers andtheir sense of ethical responsibility;-to guide engineers in making more informed ethical choices; and-to help the Engineering profession itself function at the fullness of itspotential.As professionals, engineers commit themselves to supporting and acting in accordancewith ethical guidelines covering the following six main areas: Competency Integrity Public Interest Environment Dignity of the Profession AdministrativeWe will look at these six aspects in greater depth over the next few pages.29
COMPETENCYRegistered Persons:MUST . MAY NOT
freshly killed carcass the hyenas keep a good distance. All of this behaviour appears to be instinctual or intuitive but it serves the very clear purpose of maintaining order within the animal kingdom. 1.3.2. Human Behaviour Human ethical behaviour has been observed from the earliest recorded data and
