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Business Ethics

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Business Ethics
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Frey, William, Connexions, Rice University

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Ethical Leadership, Mountain Terrorist Exercise, Virtue Ethics, Moral Exemplars, Professional Ethics, Team Work Ethics, Ethical Decision Making, Ethical Rights, Values-Based Decision-Making, CSR, Corporate Social Responsibility, Moral Ecologies, Moral Ecology, Corporate Governance, Ethical Issues, Risk Management, Corporate Ethics, Ethical Job Candidate, …
Corporations, Ethical Instruction, Ethics
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This interdisciplinary and practical text is designed to support a course in business ethics or corporate governance which is primarily a laboratory or skills-based course, where students develop, practice, and refine decision making and problem solving strategies that they will carry with them into the world of business practice.
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William Frey
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http://cnx.org/content/col10491/latest/
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http://florida.theorangegrove.org/og/file/439fe286-20de-cd12-b13e-cd66b8d5bf20/1/BusinessEthics.pdf

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BusinessEthics CollectionEditor: WilliamFrey

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BusinessEthics CollectionEditor: WilliamFrey Authors: JoseA.Cruz-Cruz WilliamFrey Online: < http://cnx.org/content/col10491/1.9/ > CONNEXIONS RiceUniversity,Houston,Texas

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2008WilliamFrey ThisselectionandarrangementofcontentislicensedundertheCreativeCommonsAttributionLicense: http://creativecommons.org/licenses/by/2.0/

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TableofContents 1EthicalLeadership 1.1 TheoryBuildingActivities:MountainTerroristExercise.....................................1 1.2 Theory-BuildingActivities:VirtueEthics....................................................5 1.3 MoralExemplarsinBusinessandProfessionalEthics.......................................11 1.4 EthicsofTeamWork.......................................................................13 Solutions........................................................................................ ?? 2EthicalDecision-Making 2.1 EthicalRightsforWorkingEngineersandOtherProfessionals..............................19 2.2 ThreeFrameworksforEthicalDecisionMakingandGoodComputingReports..............25 2.3 Values-BasedDecision-MakinginGilbaneGold.............................................34 2.4 Socio-TechnicalSystemsinProfessionalDecisionMaking...................................38 Solutions........................................................................................ ?? 3CSRCorporateSocialResponsibility 3.1 AShortHistoryoftheCorporation.........................................................47 3.2 MoralEcologiesinCorporateGovernance..................................................55 3.3 ThreeViewsofCSRCorporateSocialResponsibility......................................63 3.4 TheoryBuildingActivities:"ResponsibilityandIncidentatMorales".......................73 3.5 EthicalIssuesinRiskManagementforBusiness............................................81 Solutions........................................................................................ ?? 4CGCorporateGovernance 4.1 DierentApproachestoCorporateGovernance.............................................91 4.2 DevelopingaStatementofValues.........................................................103 4.3 PirateCodeforEngineeringEthics........................................................111 4.4 CorporateEthicsComplianceOcerReport...............................................118 4.5 BeinganEthicalJobCandidate...........................................................122 Solutions........................................................................................ ?? 5BusinessEthicsCaseStudies 5.1 BiomatrixCaseExercises-StudentModule...............................................133 5.2 GrayMattersfortheHughesAircraftCase................................................149 5.3 CaseAnalysisModule:Therac-25.........................................................157 5.4 ToysmartCaseExercises-StudentModule................................................162 5.5 EthicsandLaptops:IdentifyingSocialResponsibilityIssuesinPuertoRico................177 5.6 CaseAnalysisandPresentation:Machado.................................................179 Solutions........................................................................................ ?? 6BusinessEthicsBowl 6.1 PracticalandProfessionalEthicsBowlActivity:Follow-UpIn-DepthCaseAnalysis........................................................................................187 6.2 EthicsBowl:CasesandScoreSheets......................................................196 Solutions........................................................................................ ?? 7CourseProcedures 7.1 RubricsforExamsandGroupProjectsinEthics..........................................201 7.2 IntegratingtheValuesofResponsibilityandHonestyIntoClassAttendanceModule........................................................................................204 Solutions........................................................................................ ?? Index ...............................................................................................209 Attributions ........................................................................................211

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Chapter1 EthicalLeadership 1.1TheoryBuildingActivities:MountainTerroristExercise 1 1.1.1ModuleIntroduction Thismoduleposesanethicaldilemma,thatis,aforcedchoicebetweentwobadalternatives.Yourjobisto readthescenarioandchoosebetweenthetwohornsofthedilemma.Youwillmakeyourchoiceandthen justifyitintherstactivity.Inthesecondactivity,youwilldiscussyourchoicewithothers.Here,the objectiveistoreachconsensusonacourseofactionordescribethepointatwhichyourgroup'sprogress towardconsensusstopped.TheMountainTerroristExercisealmostalwaysgenerateslivelydiscussionand helpsustoreectonofourmoralbeliefs.Don'texpecttoreachagreementwithyourfellowclassmates quicklyoreortlessly.Ifyoudo,thenyourinstructorwillndwaysofthrowingamonkeywrenchintothe wholeprocess.Whatismoreimportanthereisthatwelearnhowtostateourpositionsclearly,howto listentoothers,howtojustifyourpositions,andhowtoassessthejusticationsoeredbyothers.Inother words,wewillallhaveachancetopracticethevirtueofreasonableness.Andwewilllearnreasonableness notwhenit'seasyasitiswhenweagreebutwhenitbecomesdicultasitiswhenwedisagree. Thesecondhalfofthismodulerequiresthatyoureectcarefullyonyourmoralreasoningandthatof yourclassmates.TheMountainTerroristExercisetriggersthedierentmoralschemasthatmakeupour psychologicalcapacityformoraljudgment.Choosingonehornofthedilemmameansthatyoutendtofavor onekindofschemawhilechoosingtheotherhorngenerallyindicatesthatyourfavoranother.Thedominant moraltheoriesthatwewillstudythissemesterprovidedetailedarticulationsandjusticationsofthesemoral schemas.Reectingonyourchoice,thereasonsforyourchoice,andhowyourchoicediersfromthatof yourclassmateswillhelpyougetstartedonthepathofstudyingandeectivelyutilizingmoraltheory. Thefollowingscenariocomesoriginallyfromthephilosopher,BernardWilliams.Itisalsopresentedin introductoryethicstextbookssuchasGeoreyThomas'AnIntroductiontoEthics.Thersttimethis module'sauthorbecameawareofitsuseintheclassroomwasinaworkshoponAgricultureEthicsledby PaulThompson,thenofTexasA&MUniversity,in1992. 1.1.2MoralTheoriesHighlighted 1.Utilitarianism:themoralvalueofanactionliesinitsconsequencesorresults 2.Deontology:themoralvalueofanactionlies,notinitsconsequences,butintheformalcharacteristics oftheactionitself. 3.VirtueEthics:Actionssortthemselvesoutintovirtuousorviciousactions.Virtuousactionsstemfrom avirtuouscharacterwhileviciousactionsstemfromaviciousormorallyawedcharacter.Whowe areisrevealsthroughwhatwedo. 1 Thiscontentisavailableonlineat. 1

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2 CHAPTER1.ETHICALLEADERSHIP 1.1.3MountainTerroristScenario Youareinaremotemountainvillage.Agroupofterroristshaslinedup20peoplefromthevillage;they planonshootingthemforcollaboratingwiththeenemy.Sinceyouarenotfromthevillage,youwillnotbe killed.Takingadvantageofyourposition,youpleadwiththeterroristsnottocarryouttheirplan.Finally, youconvincetheleaderthatitisnotnecessarytokillall20.Hetakesagun,emptiesitofallitsbullets exceptone,andthenhandsittoyou.Hehasdecidedtokillonlyonevillagertosetanexampletotherest. Asanhonoredguestandoutsider,youwilldecidewhowillbekilled,andyouwillcarryoutthedeed.The terroristsconcludewithawarning;ifyourefusetokillthevillager,thentheywillrevertbacktotheoriginal planofkillingall20.Andifyoutryanyfunnybusiness,theywillkillthe20villagersandthenkillyou. Whatshouldyoudo? YourOptions 1.Takethegun,selectavillager,andkillhimorher. 2.Refusetheterrorists'oerandwalkawayfromthesituation. SpanishTranslationbyDr.HalleySanchez ElTerroristadelaMontaaTeresunantroplogoqueporunmeshaestadoviviendoconyobservandoo sea,estudiandoalosresidentsdeunaaldeaenunaarearemotamontaozadeunpaisenAmricaLatina. Eldaquetedisponeirtedelaaldea,apreceungrupodehombresarmadosquerenenalosaldeanosy lesanuncianquesehanenteradodequeelloshanestadocooperandoconelgobiernorepresivoyque,como leccin,handeejecutarvientedeellos.Ellderdelosterroristastemiraytedicequettepuedesir, yaquenoestsinvolucardoenlaluchapatriticayqueellosnoestnenlacostumbredetomarrehnes extranjeros.Debidoaquetedalaimpresindequeellderdelossupuestospatritasterroristas?esun hombreeducado,tteatrevestratarderazonarconl.Leexplicaquellevasunmesenlaaldeayquelos aldeanosnohancooperadodeformavolutariaconelgobierno.S,porsupuesto,lastropasdelgobierno pasaronporlaaldeayconscaronalgunasprovisiones,perolosaldeanosnoselasdieronlibrementesinoque estabanindefensoynopodieronprevenirqueleconscaranlasmismas.Ellderpiensauntiempoytedice queportserforasteroyobviamenteunantroplogoestudioso,tevaadarelbeniciodeladuda,yquepor tantonovanaejecutarvientealdeanos.Perodadoquelaluchapatriticaestenunprocesocrticoyque laaldeasleproveyprovisionesalgobierno,porelbiendelaluchapatriticayelbiendelahumanidad, esmenesterdarleunaleccinalaaldea.Asquetanslohandeejecutarunaldeano.Ms,comohuesped, thasdeescogerquinhademorirythasdematarlotmismo.Tedaunapistolaconunasolabalayte dicequeproceda,mientrasquealavezteadviertequedetrataralgoheroico,teejecutarninmediatamente yprocedernaejecutaralosvientealdeanoscomodijeronalcomienzo.Tereselantroplogo.Quhars? Activity1 Inashortessayof1to2pagesdescribewhatyouwoulddoifyouwereinthepositionofthetourist.Then justifyyourchoice. Activity2 Bringyouressaytoclass.Youwillbedividedintosmallgroups.Presentyourchoiceandjusticationto theothersinyourgroup.Thenlistentotheirchoicesandjustications.Trytoreachagroupconsensuson choiceandjustication.Youwillbegiven10-15minutes.Ifyousucceedpresentyourresultstotherestof theclass.Ifyoufail,presenttotheclassthedisagreementthatblockedconsensusandwhatyoudidwithin thetimelimittoovercomeit. 1.1.4TaxonomyofEthicalApproaches Therearemanyethicalapproachesthatcanbeusedindecisionmaking.TheMountainTerroristExercise isbasedonanarticialscenariodesignedtoseparatethesetheoreticalapproachesalongthelinesofthe dierent"horns"ofadilemma.Utilitarianstendtochoosetoshootavillager"inordertosave19."Inother wordstheyfocustheiranalysisontheconsequencesofanactionalternativeandchoosetheonethatproduces theleastharm.Deontologistsgenerallyelecttowalkawayfromthesituation.Thisisbecausetheyjudgean actiononthebasisofitsformalcharacteristics.Adeontologistmightarguethatkillingthevillagerviolates

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3 naturallaworcannotbemadeintoalaworrulethatconsistentlyappliestoeverybody.Adeontologist mightsaysomethinglike,"WhatrightdoIhavetotakeanotherperson'slife?"Avirtueethicistsmighttry toimaginehowapersonwiththevirtueofcourageorintegritywouldactinthissituaiton.Williamsclaims thatchoosingtokillthevillager,adutyunderutilitarianism,wouldunderminetheintegrityofapersonwho abhorredkilling. TableConnectingTheorytoDomain 1.Row1:Utilitarianismconcernsitselfwiththedomainofconsequenceswhichtellsusthatthemoral valueofanactionis"colored"byitsresults.Theharm/benecencetest,whichasksustochoosethe leastharmfulalternative,encapsulatesorsummarizesthistheoreticalapproach.Thebasicprinciple ofutilitarianismistheprincipleofutility:choosethatactionthatproducesthegreatestgoodforthe greatestnumber.Cost/benetsanalysis,theParetocriterion,theKalder/Hickscriterion,risk/benets analysisallrepresentdierentframeworksforbalancingpositiveandnegativeconsequencesunder utilitarianismorconsequentialism. 2.Row2:DeontologyhelpsustoidentifyandjustifyrightsandtheircorrelativedutiesThereversibility testsummarizesdeontologybyaskingthequestion,"Doesyouractionstillworkifyouswitch=reverse roleswiththoseonthereceivingend?"Treatothersalwaysasends,nevermerelyasmeans,"the FormulaofEnd,representsdeontology'sbasicprinciple.Therightsthatrepresentspecialcasesof treatingpeopleasendsandnotmerelyasmeansincludeainformedconsent,bprivacy,cdue process,dproperty,efreespeech,andfconscientiousobjection. 3.Row3:Virtueethicsturnsawayfromtheactionandfocusesontheagent,thepersonperformingthe action.Theword,"Virtue,"referstodierentsetsofskillsandhabitscultivatedbyagents.Theseskills andhabits,consistentlyandwidelyperformed,support,sustain,andadvancedierentoccupational, social,andprofessionalpractices.SeeMacIntyre,AfterVirtue,andSolomon,EthicsandExcellence, formoreontherelationofvirtuestopractices.Thepublicidenticationtestsummarizesthisapproach:anactionismorallyacceptableifitisonewithwhichIwouldwillinglybepubliclyassociated givenmymoralconvictions.Individualvirtuesthatwewillusethissemesterincludeintegrity,justice, responsibility,reasonableness,honesty,trustworthiness,andloyalty. CoveringAlltheBases EthicalDimension CoveringEthical Approach Encapsulating EthicalTest BasicPrinciples Applicationor BridgingTools Consequences Utilitarianism Harm/Benecence weighharms againstbenets PrincipleofUtility:greatestgood forgreatestnumber Benet&cost comparisonUtility Maximization FormalCharacteristicsofAct DeontologyDutybased,rightsbased,natural law,socialcontract Reversibilitytest byreversingroles betweenagentand objectofaction CategoricalImperativeFormula ofEndAutonomy Free&Informed Consent,Privacy, Property,Due Process,Free Speech,Conscientiousobjection continuedonnextpage

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4 CHAPTER1.ETHICALLEADERSHIP Skillsandhabits cultivatedby agent VirtueEthics PublicIdenticationimputemoral importofactionto personofagent Virtuesaremeans betweenextremes withregardto agentandactionVirtuesare cultivateddispositionsthatpromote centralcommunity values Integrity,justice, responsibility,reasonableness,honesty,trustworthiness,loyalty Table1.1 1.1.5CommentsontheRelationBetweenEthicalApproaches TheMountainTerroristExercisehas,inthepast,givenstudentstheerroneousideathatethicalapproaches arenecessarilyopposedtooneanother.Asonestudentputit,"Ifdeontologytellsustowalkawayfrom thevillage,thenutilitarianismmusttellustostayandkillavillagerbecausedeontologyandutilitarianism,asdierentandopposedtheories,alwaysreachdierentandopposedconclusionsontheactionsthey recommend."TheMountainTerroristdilemmawasspeciallyconstructedbyBernardWilliamstoproduce asituationthatoeredonlyalimitednumberofalternatives.Hethentiedthesealternativestodierent ethicalapproachestoseparatethempreciselybecauseinmostrealworldsituationstheyarenotsoreadily distinguishable.Laterthissemester,wewillturnfromthesephilosophicalpuzzlestorealworldcaseswhere ethicalapproachesfunctioninaverydierentandmostlycomplimentaryway.Aswewillsee,ethicalapproaches,forthemostpart,convergeonthesamesolutions.Forthisreason,thismoduleconcludeswith3 meta-tests.Whenapproachesconvergeonasolution,thisstrengthensthesolution'smoralvalidity.When approachesdivergeonasolution,thisweakenstheirmoralvalidity.Athirdmeta-testtellsustoavoidframingallethicalproblemsasdilemmas=forcedchoicesbetweenundesirablealternativesorwhatCarolyn Whitbeckcalls"multiple-choice"problems.Youwillsoonlearnthateectivemoralproblemsolvingrequires moralimaginationandmoralcreativity.Wedonot"nd"solutions"outthere"readymadebutdesignthem toharmonizeandrealizeethicalandpracticalvalues. Meta-Tests DivergenceTest:Whentwoethicalapproachesdieronagivensolution,thenthatdierencecounts againstthestrengthofthesolution.Solutionsonwhichethicaltheoriesdivergemustberevisedtowards convergence. ConvergenceTest:Convergencerepresentsameta-testthatatteststosolutionstrength.Solutionson whichdierenttheoreticalapproachesconvergeare,bythisfact,strengthened.Convergencedemonstratesthatasolutionisstrong,notjustoveronedomain,butovermultipledomains. AvoidFramingaProblemasaDilemma.Adilemmaisano-winsituationthatoersonlytwoalternativesofactionbothofwhichareequallybad.Atrilemmaoersthreebadalternatives,etc. Dilemmasarebetterdissolvedthansolved.Reframethedilemmaintosomethingthatadmitsofmore thantwono-winalternatives.Dilemmaframingframingasituationasanethicaldilemmadiscouragesusfromdesigningcreativesolutionsthatintegratetheconictingvaluesthatthedilemmaposes asincompatible. 1.1.6ModuleWrap-Up 1. ReasonablenessandtheMountainTerroristExercise. Itmayseemthatthisscenarioisthelast placewherethevirtueofreasonablenessshouldprevail,butlookbackonhowyourespondedtothose ofyourclassmateswhochosedierentlyinthisexerciseandwhooeredargumentsthatyouhadnot initiallythoughtof.Didyou"listenandrespondthoughtfully"tothem?Wereyou"opentonewideas"

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5 evenifthesechallengedyourown?Didyou"givereasonsfor"yourviews,modifyingandshapingthem torespondtoyourclassmates'arguments?Didyou"acknowledgemistakesandmisunderstandings" suchasrespondingcriticallyandpersonallytoaclassmatewhoputforthadierentview?Finally,when youturnedtoworkingwithyourgroup,wereyouableto"compromisewithoutcompromisingpersonal integrity"?Ifyoudidanyorallofthesethings,thenyoupracticedthevirtueofreasonablenessas characterizedbyMichaelPritchardinhisbook,ReasonableChildren:MoralEducationandMoral Learning,UniversityofKansasPress,p.11.Congratulateyourselfonexercisingreasonableness inanexercisedesignedtochallengethisvirtue.Youpassedthetest. 2. Recognizingthatwearealreadymakingethicalarguments. Inthepast,studentshavemade thefollowingargumentsonthisexercise:aIwouldtakethegunandkillavillagerinorderto savenineteen;bIwouldwalkawaybecauseIdon'thavetherighttotakeanother'slife;cWhile walkingawaymightappearcowardlyitistheresponsiblethingtodobecausestayingandkillinga villagerwouldmakemecomplicitintheterrorists'project.Aswediscussedinclass,theseandother argumentsmakeuseofmodesofthoughtcapturedbyethicaltheoriesorapproaches.Therstemploys theconsequentialistapproachofutilitarianismwhilethesecondmakesuseoftheprincipleofrespect thatformsthebasisofourrightsandduties.Thethirdworksthroughaconictbetweentwovirtues, courageandresponsibility.Thisreliesonthevirtueapproach.Oneaccomplishmentofthisexercise istomakeyouawareofthefactthatyouarealreadyusingethicalarguments,i.e.,argumentsthat appealtoethicaltheory.Learningaboutthetheoriesbehindtheseargumentswillhelpyoutomakes theseargumentsmoreeectively. 3. ResultsfromMuddyPointExercises TheMuddyPointExercisesyoucontributedkeptcoming backtotwopoints.aManyofyoupointedoutthatyouneededmoreinformationtomakeadecision inthissituation.Forexample,whoweretheseterrorists,whatcausesweretheyghtingfor,andwere theycorrectinaccusingthevillageofcollaboratingwiththeenemy?Yourrequestformoreinformation wasquiteappropriate.Butmanyofthecaseswewillbestudyingthissemesterrequiredecisionsinthe faceofuncertaintyandignorance.Theseareunavoidableinsomesituationsbecauseoffactorssuchas thecostandtimeofgatheringmoreinformation.Moralimaginationskillfullyexercisedcandoalot tocompensatewhenallofthefactsarenotin.bSecond,manyofyoufeltoverlyconstrainedbythe dilemmaframingofthescenario.Thoseofyouwhoenteredtherealmof"funnybusiness"anything beyondthetwoalternativesofkillingthevillagerorwalkingawaytookabigsteptowardeective moralproblemsolving.Byrejectingthedilemmaframingofthisscenario,youweretryingtoreframe thesituationtoallowformoreandmoreethicallyviablealternatives.Tryingtonegotiatewiththe Terroristsisagoodexampleofreframingthescenariotoadmitofmoreethicalalternativesofaction thankillingorwalkingaway. 4.Congratulationsoncompletingyourrstethicsmodule!Youhavebegunrecognizingandpracticing skillsthatwillhelpyoutotacklereallifeethicalproblems.Noticethatwearegoingtoworkwith "problems"not"dilemmas".Wewillnowturn,inthenextmodule,tolookatthosewhomanaged todogoodinthefaceofdiculty.Studyingmoralexemplarswillprovidethenecessarycorrectiveto the"no-win"MountainTerroristExercise. 1.2Theory-BuildingActivities:VirtueEthics 2 BasedonmaterialpresentedbyChuckHuSt.OlafCollegeandWilliamFreyattheAssociationfor PracticalandProfessionalEthicsin2005atSanAntonio,TX.Preliminaryversionsweredistributedduring thispresentation. 2 Thiscontentisavailableonlineat.

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6 CHAPTER1.ETHICALLEADERSHIP 1.2.1ModuleIntroduction ThismoduleusesmaterialsbeingpreparedforGoodComputing:AVirtueApproachtoComputerEthics, tosetupanexerciseinwhichyouwillidentifyandspelloutvirtuesrelevanttoyourprofessionaldiscipline. Afteridentifyingthesevirtues,youwillworktocontextualizethemineverydaypractice.Emphasiswillbe placedontheAristotelianapproachtovirtueswhichdescribesavirtueasthedispositiontowardthemean locatedbetweentheextremesofexcessanddefect.Youwillalsobeaskedtoidentifycommonobstacles thatpreventprofessionalsfromrealizingagivenvirtueandmoralexemplarswhodemonstrateconsistent successinrealizingthesevirtuesandrespondingtoobstaclesthatstandinthewayoftheirrealization.Ina variationonthismoduleyoucouldbeaskedtocomparethevirtuesyouhaveidentiedforyourprofession withvirtuesthatbelongtoothermoralecologiessuchasthoseoftheHomericwarrier. 1.2.2ThreeVersionsofVirtueEthics:Virtue1,Virtue2,andVirtue3 Virtueethicshasgonethroughthreehistoricalversions.Therst,Virtue1,wassetforthbyAristotlein ancientGreece.WhiletiedcloselytopracticesinancientGreecethatnolongerexisttoday,Aristotle's versionstillhasalottosaytousinthisdayandage.Inthesecondhalfofthetwentiethcentury,British philosophicalethicistsputfortharelatedbutdierenttheoryofvirtueethicsvirtue2asanalternativeto thedominantethicaltheoriesofutilitarianismanddeontology.Virtue2promisedanewfoundationofethics consistentwithworkgoingonatthattimeinthephilosophyofmind.Proponentsfeltthatturningfromthe actiontotheagentpromisedtofreeethicaltheoryfromtheintractabledebatebetweenutilitarianismand deontologyandoeredawaytoexpandscopeandrelevanceofethics.Virtue3reconnectswithAristotle andvirtue1eventhoughitdropsthedoctrineofthemeanandAristotle'semphasisoncharacter.Using recentadvancesinmoralpsychologyandmoralpedagogy,itseekstoreworkkeyAristotelianconceptsin modernterms.Inthefollowing,wewillprovideshortcharacterizationsofeachofthesethreeversionsof virtueethics. 1.2.3Virtue1:Aristotle'sVirtueEthics Eudaimonia. Happiness,forAristotle,consistsofalifespentfulllingtheintellectualandmoral virtues.Thesemodesofactionareauto-telic,thatis,theyareself-justifyingandcontaintheirown ends.Bycarryingoutthemoralandintellectualvirtuesforalifetime,werealizeourselvesfullyas humans.Becausewearedoingwhatweweremeanttodo,wearehappyinthisspecialsenseof eudaimonia. Arete. AreteistheGreekwordweusuallytranslateas"virtue".Butareteismorefaithfullytranslated asexcellence.ForAristotle,themoralandintellectualvirtuesrepresentexcellences.Sothemorallife ismorethanjuststayingoutoftrouble.UnderAristotle,itiscenteredinpursuingandachieving excellenceforalifetime. VirtueastheMean. Aristotlealsocharacterizesvirtueasasettleddispositiontochoosethe mean betweentheextremesofexcessanddefect,allrelativetopersonandsituation.Couragethevirtue isthemeanbetweentheextremesofexcesstoomuchcourageorrecklessnessanddefecttoolittle courageorcowardice.Aristotle'sclaimthatmostorallofthevirtuescanbespeciedasthemean betweenextremesiscontroversial.WhilethedoctrineofthemeanisdroppedinVirtue2andVirtue3, wewillstilluseitindevelopingvirtuetables.Seeexercise1below.Youmaynotndbothextremes forthevirtuesyouhavebeenassignedbutmaketheeortnonetheless. Ethos. "Ethos"translatesascharacterwhich,forAristotle,composestheseatofthevirtues.Virtues arewellsettleddispositionsorhabitsthathavebeenincorporatedintoourcharacters.Becauseour charactersaremanifestedinouractions,thepatternsformedbytheseovertimerevealwhoweare. Thiscanbeformulatedasadecision-makingtest,the publicidenticationtest .Becausewereveal whowearethroughouractionswecanask,whenconsideringanaction,whetherwewouldcareto bepubliclyidentiedwiththisaction."WouldIwanttobepubliclyknownasthekindofperson whowouldperformthatkindofaction?WouldI,throughmycowardlyaction,wanttobepublicly

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7 identiedasacoward?WouldI,throughmyresponsibleaction,wanttobepubliclyidentiedasa responsibleperson?Becauseactionsprovideotherswithawindowintoourcharacters,wemustmake surebesurethattheyportrayusaswewanttobeportrayed. AisthesisofthePhronimos. ThisGreekphrase,roughlytranslatedastheperceptionofthemorally experiencedagent,revealshowimportantpracticeandexperiencearetoAristotleinhisconception ofmoraldevelopment.OnemajordierencebetweenAristotleandotherethicistsutilitariansand deontologistsistheemphasisthatAristotleplacesondevelopingintoorbecomingamoralperson. ForAristotle,onebecomesgoodbyrstrepeatedlyperforminggoodactions.Somoralityismore likeanacquiredskillthanamechanicalprocess.Throughpracticewedevelopsensitivitiestowhatis morallyrelevantinasituation,welearnhowtostructureoursituationstoseemoralproblemsand possibilities,andwedeveloptheskillof"hitting"consistentlyonthemeanbetweentheextremes.All oftheseareskillsthatarecultivatedinmuchthesamewayasabasketballplayerdevelopsthrough practicetheskillofshootingtheballthroughthehoop. Bouleusis. Thiswordtranslatesas"deliberation."ForAristotle,moralskillisnottheproductof extensivedeliberationcareful,exhaustivethinkingaboutreasons,actions,principles,concepts,etc. butofpractice.Thosewhohavedevelopedtheskilltondthemeancandosowithverylittlethought andeort.Virtuousindividuals,forAristotle,aresurprisinglyunreective.Theyactvirtuously withoutthoughtbecauseithasbecomesecondnaturetothem. Akrasia. Rosstranslatesthiswordas"incontinence"whichisoutmoded.Abettertranslationis weaknessofwill.ForAristotle,knowingwherevirtueliesisnotthesameasdoingwhatvirtuedemands. Therearethosewhoareunabletotranslateknowledgeintoresolutionandthenintoaction.Because akrasisweaknessofwillisveryrealforAristotle,healsoplacesemphasisinhistheoryofmoral developmentonthecultivationofproperemotionstohelpmotivatevirtuousaction.Laterethicists seektoopposeemotionandrightaction;Aristotleseesproperlytrainedandcultivatedemotionsas strongmotivestodoingwhatvirtuerequires. Logos Aristotle'sfulldenitionofvirtueis"astateofcharacterconcernedwithchoice,lyingina mean,i.e.themeanrelativetous,thisbeingdeterminedbyarationalprinciple,andbythatprinciple bywhich[aperson]ofpracticalwisdomwoulddetermineit."Ross'stranslationin Nichomachean Ethics ,1106b,36.Wehavetalkedaboutcharacter,themean,andthepersonofpracticalwisdom. Thelastkeytermis"logos"whichinthisdenitionistranslatedbyreason.Thisisagoodtranslation ifwetakereasoninitsfullestsensesothatitisnotjustthecapacitytoconstructvalidarguments butalsoincludesthepracticalwisdomtoassessthetruthofthepremisesusedinconstructingthese arguments.Inthisway,Aristotleexpandsreasonbeyondlogictoincludeafullersetofintellectual, practical,emotional,andperceptualskillsthattogetherformapracticalkindofwisdom. 1.2.4Virtue2 ThefollowingsummaryofVirtue2istakenlargelyfromRosalindHursthouse.Whilesheextensively qualieseachofthesethesesinherownversionofvirtueethics,thesepointscompriseanexcellent summaryofVirtue2whichstartswithG.E.M.Anscombe'sarticle,"ModernMoralPhilosophy,"and continuesonintothepresent.HursthousepresentsthischaracterizationofVirtue2inherbook, On VirtueEthics U.K.:OxfordUniversityPress:17. Virtue2isagentcentered. Contrarytodeontologyandutilitarianismwhichfocusonwhether actionsaregoodorright,V2isagentcenteredinthatitseestheactionasanexpressionofthegoodness orbadnessoftheagent.Utilitarianismfocusesonactionswhichbringaboutthegreatesthappiness forthegreatestnumber;deontologyseeksthoseactionsthatrespecttheautonomyofindividualsand carryoutmoralobligations,especiallyduties.Thesetheoriesemphasize doing whatisgoodorright. Virtue2,ontheotherhand,focusesontheagent'sbecomingor being good. CanVirtue2tellushowtoact? BecauseV2isagent-centered,criticsclaimthatitcannotprovide insightintohowtoactinagivensituation.Allitcansayis,"Actthewayamoralexemplarwould act."Butwhatmoralstandardsdomoralexemplarsuseorembodyintheiractions?Andwhatmoral

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8 CHAPTER1.ETHICALLEADERSHIP standardsdoweusetopickoutthemoralexemplarsthemselves?Hursthouseacknowledgesthatthis criticismhitshome.However,shepointsoutthatthemoralstandardscomefromthemoralconcepts thatweapplytomoralexemplars;theyareindividualswhoact courageously ,exercise justice andrealize honesty .Themoralconcepts"courage,""justice,"and"honesty"allhaveindependent contentthathelpsguideus.Shealsocallsthiscriticismunfair:whilevirtue2maynotprovide anymoreguidancethandeontologyorutilitarianism,itdoesn'tprovideanyless.Virtue2maynot provideperfectguidance,butwhatitdoesprovideisfavorablycomparabletowhatutilitarianismand deontologyprovide. Virtue2replacesDeonticconceptsright,duty,obligationwithAretaicconceptsgood, virtue .Thisgreatlychangesthescopeofethics.Deonticconceptsservetoestablishourminimum obligations.Ontheotherhand,aretaicconceptsbringthepursuitofexcellencewithinthepurviewof ethics.Virtueethicsproducesachangeinourmorallanguagethatmakesthepursuitofexcellencean essentialpartofmoralinquiry. Finally,thereisasomewhatdierentaccountofvirtue2callitvirtue2athatcanbeattributedto AlisdairMacIntyre.Thisversion"historicizes"thevirtues,thatis,looksathowourconceptsofkey virtueshavechangedovertime.MacIntyrearguesthattheconceptofjustice,forexample,varies greatlydependingonwhetheroneviewsjusticeinHomericGreece,Aristotle'sGreece,orMedieval Europe.Becausehearguesthatskillsandactionsareconsideredvirtuousonlyinrelationtoa particularhistoricalandcommunitycontext,heredenesvirtuesasthoseskillsetsnecessarytorealize thegoodsorvaluesaroundwhichsocialpracticesarebuiltandmaintained.Thisnotiontsinwell withprofessionalethicsbecausevirtuescanbederivedfromthehabits,attitudes,andskillsneededto maintainthecardinalidealsoftheprofession. 1.2.5Virtue3 Virtue3canbestbeoutlinedbyshowinghowthebasicconceptsofVirtue1canbereformulatedtoreectcurrentresearchinmoralpsychology. 1. ReformulatingHappinessEudaimonia. MihalyCsikcszentmihalyihasdescribedowexperiencesseetextboxbelowinwhichautotelicactivitiesplayacentralrole.ForAristotle,thevirtues alsoareautotelic.Theyrepresentfacultieswhoseexerciseiskeytorealizingourfullestpotentialitiesas humanbeings.Thus,virtuesareself-validatingactivitiescarriedoutforthemselvesaswellasforthe endstheybringabout.Flowexperiencesarealsoimportantinhelpingustoconceptualizethevirtues inaprofessionalcontextbecausetheyrepresentawellpracticedintegrationofskill,knowledge,and moralsensitivity. 2. ReformulatingValuesIntoAreteorExcellence. Tocarryoutthefullprojectsetforthbyvirtue 3,itisnecessarytoreinterpretasexcellencekeymoralvaluessuchashonesty,justice,responsibility, reasonableness,andintegrity.Forexample,moralresponsibilityhasoftenbeendescribedascarrying outbasic,minimalmoralobligations.Asanexcellence,responsibilitybecomesrefocusedonextending knowledgeandpowertoexpandourrangeofeective,moralaction.Responsibilityreformulatedas anexcellencealsoimpliesahighlevelofcarethatgoeswellbeyondwhatisminimallyrequired. 3. De-emphasizingCharacter. Thenotionofcharacterdropsouttobereplacedbymoreorless enduringandintegratedskillssetssuchasmoralimagination,moralcreativity,reasonableness,and perseverance.Characteremergesfromtheactivitiesofintegratingpersonalitytraits,acquiredskills, anddeepeningknowledgearoundsituationaldemands.Theunitycharacterrepresentsisalwayscomplexandchanging. 4. PracticalSkillReplacesDeliberation. Moralexemplarsdevelopskillswhich,throughpractice, becomesecondnature.Theseskillsobviatetheneedforextensivemoraldeliberation.Moralexemplars resemblemoreskillfulathleteswhoquicklydevelopresponsestodynamicsituationsthanHamlets steppingbackfromactionforprolongedandagonizingdeliberation.

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9 5. GreaterRoleforEmotions. NancyShermandiscusseshow,forAristotle,emotionisnottreated asanirrationalforcebutasaneectivetoolformoralactiononceithasbeenshapedandcultivated throughpropermoraleducation.TostepbeyondthecontroveryofwhatAristotledidanddidnotsay abouttheemotionsandwherehesaiditweplacethisenhancedroleforemotionswithinvirtue3. Emotionscarryoutfouressentialfunctions:atheyserveasmodesofattention;btheyalsoserve asmodesofrespondingtoorsignalingvalue;ctheyfulllarevelatoryfunction;anddtheyprovide strongmotivestomoralaction.NancySherman, MakingaNecessityofVirtue:Aristotleand KantonVirtue ,U.K.:CambridgeUniversityPress:39-50. 1.2.6FlowExperiences Thepsychologist,MihalyCsikszentmihalyi,hascarriedoutfascinatingresearchonwhatheterms"ow experiences."MikeMartinin MeaningfulWork U.K.:Oxford,:24,summarizestheseinthe followingbullets: "cleargoalsasoneproceeds" "immediatefeedbackaboutprogress" "abalancebetweenchallengesandourskillstorespondtothem" "immersionofawarenessintheactivitywithoutdisruptivedistractions" "lackofworryaboutfailure" lossofanxiousself-consciousness" timedistortionseithertimeyingortimeslowingpleasurably" theactivitybecomes autotelic :anendinitself,enjoyedassuch" 1.2.7VirtueTables Thetablejustbelowprovidesaformatforspellingoutindividualvirtuesthroughageneraldescription, thecorrelativevicesofexcessanddefect,theskillsandmentalstatesthataccompanyandsupport it,andrealandctionalindividualswhoembodyit.Followingthetablearehintsonhowtoidentifyand characterizevirtues.Westartwiththevirtueofintegrity:

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10 CHAPTER1.ETHICALLEADERSHIP Virtue Description Excess Defect Obstacles torealizing thevirtuein professional practices MoralExemplar Integrity Ameta-virtue inwhichthe holderexhibitsunity ofcharacter manifested inholding togethereven inthefaceof strongdisruptivepressures ortemptations Excess: Rigidity stickingto onesguns evenwhenone isobviously wrong,3 Defect:Wantonness.A condition whereone exhibitsno stabilityor consistencyin character Individual corruption:Individualscan betemptedby greedtoward theviceof defect.Lackof moralcourage canalsomove onetoboth extremes SaintThomas Moreasportrayedin RobertBolts AManforAll Seasons.More refusestotake anoaththat goesagainst thecorebeliefsinterms ofwhichhe deneshimself. Institutional Corruption: Onemaywork inanorganizationwhere corruption isthenorm. Thisgenerates dilemmaslike followingan illegalorderor gettingred. continuedonnextpage

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11 Table1.2 1.2.8Exercise1:ConstructVirtueTablesforProfessionalVirtues 1.Discussinyourgroupwhythevirtueyouhavebeenassignedisimportantforthepracticeofyour profession.Whatgoodsorvaluesdoestheconsistentemploymentofthisvirtueproduce? 2.Usethediscussionin#1todevelopageneraldescriptionofyourvirtue.Thinkalongthefollowing lines:peoplewhohavevirtueXtendtoexhibitcertaincharacteristicsordocertainthingsincertain kindsofsituations.Trytothinkofthesesituationsintermsofwhatiscommonandimportanttoyour professionorpractice. 3.Identifythecorrespondingvices.Whatcharacterizesthepointsofexcessanddefectbetweenwhich yourvirtueasthemeanlies? 4.Whatobstaclesarisethatpreventprofessionalsfrompracticingyourvirtue?Dowell-meaningprofessionalslackpowerortechnicalskill?Canvirtuesinterferewiththerealizationofnon-moralvalueslike nancialvalues?Seeifyoucanthinkofasupportingscenarioorcasehere. 5.Identifyamoralexemplarforyourvirtue.Makeuseoftheexemplarsdescribedinthe MoralExemplarsinBusinessandProfessionalEthics module. 6.Gobacktotask#2.Redeneyourdescriptionofyourvirtueinlightofthesubsequenttasks,especially themoralexemplaryouidentied.Checkforcoherence. 7.Finally,doesyourvirtuestandaloneordoesitneedsupportfromothervirtuesorskills?Forexample, integritymightalsorequiremoralcourage. 1.2.9Exercise2:ReectontheseConcludingIssues Didyouhavetroubleidentifyingamoralexemplar?Manyturntopopularguresfortheirmoral exemplars.Moviesandctionalsooerpowerfulmodels.Whydoyouthinkthatitishardtond moralexemplarsinyourprofession?Isitbecauseyourprofessionisadenofcorruption?Probably not.Dowefocusmoreonvillainsthanonheroes?Whyorwhynot? Whatdidyouthinkaboutthemoralleadersportrayedinthe MoralExemplarsinBusinessand ProfessionalEthics module? Didyouhavetroubleidentifyingbothvices,i.e.,vicesofexcessanddefect?Ifso,doyouthinkthis becausesomevirtuesmaynothavevicesofexcessanddefect?WhatdoyouthinkaboutAristotle's doctrineofthemean? Didyounoticethatthevirtueprolesgivenbyyourgroupandtheothergroupsintheclassoverlapped? Isthisaproblemforvirtuetheory?Whydoourconceptionsofthekeymoralvaluesandvirtuesoverlap? Didyoundthevirtuesdiculttoapply?Whatdoyouthinkabouttheutilitariananddeontological criticismofvirtueethics,namely,thatitcannotprovideuswithguidelinesonhowtoactindicult situations?Shouldethicaltheoriesemphasizetheactortheperson?Orboth? Themosttenaciousobstacletoworkingwithvirtueethicsistochangefocusfromthemorallyminimal tothemorallyexemplary.VirtueisthetranslationoftheGreekword,arte.Butexcellenceis, perhaps,abetterword.Understandingvirtueethicsrequiresseeingthatvirtueisconcernedwiththe exemplary,notthebarelypassable.Again,lookingatmoralexemplarshelps.Artetransforms ourunderstandingofcommonmoralvalueslikejusticeandresponsibilitybymovingfromminimally acceptabletoexemplarymodels. MoralLeaders 3 Theprolesofseveralmoralleadersinpracticalandprofessionalethics.ComputerEthics Cases 4 Thislinkprovidesseveralcomputerethicscasesandalsohasadescriptionofdecisionmakingand 3 http://www.onlineethics.org 4 http://www.computingcases.org

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12 CHAPTER1.ETHICALLEADERSHIP socio-technicalsystemsframeworks.MoralExemplarsinBusinessandProfessionalEthics 5 Prolesofseveral moralleadersinpracticalandprofessionalethics. 1.3MoralExemplarsinBusinessandProfessionalEthics 6 1.3.1ModuleIntroduction Throughtheactivitiesofthismoduleyouwilllearntobalancecautionarytalesinbusinessandprofessional ethicswithnewstoriesaboutthosewhoconsistentlyactinamorallyexemplaryway.Whilecautionary talesteachuswhattoavoid,narrativesfromthelivesofmoralexemplarsshowushowtobegood.Astudy ofmoralbestpracticesinbusinessandprofessionalethicsshowsthatmoralexemplarsexhibitpositiveand learnableskills.Thismodule,then,looksatmoralexemplarsinbusinessandtheprofessions,outlinestheir outstandingaccomplishments,andhelpsyoutounpackthestrategiestheyusetoovercomeobstaclesto doinggood. Youwillbeginbyidentifyingoutstandingindividualsinbusinessandassociatedpracticeswhohave developedmoral"bestpractices."Yourtaskislookattheseindividuals,retelltheirstories,identifytheskills thathelpthemdogood,andbuildafoundationforamorecomprehensivestudyofvirtueinoccupational andprofessionalethics. 1.3.2Exercise1:Chooseamoralexemplar Identifyamoralexemplarandprovideanarrativedescriptionofhisorherlifestory. Togetthisprocessstarted,lookatthelistofmoralexemplarsprovidedinthismodule.Thelinksin theupperlefthandcornerofthismodulewillhelpyoutoexploretheiraccomplishmentsindetail.Feel freetochooseyourownexemplar.Makesureyouidentifysomeoneintheoccupationalandprofessional areassuchasbusinessandengineering.Theseareashavemorethantheirshareofexemplars,butthey tendtoescapepublicitybecausetheiractionsavoidpublicitygeneratingdisastersratherthanbring themabout. 1.3.3MoralExemplars 1.WilliamLeMesseur.LeMesseurdesignedtheCiticorpBuildinginNewYork.Whenastudent identiedacriticaldesignawinthebuildingduringaroutineclassexercise,LeMesseurresponded,not byshootingthemessenger,butbydevelopinganintricateandeectiveplanforcorrectingtheproblem beforeitissuedindrasticrealworldconsequences.CheckoutLeMesseur'sproleatonlineethicsand seehowheturnedapotentialdisasterintoagooddeed. 2.FredCuny,startingin1969withBiafra,carriedoutaseriesofincreasinglyeectiveinterventions ininternationaldisasters.Hebroughteectivemethodstodisasterreliefsuchasengineeringknowhow,politicalsavvy,goodbusinesssense,andaggressiveadvocacy.Histimelyinterventionssaved thousandsofKurdishrefugeesintheaftermathofthePersianGulfWarin1991.Healsohelpeddesign andimplementaninnovativewaterltrationsysteminSarajevoduringtheBosnia-Serbconictin 1993.Formoredetails,consultthebiographicalsketchatonlineethics. 3.RogerBoisjolyworkedonateamresponsiblefordevelopingo-ringsealsforfueltanksusedinthe ChallengerShuttle.Whenhisteamnoticedevidenceofgasleakshemadeanemergencypresentation beforeocialsofMortonThiokolandNASArecommendingpostponingthelaunchscheduledforthe nextday.Whendecisionmakersrefusedtochangethelaunchdate,Boisjolywatchedinhorrorthenext dayastheChallengerexplodedsecondsintoitsight.FindoutaboutthecourageousstandBoisjoly tookintheaftermathoftheChallengerexplosionbyreadingthebiographicalsketchatonlineethics. 5 http://cnx.org/content/m14256/latest 6 Thiscontentisavailableonlineat.

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13 4.MuhammadYunuswontheNobelPrizeforPeacein2006.Hiseortinsettingup"micro-businesses" fundedthrough"micro-lending"hascompletelychangedtheparadigmonhowtoextendbusiness practicestoindividualsatthebottomofthepyramid.Learnabouthisstrategiesforcreatingmicrobusinessesandhowthosestrategieshavebeenextendedthroughouttheworld,includingLatinAmerica, bylisteningtoaninterviewwithhimbroadcastbytheOnlineNewsHour.Seelinkincludedinthis module. 5.BillGateshasoftenbeenportrayedasavillain,especiallyduringtheanti-trustsuitagainstMircosoft inthemid1990's.Certainlyhisaggressiveandoftenruthlessbusinesspracticesneedtobeevaluated openlyandcritically.ButrecentlyGatesstoppedparticipatingintheday-to-daymanagementof hiscompany,Microsoft,andhassetupacharitablefoundationtooverseeinternationalgoodworks projects.Clickonthelinkincludedinthismoduletolistentoandreadaninterviewrecentlyconducted withhimandhiswife,Melinda,ontheircharitableeorts. 6.JereySkilling,formerCEOofEnron,canhardlybecalledamoralexemplar.YetwhenEnronwas atitspeak,itsCEO,JereySkilling,wasconsideredamongthemostinnovative,creative,andbrilliant ofcontemporarycorporateCEOs.Viewthedocumentary,TheSmartestGuysintheRoom,readthe bookofthesametitle,andlearnaboutthecongurationofcharactertraitsthatledtoSkilling'sinitial successesandultimatefailure.AlinkincludedinthismodulewillleadyoutoaninterviewwithSkilling conductedonMarch28,2001. InezAustinworkedtopreventcontaminationfromnuclearwastesproducedbyaplutoniumproduction facility.VisitOnlineEthicsbyclickingonthelinkabovetondoutmoreaboutherheroicstand. RachaelCarson'sbook,TheSilentSpring,wasoneofthekeyeventsinauguratingtheenvironmental movementintheUnitedStates.Formoreonthecontentofherlifeandherownpersonalactofcourage, visitthebiographicalproleatOnlineEthics.YoucanclickontheSupplimentalLinkprovidedabove. 1.3.4ExerciseTwo:MoralExemplarProles Whatarethepositiveandnegativeinuencesyoucanidentifyforyourmoralexemplar? Whatgooddeedsdidyourexemplarcarryout? Whatobstaclesdidyourmoralexemplarfaceandhowdidheorsheovercomethem? Whatskills,attitudes,beliefs,andemotionshelpedtoorientandmotivateyourmoralexemplar.? 1.3.5ExerciseThree Prepareashortdramatizationofakeymomentinthelifeofyourgroup'smoralexemplar. 1.3.6Textbox:TwodierentTypesofMoralExemplar StudiescarriedoutbyChuckHuintomoralexemplarsincomputingsuggestthatmoralexemplars canoperateascraftspersonsorreformers.Sometimestheycancombineboththesemodes. Craftspersonsdrawonpre-existingvaluesincomputing,focusonusersorcustomerswhohave needs,takeontheroleofprovidersofaservice/product,viewbarriersasinertobstaclesor puzzlestobesolved,andbelievetheyareeectiveintheirrole. Reformersattempttochangeorganizationsandtheirvalues,takeontheroleofmoralcrusaders, viewbarriersasactiveopposition,andbelieveinthenecessityofsystemicreform ThesedescriptionsofmoralexemplarshavebeentakenfromapresentationbyHuattheSTScolloquiumattheUniversityofVirginiaonOctober2006.Hu'spresentationcanbefoundatthelink providedintheupperlefthandcornerofthismodule.

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14 CHAPTER1.ETHICALLEADERSHIP 1.3.7Textbox:CharacteristicsandSkillsExhibitedbyMoralExemplars Moralexemplarshavesucceededinintegratingmoralandprofessionalattitudesandbeliefsintotheir coreidentity.Goingagainsttheseconsiderationsformoralexemplarsistantamounttoactingagainst self. Moralexemplarsareabletocarryouttheirgoalsduetosurrounding,supportivecommunities.They donotactalonebutwithinsupportgroups. Moralexemplarsoftendonotgothroughperiodsofintensiveandprolongeddeliberationinordertohit uponthecorrectaction.Ifwewantaliteraryexample,weneedtoreplacethetortureddeliberations ofaHamletwiththequickandintuitiveinsightofanEstherSummerson.Summersonisacharacter inCharlesDickens'novel,BleakHouse.SeebothWilliamShakespeareandCharlesDickensformore examplesofvillainsandexemplars.ThisconrmsAristotle'sviewthatvirtuesaredispositionsthat havebeencarefullycultivatedthroughmoraleducationintohabitsthatbecome"secondnature"in moralexemplars. Huhasidentiedfourskillsetsthataidmoralexemplarsintheexpressionoftheirvirtues:moral imaginationwhichconsistsofprojectingoneselfintotheperspectiveofothers,moralcreativityor theabilitytogeneratesolutionstomoralchallengeswhilerespondingtomultipleconstraints,reasonablenesswhichconsistsofgatheringrelevantevidence,listeningtoothers,givingreasons,changing plans/positionsbasedonreasons,and4perseveranceorplanningmoralactionandrespondingto unforeseencircumstanceswhilekeepingmoralgoalsintact. FormoredetailontheseitemsconsultHu'spresentationfoundbyclickingonthelinkabove. 1.4EthicsofTeamWork 7 EthicsofTeamWork WilliamJ.FreyworkingwithmaterialdevelopedbyChuckHuatSt.OlafCollege CentrodelaEticaenlasProfesiones UniversityofPuertoRico-Mayaguez 1.4.1ModuleIntroduction Muchofyourfutureworkwillbeorganizedaroundgrouporteamactivities.Thismoduleisdesignedto prepareyouforthisbygettingyoutoreectonethicalandpracticalproblemsthatariseinsmallgroupslike workteams.Fourissues,basedonwell-knownethicalvalues,areespeciallyimportant.Howdogroupsachieve justiceinthedistributionofwork,responsibilityinspecifyingtasks,assigningblame,andawardingcredit, reasonablenessensuringparticipation,resolvingconict,andreachingconsensus,andhonestyavoiding deception,corruption,andimpropriety?Thismoduleasksthatyoudevelopplansforrealizingthesemoral valuesinyourgroupworkthissemester.Furthermore,youareprovidedwithalistofsomeofthemore commonpitfallsofgroupworkandthenaskedtodevisestrategiesforavoidingthem.Finally,attheendof thesemester,youwillreviewyourgoalsandstrategies,reectonyoursuccessesandproblems,andcarry outanoverallassessmentoftheexperience. 1.4.2ModuleActivities 1.Groupsareprovidedwithkeyethicalvaluesthattheydescribeandseektorealizethorughgroup activity. 2.Groupsalsostudyvariousobstaclesthatariseincollectiveactivity:theAbileneParadox,Groupthink, andGroupPolarization. 7 Thiscontentisavailableonlineat.

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15 3.Groupsprepareinitialreportsconsistingofplansforrealizingkeyvaluesintheircollectiveactivity. Theyalsodevelopstrategiesforavoidingassociatedobstacles. 4.Attheendofthesemester,groupsprepareaself-evaluationthatassessessuccessinrealizingethical valuesandavoidingobstacles. 5.Textboxesinthismoduledescribepitfallsingroupsactivitiesandoergeneralstrategiesforpreventing ormitigatingthem.Thereisalsoatextboxthatprovidesanintroductoryorientationonkeyethical valuesorvirtues. 1.4.3ValueProlesforProfessionalEthics 1.Denition-Avalue"referstoaclaimaboutwhatisworthwhile,whatisgood.Avalueisasingleword orphrasethatidentiessomethingasbeingdesirableforhumanbeings."BrincatandWike,Morality andtheProfessionalLife:ValuesatWork 2.Reasonableness-Defusingdisagreementandresolvingconictsthroughintegration.Characteristics includeseekingrelevantinformation,listeningandrespondingthoughtfullytoothers,beingopento newideas,givingreasonsforviewsheld,andacknowledgingmistakesandmisunderstandings.From MichaelPritchard,ReasonableChildren 3.Responsibility-Theabilitytodevelopmoralresponsesappropriatetothemoralissuesandproblems thatariseinone'sday-to-dayexperience.Characteristicsincludeavoidingblameshifting,designing overlappingrolereponsibilitiestollresponsibility"gaps",expandingthescopeanddepthofgeneral andsituation-specicknowledge,andworkingtoexpandcontrolandpower. 4.Respect-Recognizingandworkingnottocircumventthecapacityofautonomyineachindividual. Characteristicsincludehonoringrightssuchasprivacy,property,freespeech,dueprocess,andparticipatoryrightssuchasinformedconsent.Disrespectcircumventsautonomybydeception,force,or manipulation. 5.Justice-Givingeachhisorherdue.Justicebreaksdownintokindssuchasdistributivedividing benetsandburdensfairly,retributivefairandimpartialadministrationofpunishments,administrativefairandimpartialadministrationofrules,andcompensatoryhowtofairlyrecompensethose whohavebeenwrongfullyharmedbyothers. 6.Trust-AccordingtoSolomon,trustistheexpectationofmoralbehaviorfromothers. 7.Honesty-Truthfulnessasameanbetweentoomuchhonestybluntnesswhichharmsanddishonesty deceptiveness,misleadingacts,andmendaciousness. 8.Integrity-Ameta-valuethatreferstotherelationbetweenparticularvalues.Thesevaluesareintegratedwithoneanothertoformacoherent,cohesiveandsmoothlyfunctioningwhole.Thisresembles Solomon'saccountofthevirtueofintegrity. 1.4.4Exercise1:DevelopingStrategiesforValueRealization Designaplanforrealizingkeymoralvaluesofteamwork.Yourplanshouldaddressthefollowing value-basedtasks Howdoesyourgroupplanonrealizingjustice?Forexample,howwillyouassigntaskswithinthe groupthatrepresentafairdistributionoftheworkloadand,atthesametime,recognizedierences inindividualstrengthsandweaknesses?Howdoesyourgroupplanondealingwithmemberswhofail todotheirfairshare? Howdoesyourgroupplanonrealizingresponsibility?Forexample,whataretheresponsibilitiesthat memberswilltakeoninthecontextofcollectivework?Whowillbetheleader?Whowillplaydevil's advocatetoavoidgroupthink?Whowillbethespokespersonforthegroup?Howdoesyourgroup plantomakecleartoeachindividualhisorhertaskorroleresponsibilities? Howdoesyourgroupplanonimplementingthevalueofreasonableness?Howwillyouguarantee thateachindividualparticipatesfullyingroupdecisionsandactivities?Howwillyoudealwiththe

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16 CHAPTER1.ETHICALLEADERSHIP dierences,non-agreements,anddisagreementsthatarisewithinthegroup?Whatprocesswillyour groupusetoreachagreement?Howwillyourgroupinsurethateveryindividualhasinput,thateach opinionwillbeheardandconsidered,andthateachindividualwillberespected? Howdoesyourgroupplanonimplementingthevalueofacademichonesty?Forexample,howwill youavoidcheatingorplagiarism?Howwillyoudetectplagiarismfromgroupmembers,andhowwill yourespondtoit? Note:Useyourimaginationhereandbespeciconhowyouplantorealizeeachvalue.Thinkpreventivelyhowyouplanonavoidinginjustice,irresponsibility,injustice,anddishonestyandproactively howyoucanenhancethesevalues.Don'tbeafraidtooutlinespeciccommitments.Expectsomeof yourcommitmentstoneedreformulation.Attheendofthesemester,thiswillhelpyouwritethenal report.Describewhatworked,whatdidnotwork,andwhatyoudidtoxthelatter. 1.4.5ObstaclestoGroupWorkDevelopedbyChuckHuforGoodComputing: AVirtueApproachtoComputerEthics 1.TheAbileneParadox.Thestoryinvolvesafamilywhowouldallratherhavebeenathomethatends uphavingabaddinnerinalousyrestaurantinAbilene,Texas.Eachbelievestheotherswanttogoto Abileneandneverquestionsthisbygivingtheirownviewthatdoingsoisabadidea.IntheAbilene paradox,thegroupwindsupdoingsomethingthatnoindividualwantstodobecauseofabreakdown ofintra-groupcommunication. 2.Groupthink.Thetendencyforverycohesivegroupswithstrongleaderstodisregardanddefend againstinformationthatgoesagainsttheirplansandbeliefs.Thegroupcollectivelyandthemembers individuallyremainloyaltothepartylinewhilehappilymarchingothecli,allthewhileblaming themi.e.,outsidersfortheheightandsituationofthecli. 3.GroupPolarization.Here,individualswithinthegroupchoosetoframetheirdierencesasdisagreements.Framingadierenceasnon-agreementleavesopenthepossibilityofworkingtowardagreement byintegratingthedierencesorbydevelopingamorecomprehensivestandpointthatdialectallysynthesizesthedierences.Framingadierenceasdisagreementmakesitazerosumgame;one'sparticular sideisgood,alltheothersbad,andtheonlyresolutionisforthegoodone'sownpositiontowinout overthebadeverythingelse. 4.Note:Alloftheseareinstancesofasocialpsychologicalphenomenoncalledconformity.Butthere areotherprocessesatworktoo,likegroupidentication,self-servingbiases,self-esteemenhancement, self-fulllingprophecies,etc. BestPracticesforAvoidingAbileneParadox Attheendofthesolutiongeneratingprocess,carryoutananonymoussurveyaskingparticipantsif anythingwasleftouttheywerereluctanttoputbeforegroup. DesignateaDevil'sAdvocatechargedwithcriticizingthegroup'sdecision. Askparticipantstorearmgroupdecisionperhapsanonymously. BestPracticesforAvoidingGroupthinkTakenfromJanis,262-271 "Theleaderofapolicy-forminggroupshouldassigntheroleofcriticalevaluatortoeachmember, encouragingthegrouptogivehighprioritytoairingobjectionsanddoubts." "Theleadersinanorganization'shierarchy,whenassigningapolicy-planningmissiontoagroup,should beimpartialinsteadofstatingpreferencesandexpectationsattheoutset." "Throughouttheperiodwhenthefeasibilityandeectivenessofpolicyalternativesarebeingsurveyed,thepolicy-makinggroupshouldfromtimetotimedivideintotwoormoresubgroupstomeet separately...."

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17 Oneormoreoutsideexpertsorqualiedcolleagueswithintheorganizationwhoarenotcoremembers ofthepolicy-makinggroupshouldbeinvitedtoeachmeeting...andshouldbeencouragedtochallenge theviewsofthecoremembers." "Ateverymeetingdevotedtoevaluatingpolicyalternatives,atleastonemembershouldbeassigned theroleofdevil'sadvocate." BestPracticesforAvoidingPolarizatoinItemstakenfrom"GoodComputing:AVirtue ApproachtoComputerEthics"byChuckHu,WilliamFreyandJoseCruzUnpublished Manuscript SetQuotas. Whenbrainstorming,setaquotaandpostponecriticismuntilafterquotahasbeenmet. NegotiateInterests,notPositions. Sinceitisusuallyeasiertointegratebasicintereststhan specicpositions,trytoframetheproblemintermsofinterests. ExpandingthePie. Conctsthatarisefromsituationalconstraintscanberesolvedbypushingback thoseconstraintsthroughnegotiationorinnovation.. NonspecicCompensation. Onesidemakesaconcessiontotheotherbutiscompensatedforthat concessionbysomeothercoin. Logrolling. Eachpartylowerstheiraspirationsonitemsthatareoflessinteresttothem,thustrading oaconcessiononalessimportantitemforaconcessionfromtheotheronamoreimportantitem. Cost-Cutting. Onepartymakesanagreementtoreduceitsaspirationsonaparticularthing,andthe otherpartyagreestocompensatethepartyforthespeciccoststhatreductioninaspirationsinvolves. Bridging. Findingahigherorderinterestonwhichbothpartiesagree,andthenconstructinga solutionthatservesthatagreed-uponinterest. 1.4.6Exercise2-AvoidingthePitfallsofGroupWork Designaplanforavoidingthepitfallsofgroupworkenumeratedinthetextboxabove. HowdoesyourgroupplanonavoidingtheAbileneParadox? HowdoesyourgroupplanonavoidingGroupPolarization? HowdoesyourgroupplanonavoidingGroupthink? Note:Useimaginationandcreativityhere.Thinkofspecicscenarioswheretheseobstaclesmayarise, andwhatyourgroupcandotopreventthemorminimizetheirimpact. 1.4.7Exercise3:PrepareaFinal,GroupSelf-Evaluation DueDate:Oneweekafterthelastclassofthesemesterwhenyourgroupturnsinallitsmaterials. Length:AminimumofvepagesnotincludingTeamMemberEvaluationForms Contents: 1.RestatetheEthicalandPracticalGoalsthatyourgroupdevelopedatthebeginningofitsformation. 2.Provideacareful,documentedassessmentofyourgroup'ssuccessinmeetingthesegoals.Don't justassertthatOurgroupsuccessfullyrealizedjusticeinallitsactivitiesthissemester.Howdid yourgroupcharacterizejusticeinthecontextofitswork?Whatspecicactivitiesdidthegroupcarry outtorealizethisvalue?What,amongtheseactivities,workedandwhatdidnotwork? 3.Identifyobstacles,shortcomingsorfailuresthatyougroupexperiencedduringthesemester.How didthesearise?Whydidtheyarise?Howdidyourespondtothem?Didyourresponsework?What didyoulearnfromthisexperience? 4.Assesstheplansyousetforthinyourinitialreportonhowyouintendedtorealizevaluesandavoid pitfalls.Howdidthesework?Didyousticktoyourplansordidyounditnecessarytochangeor abandontheminthefaceofchallenges? 5.Discussyourgroup'sproceduresandpractices?Howdidyoudivideandallocateworktasks?How didyoureachconsensusondicultissues?Howdidyouensurethatallmemberswererespectedand

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18 CHAPTER1.ETHICALLEADERSHIP allowedsignicantandmeaningfulparticipation?Whatworkedandwhatdidnotworkwithrespect totheseprocedures?Willyourepeattheminthefuture?Wouldyourecommendtheseproceduresas bestpracticestofuturegroups? 6.Whatdidyoulearnfromyourexperienceworkingasateamthissemester?Whatwillrequire furtherreectionandthought?Inotherwords,concludeyourself-evaluationwithastatementthat summarizesyourexperienceworkingtogetherasateamthissemester. 1.4.8WrapUp:Somefurtherpointstoconsider... 1.Don'tglossoveryourworkwithgeneralizationslike,Ourgroupwassuccessfulandachievedallofits ethicalandpracticalgoalsthissemester.Provideevidenceforsuccessclaims.Detailtheprocedures designedbyyourgrouptobringabouttheseresults.Aretheybestpractices?Whatmakesthem bestpractices? 2.Sometimesespeciallyifdicultiesaroseitisdiculttoreectonyourgroup'sactivitiesforthe semester.Maketheeort.Scheduleameetingaftertheendofthesemestertonalizethisreection. Ifthingsworkedwell,whatcanyoudotorepeatthesesuccessesinthefuture?Ifthingsdidn'twork out,whatcanyoudotoavoidsimilarproblemsinthefuture?Behonest,bedescriptiveandavoid blamelanguage. 3.Thismaysoundharshbutgetusedtoit.Self-evaluationsgroupandindividualareanintegralpart ofprofessionallife.Theyarenoteasytocarryout,butproperlydonetheyhelptosecuresuccessand avoidfutureproblems. 4.Studentgroupsperhapsyoursoftenhaveproblems.Thisself-evaluationexerciseisdesignedtohelp youfacethemratherthanpushthemaside.Lookatyourgoals.Lookatthestrategiesyousetforthfor avoidingAbilene,groupthink,andgrouppolarization.Canyoumodifythemtodealwithproblems? Doyouneedtodesignnewprocedures?

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Chapter2 EthicalDecision-Making 2.1EthicalRightsforWorkingEngineersandOtherProfessionals 1 2.1.1ModuleIntroduction PreliminaryDraftdistributedatAPPE,2005inSanAntonio,TX Engineersandotherprofessionalsworkinlargecorporationsunderthesupervisionofmanagerswho maylacktheirexpertise,skills,andcommitmenttoprofessionalstandards.Thiscreatescommunication andethicalchallenges.Attheveryleast,professionalsareputinthepositionofhavingtoadvocatetheir ethicalandprofessionalstandardstothosewho,whilenotbeingopposedtothem,maynotsharetheir understandingofandcommitmenttothem. Thismoduleisdesignedtogiveyouthetoolsandthepracticeusingthemnecessarytoprevailinsituations thatrequireadvocacyofethicalandprofessionalstandards.Inthismoduleyoucarryoutseveralactivities. Youwillstudythephilosophicalandethicalfoundationsofmodernrightstheorythroughabrieflookat KantianFormalism.Youwilllearnaframeworkforexaminingthelegitimacyofrightsclaims.You willpracticethisframeworkbyexaminingseveralrightsclaimsthatengineersmakeovertheirsupervisors. Thisexaminationwillrequirethatyourejectcertainelements,rephraseothers,andgenerallyrecastthe claimtosatisfytherequirmentsoftherightsjusticationframework.Finally,insmallgroupsyouwill buildtablesaroundyourreformulationoftheserightsclaimsandpresenttheresultstotheclass.This modulewillhelpyoutoputyourresultstogetherwiththerestofyourclassmatesandcollectivelyassemble atoolkitconsistingofthelegitimaterightsclaimsthatengineersandotherprofessionalscanmakeovertheir managersandsupervisors. FormorebackgroundonrightstheoryandtherelationofrightsanddutiesseeHenryShue, Basic Rights:Subsistence,Auence,andU.S.ForeignPolicy ,2ndedition,Princeton,1980and ThomasDonaldson, TheEthicsofInternationalBusiness ,Oxford,1989.Thisexercisehasbeenused incomputerandengineeringethicsclassesattheUniversityofPuertoRicoatMayaguezfrom2002onto thepresent.Itisbeingincorporatedintothetextbook,GoodComputing:AVirtueApproachtoComputer EthicsbyChuckHu,WilliamFrey,andJoseCruz. 2.1.2Whatyouneedtoknow... ProblematicRightClaims 1.Elderechoparaactuardeacuerdoalaconcienciaeticayrechazartrabajosenloscualesexistauna variaciondeopinonesmorales. 2.Elderechodeexpresarjuicioprofesional,yhacerpronunciamientospublicosqueseanconsistentescon restriccionescorporativassobrelainformacionpropietaria. 1 Thiscontentisavailableonlineat. 19

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20 CHAPTER2.ETHICALDECISION-MAKING 3.Elderechoalalealtadcorporativaylalibertaddequeseahechounchivoexpiatorioparacatastrofes naturales,ineptituddeadministracionuotrasfuerzasmasalladelcontroldelingeniero. 4.Elderechoabuscarelmejoramientopersonalmedianteestudiospostgraduadosyenvolverseenasociacionesprofesionales. 5..Elderechoaparticiparenactividadesdepartidospoliticosfueradelashorasdetrabajo. 6.Elderechoasolicitarposicionessuperioresconotrascompaniassinquelacompanisenlaquetrabaje tomerepresaliascontraelingeniero. 7.Elderechoaldebidoprocesodeleyylalibertaddequeseleapliquenpenalidadesarbitrariasodespidos. 8.Elderechoaapelarporrevisionanteunaasociacionprofesional,ombudsmanoarbitroindependiente. 9.Elderechoalaprivacidadpersonal. 10.TheserightsaretakenfromEticaenlaPracticaProfesionaldelaIngenieriabyWilfredoMunoz Romanpublishedin1998bytheColegiodeIngenierosyAgrimensoresdePuertoRicoandUniversidad PolitecnicadePuertoRico ProblematicRightsClaimstranslated 1.Therighttoactinaccordancewithone'sethicalconscienceandtorefusetoworkonprojectsthatgo againstone'sconscienceorpersonalorprofessionalmoralviews. 2.Therighttoexpressone'sprofessionaljudgmentandtomakepublicdeclarationsaslongasthesedo notviolateacorporation'srightstoproprietaryinformation. 3.Therighttocorporateloyaltyandfreedomfrombeingmadeascapegoatfornaturalcatastrophes, administrativeineptitude,andotherforcesthatarebeyondthecontroloftheindividualengineer. 4.Therighttobetteroneselfthroughpostgraduatestudiesandthroughparticipationinone'sprofessional society. 5.Therighttoparticipateinpoliticalactivitiesoutsideofworkhours. 6.Therightnottosuerretaliationfromone'scurrentemployerwhenoneseeksbetteremployment elsewhere. 7.Therighttodueprocessunderthelawandfreedomfromtheapplicationofartibrarypenaltiesincluding beingredatwillwithoutjustcause. 8.Therighttoappealjudgmentsmadeagainstonebeforeaprofessionalassociation,ombudsman,or independentarbitrator. 9.Therighttopersonalprivacy. KantianFormalism,PartI:Aligningthemoralmotiveandthemoralact Kant'smoralphilosophyhasexercisedsubstantialinuenceoverournotionsofrightandduty.We beginwithabriefsummaryofthistheorybasedonthework, TheFoundationsoftheMetaphysics ofMorals Kantstatesthattheonlythinginthisworldthatisgoodwithoutqualicationisagoodwill.He characterizesthiswillintermsofitsmotive,"dutyforduty'ssake." Considerthefollowingexample.Youseeaboydrowning.Eventhoughthewaterisroughandthe currentstrongyouareagoodenoughswimmertosavehim.Sowhileyourinclinationmaybetogive waytofearandwalkaway,youareduty-boundtosavethedrowningboy. Anactionsavingornotsavingthedrowningboyhasmoralworthdependingonthethecorrect correlationofrightactionandrightmotive.Thefollowingtableshowsthis. DutyforDuty'sSake

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21 Motive=Inclinationdesirefor rewardorfear Motive=Duty ActConformstoDuty Yousavethedrowningboyfor thereward.Actconformstoduty butismotivatedbyinclination. Hasnomoralworth. Yousavethedrowningboybecauseitisyourduty.Actconformstodutyandisforthesake ofduty.Youracthasmoral worth. Actviolatesaduty. Youdon'tsavethedrowningboy becauseyouaretoolazytojump in.Actviolatesdutymotivated byinclination. Youdrowntryingtosavethe drowningboy.Healsodies.Act failstocarryoutdutybutismotivatedbydutyanyway.Theact miscarriesbutsincethemotiveis dutyitstillhasmoralworth. Table2.1 PartIIofKantianFormalism:GivingcontenttoDutyforDuty'sSake Kantseesmoralityastheexpressionandrealizationoftherationalwill.Therstformulationofthis rationalwillistowillconsistentlyanduniversally. ThisleadstotheCategoricalImperative: Ishouldactonlyonthatmaxim=personalruleor rulethatIgivetomyselfthatcanbeconvertedintoauniversallawarulethatapplies toeverybodywithoutself-contradiction Thisformulationisanimperativebecauseitcommandsthewillofallreasonablebeings.Itiscategorical becauseitcommandswithoutexceptionsorconditions.TheCItellsmeunconditionallynottolie.It doesnotsay,donotlikeunlessitpromotesyourselfinteresttodoso. ThefollowingtableshowshowtousetheCategoricalImperativetodeterminewhetherIhaveaduty nottolie. ApplyingtheCategoricalImperative 1.Formulateyourmaxim=personalrule WheneverIaminadicultsituation,Ishouldtell alie. 2.Universalizeyourmaxim. Wheneveranybodyisinadicultsituation,heor sheshouldtellalie. 3.Checkforacontradictionlogicalorpractical WhenIlie,Iwilltheoppositefortheuniversallaw. Putdierently,Iwillthateverybodybutmebea truth-tellerandthateverybodybelievemeatruthteller.Ithenmakemyselftheexceptiontothis universallaw.ThusmymaximIamaliarcontradictsthelaweverybodyelseisatruth-teller Table2.2 KantianFormalism,PartIII:TheFormulaoftheEnd WhenIwillonethingasuniversallawandmakemyselftheexeceptionindicultcircumstances,Iam treatingothers,inKantianterms,merelyasmeans. ThisimpliesthatIsubordinateorbendthemtomyinterestsandprojectswithouttheirconsent.I dothisbycircumventingtheirautonomythroughforce,fraudoftendeception,ormanipulation.TreatingthemwithrespectwouldinvolvetellingthemwhatIwantwhataremyplansand projectsandonthisbasisaskingthemtoconsenttoparticpateandhelpme.Theextremecasefor treatingothersmerelyasmeansisenslavingthem.

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22 CHAPTER2.ETHICALDECISION-MAKING Wedoonoccasiontreatothersasmeansandnotasmeremeanswhenwehirethemasemployees. Butthisisconsistentwiththeirautonomyandrationalconsentbecauseweexplaintothemwhatis expectedwegivethemajobdescriptionandcompensatethemfortheireorts.Forthisreasonthere isaworldofdierencebetweenhiringothersandenslavingthem. TheFormulaoftheEnd = Actsoastotreatothersyourselfincludedalwaysasends andnevermerelyasmeans SomeKeyDenitionsforaRightsFramework Kantianformalismprovidesafoundationforrespectfortheintrinsicvalueofhumansasautonomous rationalbeings.Usingthisasapointofdeparture,wecandevelopamethodforidentifying,spellingout, andjustifyingtherightsanddutiesthatgowithprofessionalism.Thisframeworkcanbesummarized infourgeneralpropositions: 1.Denition:A right isanessentialcapacityofactionthatothersareobligedtorecognizeand respect.Thisdenitionfollowsfromautonomy.Autonomycanbebrokendownintoaseriesofspecic capacities.Rightsclaimsarisewhenweidentifythesecapacitiesandtakesocialactiontoprotectthem. Rightsareinviolableandcannotbeoverriddenevenwhenoverridingwouldbringaboutsubstantial publicutility. 2.Allrightsclaimsmustsatisfythreerequirements.Theymustbe essentialtotheautonomy ofindividualsand vulnerable sothattheyrequirespecialrecognitionandprotectiononthepart ofbothindividualsandsociety.Moreover,theburdenofrecognizingandrespectingaclaimasa rightmustnotdepriveothersofsomethingessential.Inotherwords,itmustbe feasible forboth individualsandsocialgroupstorecognizeandrespectlegitimaterightsclaims. 3.Denition:A duty isaruleorprinciplerequiringthatwebothrecognizeandrespectthelegitimate rightsclaimsofothers.Dutiesattendantonagivenrightfallintothreegeneralforms:adutiesnot todeprive,bdutiestopreventdeprivation,andcdutiestoaidthedeprived. 4. Rightsanddutiesarecorrelative ;foreveryrightthereisacorrelativeseriesofdutiesto recognizeandrespectthatright. Thesefoursummarypointstogetherformasystemofprofessionalandoccupationalrightsandcorrelativeduties. RightClaimJusticationFramework Essential :Tosaythatarightisessentialtoautonomyistosaythatithighlightsacapacitywhose exerciseisnecessarytothegeneralexerciseofautonomy.Forexample,autonomyisbasedoncertain knowledgeskills.Hence,wehavearighttoaneducationtodeveloptheknowledgerequiredbyautonomy,orwehavearighttotheknowledgethatproducesinformedconsent.Ingeneral,rightsare devicesforrecognizingcertaincapacitiesasessentialtoautonomyandrespectingindividualsintheir exerciseofthesecapacities. Vulnerable :Theexerciseofthecapacityprotectedundertherightneedsprotection.Individuals mayinterferewithusinourattempttoexerciseourrights.Groups,corporations,andgovernments mightoverwhelmusandpreventusfromexercisingouressentialcapacities.Inshort,theexerciseof thecapacityrequiressomesortofprotection.Forexample,anindividual'sprivacyisvulnerableto violation.Peoplecangainaccesstoourcomputerswithoutourauthorizationandviewtheinformation wehavestored.Theycanevenusethisinformationtoharmusinsomeway.Therighttoprivacy, thus,protectscertaincapacitiesofactionthatarevulnerabletointerferencefromothers.Individual andsocialenergyneedstobeexpendedtoprotectourprivacy. Feasible :Rightsmakeclaimsoverothers;theyimplydutiesthatothershave.Theseclaimsmustnot deprivethecorrelativeduty-holdersofanythingessential.Inotherwords,myrightsclaimsoveryou arenotsoextensiveastodepriveyouofyourrights.Myrighttolifeshouldnotdepriveyouofyour righttoself-protectionwereItoattackyou.Thus,thescopeofmyrightclaimsoveryouandtherest ofsocietyarelimitedbyyourabilitytoreciprocate.Icannotpushmyclaimsoveryoutorecognize andrespectmyrightstothepointwhereyouaredeprivedofsomethingessential.

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23 TypesofDutyCorrelativetoaRight Dutynottodeprive :Wehaveabasicdutynottoviolatetherightsofothers.Thisentailsthatwe mustbothrecognizeandrespecttheserights.Forexample,computingspecialistshavethedutynot todepriveothersoftheirrightstoprivacybyhackingintoprivateles. Dutytopreventdeprivation :Professionals,becauseoftheirknowledge,areoftenintheposition topreventothersfromdeprivingthirdpartiesoftheirrights.Forexample,acomputingspecialist mayndthataclientisnottakingsucientpainstoprotectthecondentialityofinformationabout customers.Outsiderscouldaccessthisinformationanduseitwithouttheconsentofthecustomers. Thecomputingspecialistcouldpreventthisviolationofprivacybyadvisingtheclientonwaysto protectthisinformation,say,throughencryption.Thecomputingspecialistisnotabouttoviolatethe customers'rightstoprivacy.Butbecauseofspecialknowledgeandskill,thecomputingspecialistmay beinapositiontopreventothersfromviolatingthisright. Dutytoaidthedeprived :Finally,whenothershavetheirrightsviolated,wehavethedutyto aidthemintheirrecoveryfromdamages.Forexample,acomputingspecialistmighthaveadutyto serveasanexpertwitnessinalawsuitinwhichtheplaintiseekstorecoverdamagessueredfrom havingherrighttoprivacyviolated.Partofthisdutywouldincludeaccurate,impartial,andexpert testimony. ApplicationofRight/DutyFramework 1.Wecanidentifyanddenespecicrightssuchasdueprocess.Moreover,wecansetforthsomeofthe conditionsinvolvedinrecognizingandrespectingthisright. 2.DueProcesscanbejustiedbyshowingthatitisessentialtoautonomy,vulnerable,andfeasible. 3.Rightholderscanbespecied. 4.Correlativedutiesanddutyholderscanbespecied. 5.Finally,thecorrelativeduty-levelscanbespeciedasthedutiesnottoviolaterights,dutiestoprevent rightsviolationswheneverfeasible,andthedutiestoaidthedeprivedwheneverisfeasible.

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24 CHAPTER2.ETHICALDECISION-MAKING ExampleRightsTable:DueProcess Right:DueProcess Justication RightHolder:Engineer asemployeeand memberofprofessionalsociety. CorrelativeDutyHolder:Engineer's Supervisor,ofcialsinprofessionalsociety. DutyLevel Denition:The righttorespond toorganizational decisionsthat mayharmonein termsofaserious organizational grievanceprocedure.Necessary Conditions:1. Severallevelsof appeal.2.Time limitstoeach levelofappeal.3. Writtennotice ofgrievance.4. Peerrepresentation.5.Outside arbitration. Essential:Due Processisessential inorganizations topreventthe deprivationof otherrightsor toprovideaidin thecaseoftheir deprivation. Vulnerable: Rightsingeneral arenotrecognized intheeconomic sphere,especially inorganizations. Feasible:Organizations,have successfullyimplementeddue processprocedures. Professionalswho aresubjecttoprofessionalcodesof ethics.Supports professionalswho areorderedtoviolateprofessional standards. HumanResources, Management, PersonnelDepartment.Individuals withdutytodesign,implement, andenforcea dueprocesspolicyCorporate directorshavethe dutytomakesure thisisbeingdone. NottoDeprive:Individuals cannotbered, transferred,or demotedwithout dueprocess PreventDeprivation:Organizationscanprevent deprivationbydesigningandimplementingacomprehensivedueprocesspolicy. AidtheDeprivedBinding arbitrationand legalmeasures mustexisttoaid thosedeprivedof dueprocessrights Table2.3 2.1.3Whatyouaregoingtodo... Exercise:DevelopaRightsTable 1.Youwillbedividedintosmallgroupsandeachwillbeassignedarightclaimtakenfromtheabovelist. 2.Describetheclaimessentialcapacityofactionmadebytheright.Forexample,dueprocessclaims therighttoaseriousorganizationalgrievanceprocedurethatwillenabletheright-holdertorespond toadecisionthathasanadverseimpactonhisorherinterests.Itmayalsobenecessaryinsome situationstospecifytheclaim'snecessaryconditions. 3.Justifytherightclaimusingtherightsjusticationframework.Inotherwordsshowthattheright claimisessential,vulnerable,andfeasible. 4.Besuretoshowthattherightisessentialto autonomy .Ifitisvulnerablebesuretoidentifythe standardthreat .Astandardthreatisanexistingconditionthatthreatensautonomy. 5.Provideanexampleofasituationinwhichtherightclaimbecomesoperative.Forexample,anengineer mayclaimarighttodueprocessinordertoappealwhatheorsheconsidersanunfairdismissal,transfer, orperformanceevaluation. 6.Identifythecorrelativeduty-holdersthatneedtotakestepstorecognizeandrespecttheright.For example,privateandgovernmentorganizationsmaybeduty-boundtocreatedueprocessprocedures torecognizeandrespectthisright.

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25 7.Furtherspellouttherightbyshowingwhatactionsthecorrelativedutiesinvolve.Forexample,a managershouldnotviolateanemployee'sdueprocessrightbyringhimorherwithoutjustcause. Theorganization'shumanresourcesdepartmentmightcarryoutatrainingprogramtohelpmanagers avoiddeprivingemployeesofthisright.Theorganizationcouldaidthedeprivedbydesigningand implementingbindingarbitrationinvolvinganimpartialthirdparty. Bepreparedtodebriefonyourrightclaimtotherestoftheclass.Whenothergroupsaredebrieng,youare freetochallengethemonwhethertheirclaimisessentialtoautonomy,whethertheyhaveidentiedavalid "standardthreat,"andwhetherthecorrelativedutiesarefeasibleordepriveothersofsomethingessential. Yourgoalasaclassistohaveashortbuteectivelistofrightsthatprofessionalstakewiththemtothe workplace. 2.1.4Conclusion Conclusion:TopicsforFurtherReection Noteveryclaimtoarightisalegitimateorjustiableclaim.Thepurposeofthisframeworkistoget youintothehabitofthinkingcriticallyandskepticallyabouttherightsclaimsthatyouandothers make.Everylegitimaterightclaimisessential,vulnerable,andfeasible.Correlativedutiesaresorted outaccordingtodierentlevelsnottodeprive,preventdeprivation,andaidthedeprived;this, inturn,isbasedonthecapacityofthecorrelativedutyholdertocarrythemout.Finally,duties correlativetorightscannotdeprivetheduty-holderofsomethingessential. Unlessyouintegrateyourrightanditscorrelativedutiesintothecontextofyourprofessionalor practicaldomain,itwillremainabstractandirrelevant.Thinkaboutyourrightinthecontextof therealworld.Thinkofeverydaysituationsinwhichtherightanditscorrelativedutieswillarise. Inventcasesandscenarios.Ifyouareanengineeringstudent,thinkofinformedconsentintermsof thepublic'srighttounderstandandconsenttotherisksassociatedwithengineeringprojects.Ifyou areacomputingstudentthinkofwhatyoucandowithcomputingknowledgeandskillstorespector violateprivacyrights.Don'tstopwithanabstractaccountingoftherightanditscorrelativeduties. Rightsanddutiesunderlieprofessionalcodesofethics.Butthisisnotalwaysobvious.Forexample, therightoffreeandinformedconsentunderliesmuchoftheengineer'sinteractionwiththepublic, especiallythecoderesponsibilitytoholdparamountpublichealth,safety,andwelfare.Lookatthe dierentstakeholderrelationscoveredinacodeofethics.Inengineeringthiswouldincludepublic, client,profession,andpeer.Whataretherightsanddutiesoutlinedinthesestakeholderrelations? Howaretheycoveredincodesofethics? Thismoduleiseectiveincounter-actingthetendencytoinventrightsandusethemtorationalize dubiousactionsandintentions.Thinkofrightsclaimsascreditbackedbyapromisetopayatalater time.Ifyoumakearightclaim,bereadytojustifyit.Ifsomeoneelsemakesarightclaim,makethem backitupwiththejusticationframeworkpresentedinthismodule. 2.2ThreeFrameworksforEthicalDecisionMakingandGoodComputingReports 2 2.2.1ModuleIntroduction Inthismoduleyouwilllearnandpracticethreeframeworksdesignedtointegrateethicsintodecisionmaking intheareasofpracticalandoccupationalethics.Therstframeworkdividesthedecisionmakingprocess intofourstages:problemspecication,solutiongeneration,solutiontesting,andsolutionimplementation. Itisbasedonananalogybetweenethicsanddesignproblemsthatisdetailedinatablepresentedbelow. 2 Thiscontentisavailableonlineat.

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26 CHAPTER2.ETHICALDECISION-MAKING Thesecondframeworkfocusesontheprocessofsolutiontestingbyprovidingfourteststhatwillhelpyouto evaluateandrankalternativecoursesofaction.Thereversibility,harm/benecence,andpublicidentication testseach"encapsulate"orsummarizeanimportantethicaltheory.Avaluerealizationtestassessescourses ofactionintermsoftheirabilitytorealizeorharmonizedierentmoralandnonmoralvalues.Finally, afeasibilitytestwillhelpyoutouncoverinterest,resource,andtechnicalconstraintsthatwillaectand possiblyimpedetherealizationofyoursolutionordecision.Takentogether,thesethreeframeworkswill helpsteeryoutowarddesigningandimplementingethicaldecisionstheprofessionalandoccupationalareas. Twoonlineresourcesprovidemoreextensivebackgroundinformation.Therst, www.computingcases.org,providesbackgroundinformationontheethicstests,socio-technicalanalysis,andintermediatemoralconcepts.Thesecond,http://onlineethics.org/essays/education/teaching.html, exploresinmoredetailtheanalogybetweenethicsanddesignproblems.Muchofthisinformationwillbe publishedinGoodComputing:AVirtueApproachtoComputerEthics,atextbookofcasesanddecision makingtechniquesincomputerethicsthatisbeingauthoredbyChuckHu,WilliamFrey,andJoseA. Cruz-Cruz. 2.2.2Problem-SolvingorDecision-MakingFramework:Analogybetweenethics anddesign Traditionally,decisionmakingframeworksinprofessionalandoccupationalethicshavebeentakenfrom rationaldecisionproceduresusedineconomics.Whiletheseareuseful,theyleadonetothinkthatethical decisionsarealready"outthere"waitingtobediscovered.Incontrast,takingadesignapproachtoethical decisionmakingemphasizesthatethicaldecisionsmustbecreated,notdiscovered.This,inturn,emphasizes theimportanceofmoralimaginationandmoralcreativity.CarolynWhitbeckinEthicsinEngineering PracticeandResearchdescribesthisaspectofethicaldecisionmakingthroughtheanalogyshedrawsbetween ethicsanddesignproblemsinchapterone.Heresherejectstheideathatethicalproblemsaremultiplechoice problems.Wesolveethicalproblemsnotbychoosingbetweenreadymadesolutionsgivenwiththesituation; ratherweuseourmoralcreativityandmoralimaginationtodesignthesesolutions.ChuckHubuildson thisbymodifyingthedesignmethodusedinsoftwareengineeringsothatitcanhelpstructuretheprocessof framingethicalsituationsandcreatingactionstobringthesesituationstoasuccessfulandethicalconclusion. Thekeypointsintheanalogybetweenethicalanddesignproblemsaresummarizedinthetablepresented justbelow. Analogybetweendesignandethicsproblem-solving DesignProblem EthicalProblem Constructaprototypethatoptimizesorsatisces designatedspecications Constructasolutionthatintegratesandrealizes ethicalvaluesjustice,responsibility,reasonableness,respect,andsafety Resolveconictsbetweendierentspecicationsby meansofintegration Resolveconictsbetweenvaluesmoralvs.moral ormoralvs.non-moralbyintegration Testprototypeoverthedierentspecications Testsolutionoverdierentethicalconsiderations encapsulatedinethicstests continuedonnextpage

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27 Implementtesteddesignoverbackgroundconstraints Implementethicallytestedsolutionoverresource, interest,andtechnicalconstraints Table2.4 2.2.3SoftwareDevelopmentCycle:FourStages problemspecication,solutiongeneration,solutiontesting,andsolutionimplementation. 2.2.4Problemspecication Problemspecicationinvolvesexercisingmoralimaginationtospecifythesocio-technicalsystemincluding thestakeholdersthatwillinuenceandwillbeinuencedbythedecisionweareabouttomake.Statingthe problemclearlyandconciselyisessentialtodesignproblems;gettingtheproblemrighthelpsstructureand channeltheprocessofdesigningandimplementingthesolution.Thereisnoalgorithmavailabletocrankout eectiveproblemspecication.Instead,weoeraseriesofguidelinesorrulesofthumbtogetyoustarted inaprocessthatisaccomplishedbytheskillfulexerciseofmoralimagination. ForabroaderproblemframingmodelseeHarris,Pritchard,andRabins, EngineeringEthics:ConceptsandCases, 2ndEdition,Belmont,CA:Wadsworth,2000,pp.30-56.SeealsoCynthiaBrincatand VictoriaWike, MoralityandProfessionalLife:ValuesatWork ,NewJersey:PrenticeHall,1999. DierentWaysofSpecifyingtheProblem Manyproblemscanbespeciedasdisagreements.Forexample,youdisagreewithyoursupervisorover thesafetyofthemanufacturingenvironment.Disagreementsoverfactscanberesolvedbygathering moreinformation.Disagreementsoverconceptsyouandyoursupervisorhavedierentideasofwhat safetymeansrequireworkingtowardacommondenition. Otherproblemsinvolveconictingvalues.Youadvocateinstallingpollutioncontroltechnologybecause youvalueenvironmentalqualityandsafety.Yoursupervisorresiststhiscourseofactionbecause shevaluesmaintainingasolidprotmargin.Thisisaconictbetweenamoralvaluesafetyand environmentalqualityandanonmoralvaluesolidprots.Moralvaluescanalsoconictwithone anotherinagivensituation.UsingJohnDoelawsuitstoforceInternetServiceProviderstoreveal therealidentitiesofdefamerscertainlyprotectstheprivacyandreputationsofpotentialtargetsof defamation.Butitalsoplacesrestrictionsonlegitimatefreespeechbymakingitpossibleforpowerful wrongdoerstointimidatethosewhowouldpublicizetheirwrongdoing.Herethemoralvaluesofprivacy andfreespeechareinconict.Valueconictscanbeaddressedbyharmonizingtheconictingvalues, compromisingonconictingvaluesbypartiallyrealizingthem,orsettingonevalueasidewhilerealizing theother=valuetradeos. Ifyouspecifyyourproblemasadisagreement,youneedtodescribethefactsorconceptsaboutwhich thereisdisagreement. Ifyouspecifyyourproblemasaconict,youneedtodescribethevaluesthatconictinthesituation. Oneusefulwayofspecifyingaproblemistocarryoutastakeholderanalysis.Astakeholderisany grouporindividualthathasavitalinterestatriskinthesituation.Stakeholderinterestsfrequently comeintoconictandsolvingtheseconictsrequiresdevelopingstrategiestoreconcileandrealizethe conictingstakes. Anotherwayofidentifyingandspecifyingproblemsistocarryoutasocio-technicalanalysis.SociotechnicalsystemsSTSembodyvalues.Problemscanbeanticipatedandpreventedbyspecifying possiblevalueconicts.Integratinganewtechnology,procedure,orpolicyintoasocio-technical systemcancreatethreekindsofproblem.Conictbetweenvaluesinthetechnologyandthosein theSTS.Forexample,whenanattemptismadetointegrateaninformationsystemintotheSTSofa smallbusiness,thevaluespresentinaninformationsystemcanconictwiththoseinthesocio-technical system.Workersmayfeelthatthenewinformationsysteminvadestheirprivacy.Amplication

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28 CHAPTER2.ETHICALDECISION-MAKING ofexistingvalueconictsintheSTS.Theintroductionofanewtechnologymaymagnifyanexisting valueconict.Digitalizingtextbooksmayunderminecopyrightsbecausedigitalmediaiseasytocopy anddisseminateontheInternet.Harmfulconsequences.Introducingsomethingnewintoasociotechnicalsystemmaysetinmotionachainofeventsthatwilleventuallyharmstakeholdersinthe socio-technicalsystem.Forexample,givinglaptopcomputerstopublicschoolstudentsmayproduce longtermenvironmentalharmwhencarelessdisposalofspentlaptopsreleasestoxicmaterialsintothe environment. Thefollowingtablehelpssummarizesomeoftheseproblemcategoriesandthenoutlinesgenericsolutions. ProblemType Sub-Type SolutionOutline Disagreement Factual Typeandmodeofgatheringinformation Conceptual Conceptindisputeandmethodfor agreeingonitsdenition Conict Moralvs.Moral Non-moralvs. moral Non-moralvs. non-moral ValueIntegrative PartiallyValueIntegrative TradeO Framing Corruption SocialJustice ValueRealization Strategyformaintainingintegrity Strategyfor restoringjustice Valueintegrative, designstrategy Intermediate MoralValue PublicWelfare, FaithfulAgency, ProfessionalIntegrity,Peer Collegiality RealizingValue Removingvalue conicts Prioritizingvalues fortradeos Table2.5 2.2.5SolutionGeneration Insolutiongeneration,agentsexercisemoralcreativitybybrainstormingtocomeupwithsolutionoptions designedtoresolvethedisagreementsandvalueconictsidentiedintheproblemspecicationstage.Brainstormingiscrucialtogeneratingnonobvioussolutionstodicult,intractableproblems.Thisprocessmust takeplacewithinanon-polarizedenvironmentwherethemembersofthegrouprespectandtrustoneanother. SeethemoduleontheEthicsofGroupWorkformoreinformationonhowgroupscanbesuccessfuland pitfallsthatcommonlytripupgroups.Groupseectivelyinitiatethebrainstormingprocessbysuspending criticismandanalysis.Aftertheprocessiscompletedsay,bymeetingaquota,thenparticipantscanrene thesolutionsgeneratedbycombiningthem,eliminatingthosethatdon'tttheproblem,andrankingthem intermsoftheirethicsandfeasibility.Ifaproblemcan'tbesolved,perhapsitcanbedissolvedthrough reformulation.Ifanentireproblemcan'tbesolve,perhapstheproblemcanbebrokendownintopartssome ofwhichcanbereadilysolved. 2.2.6SolutionTesting:Thesolutionsdevelopedinthesecondstagemustbe testedinvariousways. 1.Reversibility:Aretheyreversiblebetweentheagentandkeystakeholders?

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29 2.Harm/Benecence:Dotheyminimizeharm?Dotheyproducebenetsthatarejustlydistributed amongstakeholders? 3.PublicIdentication:AretheseactionswithwhichIamwillingtobepubliclyidentied?Doesthese actionsidentifymeasamoralperson? 4.Value:Dotheseactionsrealizekeymoralvaluesandinstantiatemoralvirtues? 5.Code:Acodetestcanbeaddedthatreferstoaprofessionaloroccupationalcodeofethics.Dothe solutionscomplywiththeprofessional'sorpractitioner'scodeofethics? 6.Thesolutionevaluationmatrixpresentedjustbelowprovidesanicewayofmodelingandsummarizing theprocessofsolutiontesting. Solution/Test Reversibility Harm/Benecence Virtue Value Code Descrip-tion Isthesolution reversiblewith stakeholders? Doesithonor basicrights? Doesthesolutionproduce thebestbenet/harmratio? Doesthesolutionmaximize utility? Doesthesolutionexpress andintegrate keyvirtues? Moralvaluesrealized? Moralvalues frustrated? Valueconicts resolvedor exacerbated? Doesthesolutionviolate anycode provisions? Bestsolution SecondBest Worst Table2.6 2.2.7SolutionImplementation Thechosensolutionmustbeexaminedintermsofhowwellitrespondstovarioussituationalconstraints thatcouldimpedeitsimplementation.Whatwillbeitscosts?Canitbeimplementedwithinnecessarytime constraints?Doesithonorrecognizedtechnicallimitationsordoesitrequirepushingthesebackthrough innovationanddiscovery?Doesitcomplywithlegalandregulatoryrequirements?Finally,couldthe surroundingorganizational,political,andsocialenvironmentsgiverisetoobstaclestotheimplementation ofthesolution?Ingeneralthisphaserequireslookingatinterest,technical,andresourceconstraintsor limitations.AFeasibilityMatrixhelpstoguidethisprocess. TheFeasibilityTestsfocusesonsituationalconstraints.Howcouldthesehindertheimplementationof thesolution?Shouldthesolutionbemodiedtoeaseimplementation?Cantheconstraintsberemovedor remodeledbynegotiation,compromise,oreducation?Canimplementationbefacilitatedbymodifyingboth thesolutionandchangingtheconstraints? FeasibilityMatrix ResourceConstraints TechnicalConstraints InterestConstraints Personalities Time Organizational Cost ApplicableTechnology Legal Materials Manufacturability Social,Political,Cultural

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30 CHAPTER2.ETHICALDECISION-MAKING Table2.7 DierentFeasibilityConstraints 1.TheFeasibilityTestidentiestheconstraintsthatcouldinterferewithrealizingasolution.Thistestalso sortsouttheseconstraintsinto resource time,cost,materials, interest individuals,organizations, legal,social,political,and technical limitations.Byidentifyingsituationalconstraints,problemsolverscananticipateimplementationproblemsandtakeearlystepstopreventormitigatethem. 2. Time .Isthereadeadlinewithinwhichthesolutionhastobeenacted?Isthisdeadlinexedor negotiable? 3. Financial .Aretherecostconstraintsonimplementingtheethicalsolution?Canthesebeextended byraisingmorefunds?Cantheybeextendedbycuttingexistingcosts?Canagentsnegotiateformore moneyforimplementation? 4. Technical .Technicallimitsconstraintheabilitytoimplementsolutions.What,then,arethetechnical limitationstorealizingandimplementingthesolution?Couldthesebemovedbackbymodifyingthe solutionorbyadoptingnewtechnologies? 5. Manufacturability .Aretheremanufacturingconstraintsonthesolutionathand?Giventime,cost, andtechnicalfeasibility,whatarethemanufacturinglimitstoimplementingthesolution?Onceagain, aretheselimitsxedorexible,rigidornegotiable? 6. Legal .Howdoestheproposedsolutionstandwithrespecttoexistinglaws,legalstructures,and regulations?Doesitcreatedisposalproblemsaddressedinexistingregulations?Doesitrespondto andminimizethepossibilityofadverselegalaction?Aretherelegalconstraintsthatgoagainstthe ethicalvaluesembodiedinthesolution?Again,aretheselegalconstraintsxedornegotiable? 7. IndividualInterestConstraints .Individualswithconictinginterestsmayopposetheimplementationofthesolution.Forexample,aninsecuresupervisormayopposethesolutionbecausehefears itwillunderminehisauthority.Aretheseindividualinterestconstraintsxedornegotiable? 8. Organizational .Inconsistenciesbetweenthesolutionandtheformalorinformalrulesofanorganizationmaygiverisetoimplementationobstacles.Implementingthesolutionmayrequiresupport ofthosehigherupinthemanagementhierarchy.Thesolutionmayconictwithorganizationrules, managementstructures,traditions,ornancialobjectives.Onceagain,aretheseconstraintsxedor exible? 9. Social,Cultural,orPolitical .Thesocio-technicalsystemwithinwhichthesolutionistobeimplementedcontainscertainsocialstructures,culturaltraditions,andpoliticalideologies.Howdothese standwithrespecttothesolution?Forexample,doesaclimateofsuspicionofhightechnologythreaten tocreatepoliticaloppositiontothesolution?Whatkindsofsocial,cultural,orpoliticalproblemscould arise?Arethesexedorcantheybealteredthroughnegotiation,education,orpersuasion? 2.2.8EthicsTestsForSolutionEvaluation Threeethicstestsreversibility,harm/benecence,andpublicidenticationencapsulatethreeethicalapproachesdeontology,utilitarianism,andvirtueethicsandformthebasisofstagethreeoftheSDC,solution testing.Afourthtestavaluerealizationtestbuildsuponthepublicidentication/virtueethicstestby evaluatingasolutionintermsofthevaluesitharmonizes,promotes,protects,orrealizes.Finallyacodetest providesanindependentcheckontheethicstestsandalsohighlightsintermediatemoralconceptssuchas safety,health,welfare,faithfulagency,conictofinterest,condentiality,professionalintegrity,collegiality, privacy,property,freespeech,andequity/access.Thefollowingsectionprovidesadviceonhowtousethese tests.Moreinformationcanbefoundatwww.computingcases.org. 2.2.9SettingUptheEthicsTests:Pitfallstoavoid Set-UpPitfalls:Mistakesinthisarealeadtotheanalysisbecomingunfocusedandgettinglostinirrelevancies. aAgent-switchingwheretheanalysisfallspreytoirrelevanciesthatcropupwhenthetestapplicationis

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31 notgroundedinthestandpointofasingleagent,bSloppyaction-descriptionwheretheanalysisfails becausenospecicactionhasbeentested,cTest-switchingwheretheanalysisfailsbecauseonetestis substitutedforanother.Forexample,thepublicidenticationandreversibilitytestsareoftenreduced totheharm/benecencetestwhereharmfulconsequencesarelistedbutnotassociatedwiththeagentor stakeholders. Setupthetest 1.Identifytheagentthepersonwhoisgoingtoperformtheaction 2.Describetheactionorsolutionthatisbeingtestedwhattheagentisgoingtodoorperform 3.Identifythestakeholdersthoseindividualsorgroupswhoaregoingtobeaectedbytheaction,and theirstakesinterests,values,goods,rights,needs,etc. 4.Identify,sortout,andweightheconsequencestheresultstheactionislikelytobringabout 2.2.10Harm/BenecenceTest Whatharmswouldaccompanytheactionunderconsideration?Woulditproducephysicalormental suering,imposenancialornon-nancialcosts,ordepriveothersofimportantoressentialgoods? Whatbenetswouldthisactionbringabout?Woulditincreasesafety,qualityoflife,health,security, orothergoodsbothmoralandnon-moral? Whatisthemagnitudeofeachtheseconsequences?Magnitudeincludeslikelihooditwilloccurprobability,theseverityofitsimpactminorormajorharmandtherangeofpeopleaected. Identifyoneortwootherviablealternativesandrepeatthesestepsforthem.Someofthesemaybe modicationsofthebasicactionthatattempttominimizesomeofthelikelyharms.Thesealternatives willestablishabasisforassessingyouralternativebycomparingitwithothers. Decideonthebasisofthetestwhichalternativeproducesthebestratioofbenetstoharms? Checkforinequitiesinthedistributionofharmsandbenets.Doalltheharmsfallononeindividual orgroup?Doallofthebenetsfallonanother?Ifharmsandbenetsareinequitablydistributed, cantheyberedistributed?Whatistheimpactofredistributionontheoriginalsolutionimposed? PitfallsoftheHarm/BenecenceTest 1.ParalysisofAnalysis"comesfromconsideringtoomanyconsequencesandnotfocusingonlyonthose relevanttoyourdecision. 2.IncompleteAnalysisresultsfromconsideringtoofewconsequences.Oftenitindicatesafailureofmoral imaginationwhich,inthiscase,istheabilitytoenvisiontheconsequencesofeachactionalternative. 3.Failuretocomparedierentalternativescanleadtoadecisionthatistoolimitedandone-sided. 4.Failuretoweighharmsagainstbenetsoccurswhendecisionmakerslacktheexperiencetomakethe qualitativecomparisonsrequiredinethicaldecisionmaking. 5.Finally,justicefailuresresultfromignoringthefairnessofthedistributionofharmsandbenets.This leadstoasolutionwhichmaymaximizebenetsandminimizeharmsbutstillgiverisetoserious injusticesinthedistributionofthesebenetsandharms. 2.2.11ReversibilityTest 1.Setupthetestbyiidentifyingtheagent,iidescribingtheaction,andiiiidentifyingthestakeholdersandtheirstakes. 2.Usethestakeholderanalysistoidentifytherelationstobereversed. 3.Reverserolesbetweentheagentyouandeachstakeholder:puttheminyourplaceastheagent andyourselfintheirplaceastheonesubjectedtotheaction. 4.Ifyouwereintheirplace,wouldyoustillndtheactionacceptable?

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32 CHAPTER2.ETHICALDECISION-MAKING CrossChecksforReversibilityTestThesequestionshelpyoutocheckifyouhavecarriedout thereversibilitytestproperly. Doestheproposedactiontreatotherswithrespect?Doesitrecognizetheirautonomyorcircumvent it? Doestheactionviolatetherightsofothers?Examplesofrights:freeandinformedconsent,privacy, freedomofconscience,dueprocess,property,freedomofexpression Wouldyourecommendthatthisactionbecomeauniversalrule? Areyou,throughyouraction,treatingothersmerelyasmeans? PitfallsoftheReversibilityTest Leavingoutakeystakeholderrelation Failingtorecognizeandaddressconictsbetweenstakeholdersandtheirconictingstakes ConfusingtreatingotherswithrespectwithcapitulatingtotheirdemandsReversingwithHitler Failingtoreachclosure,i.e.,anoverall,globalreversalassessmentthattakesintoaccountallthe stakeholderstheagenthasreversedwith. 2.2.12StepsinApplyingthePublicIdenticationTest Setuptheanalysisbyidentifyingtheagent,describingtheaction,andlistingthekeyvaluesorvirtues atplayinthesituation. Associationtheactionwiththeagent. Describewhattheactionsaysabouttheagentasaperson.Doesitrevealhimorherassomeone associatedwithavirtueoravice? AlternativeVersionofPublicIdentication Doestheactionunderconsiderationrealizejusticeordoesitposeanexcessordefectofjustice? Doestheactionrealizeresponsibilityorposeanexcessordefectofresponsibility? Doestheactionrealizereasonablenessorposetoomuchortoolittlereasonableness? Doestheactionrealizehonestyorposetoomuchortoolittlehonesty? Doestheactionrealizeintegrityorposetoomuchortoolittleintegrity? PitfallsofPublicIdentication Actionnotassociatedwithagent.Themostcommonpitfallisfailuretoassociatetheagentandthe action.Theactionmayhavebadconsequencesanditmaytreatindividualswithrespectbutthese pointsarenotasimportantinthecontextofthistestaswhattheyimplyabouttheagentasaperson whodeliberatelyperformssuchanaction. Failuretospecifymoralquality,virtue,orvalue.Anotherpitfallistoassociatetheactionandagent butonlyascribeavagueorambiguousmoralqualitytotheagent.Tosay,forexample,thatwillfully harmingthepublicisbadfailstozeroinonpreciselywhatmoralqualitythisascribestotheagent. Doesitrenderhimorherunjust,irresponsible,corrupt,dishonest,orunreasonable?Thevirtuelist givenabovewillhelptospecifythismoralquality. 2.2.13CodeofEthicsTest Doestheactionholdparamountthehealth,safety,andwelfareofthepublic,i.e.,thoseaectedbythe actionbutnotabletoparticipateinitsdesignorexecution? Doestheactionmaintainfaithfulagencywiththeclientbynotabusingtrust,avoidingconictsof interest,andmaintainingcondences? Istheactionconsistentwiththereputation,honor,dignity,andintegrityoftheprofession? Doestheactionservetomaintaincollegialrelationswithprofessionalpeers?

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33 2.2.14MetaTests Theethicsandfeasibilitytestswillnotalwaysconvergeonthesamesolution.Thereisacomplicated answerforwhythisisthecasebutthesimpleversionisthatthetestsdonotalwaysagreeona givensolutionbecauseeachtestandtheethicaltheoryitencapsulatescoversadierentdomainor dimensionoftheactionsituation.Metateststurnthisdisadvantagetoyouradvantagebyfeedingthe interactionbetweenthetestsonagivensolutionbackintotheevaluationofthatsolution. Whentheethicstestsconvergeonagivensolution,thisconvergenceisasignofthestrengthand robustnessofthesolutionandcountsinitsfavor. Whenagivensolutionrespondswelltoonetestbutdoespoorlyunderanother,thisisasignthatthe solutionneedsfurtherdevelopmentandrevision.Itisnotasignthatonetestisrelevantwhilethe othersarenot.Divergencebetweentestresultsisasignthatthesolutionisweak. 2.2.15ApplicationExercise Youwillnowpracticethefourstagesofdecisionmakingwitharealworldcase.Thiscase,RiskAssessment, camefromaretreatonBusiness,Science,andEngineeringEthicsheldinPuertoRicoinDecember1998.It wasfundedbytheNationalScienceFoundation,GrantSBR9810253. RiskAssessmentScenario CaseScenario:Yousuperviseagroupofengineersworkingforaprivatelaboratorywithexpertiseinnuclear wastedisposalandriskassessment.TheDOEDepartmentofEnergyawardedacontracttoyourlaboratory sixyearsagotodoariskassessmentofvariousnuclearwastedisposalsites.Duringthesixyearsinwhich yourteamhasbeendoingthestudy,newandmoreaccuratecalculationsinriskassessmenthavebecome available.Yourlaboratory'sstudy,however,beganwiththeolder,simplercalculationsandcannotintegrate thenewerwithoutsubstantiallydelayingcompletion.You,astheleaderoftheteam,proposeadelaytothe DOEonthegroundsthatitisnecessarytousethemoreadvancedcalculations.Yourpositionisthatthe laboratoryneedsmoretimebecauseoftheextensivecalculationsrequired;youarguethatyourgroupmust usestateoftheartscienceindoingitsriskassessment.TheDOEsaysyouareusingoverlyhighstandards ofriskassessmenttoprolongtheprocess,extendthecontract,andgetmoremoneyforyourcompany.They wantyoutousesimplercalculationsandnishtheproject;ifyouareunwillingtodoso,theyplantond anothercompanythatthinksdierently.Meanwhile,backatthelaboratory,yoursupervisorahighlevel companymanagerexpressestoyoutheconcernthatwhilegoodscienceisimportantinanacademicsetting, thisistherealworldandthecontractwiththeDOEisinjeopardy.Whatshouldyoudo? PartOne:ProblemSpecication 1.Specifytheproblemintheabovescenario.Beasconciseandspecicaspossible 2.Isyourproblembestspeciableasadisagreement?Betweenwhom?Overwhat? 3.Canyourproblembespeciedasavalueconict?Whatarethevaluesinconict?Arethemoral, nonmoral,orboth? PartTwo:SolutionGeneration 1.Quicklyandwithoutanalysisorcriticismbrainstorm5totensolutions 2.Reneyoursolutionlist.Cansolutionsbeeliminated?Onwhatbasis?Cansolutionsbecombined? Cansolutionsbecombinedasplanaandplanb? 3.Ifyouspeciedyourproblemasadisagreement,howdoyoursolutionsresolvethedisagreement?Can younegotiateinterestsoverpositions?Whatifyourplanofactiondoesn'twork? 4.Ifyouformulatedyourproblemasavalueconict,howdoyoursolutionsresolvethisconict?By integratingtheconictingvalues?Bypartiallyrealizingthemthroughavaluecompromise?Bytrading onevalueoforanother? PartThree:SolutionTesting

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34 CHAPTER2.ETHICALDECISION-MAKING 1.Constructasolutionevaluationmatrixtocomparetwotothreesolutionalternatives. 2.Chooseabadsolutionandthencomparetoitthetwostrongestsolutionsyouhave. 3.Besuretoavoidthepitfallsdescribedaboveandsetupeachtestcarefully. PartFour:SolutionImplementation 1.Developanimplementationplanforyourbestsolution.Thisplanshouldanticipateobstaclesandoer meansforovercomingthem. 2.Prepareafeasibilitytableoutliningtheseissuesusingthetablepresentedabove. 3.Rememberthateachofthesefeasibilityconstraintsisnegotiableandthereforeexible.Ifyouchoose tosetasideafeasibilityconstraintthenyouneedtooutlinehowyouwouldnegotiatetheextensionof thatconstraint. Decision-MakingPresentation Thisisanunsupportedmediatype.Toview,pleaseseehttp://cnx.org/content/m13757/latest/Decision MakingManualV3.ppt Figure2.1: Clickingonthisgurewillallowyoutoopenapresentationdesignedtointroduceproblem solvinginethicsasanalogoustothatindesign,summarizetheconceptofasocio-technicalsystem,and provideanorientationinthefourstagesofproblemsolving.ThispresentationwasgivenFebruary28, 2008atUPRMforADMI6005students,SpecialTopicsinResearchEthics. DecisionMakingWorksheet Thisisanunsupportedmediatype.Toview,pleaseseehttp://cnx.org/content/m13757/latest/Decision MakingWorksheet.docx Figure2.2: Thisexerciseisdesignedtogiveyoupracticewiththethreeframeworksdescribedinthis module.Itisbasedonthecase,"WheninAguadilla." 2.3Values-BasedDecision-MakinginGilbaneGold 3 2.3.1ModuleIntroduction TheFederalSentencingGuidelinesintroducedintheearly1990'shavetransformedthewaybusinesses respondtoethics.Formerly,corporationsreliedoncompliancemeasureswhichbecameactivatedonlyafter wrongdoingoccurred.Violationsoccurredandcomplianceresponsesconsistedofidentifyingandpunishing 3 Thiscontentisavailableonlineat.

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35 thoseresponsible.ButtheFederalSentencingGuidelinespushcorporationstowardamuchmoreproactive stance;ifacorporationisfoundguiltyoflawviolation,itspunishmentisdeterminedbythemeasures thecorporationhasalreadyimplementedtopreventthecrimeaswellasthemeasuresthecorporation developsinresponsetothecrimetomitigateitandpreventfuturereoccurrences.Workingtopreventcrime, acceptingresponsibilityforcrimesthatcouldnotbeprevented,andlearningfrompastmistakesallserveto agcorporateintention.Inotherwords,corporationscandemonstrategoodintentionsbydocumenting measuresimplementedtopreventcrimeandbyshowingaresponsiveadjustmenttocrimestheycouldnot prevent. Itisinthisnewcorporatecontextthatcorporationshavebeguntoadoptvalues-baseddecisionmaking. Insteadofsettingforthrulesthatoutlineminimumlevelsofforcedcompliance,theynowaskemployees toworkbeyondthemoralminimumandseekoccasionstoactuallyrealizeorenhancemoralvalue.Inthe decisionmakingcontext,employeesask:WhatcanIdotomakethisamorejustenvironment? HowdoIgoaboutrespectingmyco-workers?andHowdoIidentifyandcarryoutmyresponsibilities, includingsocialresponsibilities,inmydailywork?Thesequestions,representinginstancesofvalues-based decision-making,servetochangeyourfocusfromgettingbywiththemoralminimumtorealigningyour moralandworkplaceeortstowardmoralexcellence. Inthismoduleyouwilllearnaboutethicalleadership,ethicaldecision-making,corporatesocialresponsibility,andcorporategovernance.Theoccasionforthislearningistheclassicalethicsvideo,GilbaneGold. Youwillviewthevideoandpracticevalues-baseddecision-makingfromwithintheroleofDavidJackson, theyoungengineeraroundwhomthenarrativeofthisvideoisbuilt.Togetyoustarted,youwillusethe valuesportrayedintheUniversityofPuertoRico'sCollegeofBusinessAdministrationStatementofValues.Modulesectionswilloutlinewhatyouwillbedoingandwhatyouneedtoknowaswellasprovide opportunitiesforyoutoreectonwhatyouhavelearneduponcompletionofthismodule. 2.3.2Whatyouneedtoknow... Value-BasedDecisionMaking Invalue-baseddecision-making,youusemoralvaluestoposeproblemsandsolutions.Forexample,problems canbeposedasconictsbetweenvaluesmoralvs.non-moralormoralvs.moral,lackofinformation abouthowtorealizeormaintainvalues,andsituationswherekeyvaluesneedtobedefended.Thepointin value-baseddecisionmakingistodesignsolutionsthatrealizethemaximumnumberofvaluespossibleby integratingthem,drawingsuccessfulcompromisesbetweenthem,orchoosingtoactuponthemostimportant valuegiventhesituation.Inthismodule,youwillbeworkingfromwithinDavidJackson'spositiontodesign asolutiontohisproblemthatbestrespondstothevalueneedsinhissituation. GilbaneGold YouareDavidJacksonayoungengineerworkingforthecomputermanufacturer,Z-Corp.Yourstudies intothewasteemissionsofZ-Corpindicatethattheyarealittlebitovertheboarderlineofwhatis legallyacceptableintheGilbanemetropolitanarea.Twofurtherissuescomplicateyourndings. Gilbanedrawssludgefromtheriverandsellsittofarmerstocovertheirelds;ifheavymetalsare presentinthissludge,theywillbepassedontoconsumerswhoeatthevegetablesgrownineldscovered withthis"GilbaneGold."ThiscouldproducelongandshorttermhealthproblemsfortheGilbane community.Z-CorphasjustenteredintoanewagreementwithaJapanesecompanythatwill produceave-foldincreaseindemandfortheirproduct.Whilethiswillalsoincreasetheiremissions ofheavymetalsintothewatersupplybythesameamount,itwillnotviolatecityregulationsbecause theseregulationsonlytakeintoaccounttheconcentrationofheavymetalsineachdischarge.Z-Corp merelydilutestheheavymetalsdumpedintoGilbane'swatersupplytoreectacceptableconcentration levels.DavidJacksonholdsthatthisloopholeinenvironmentalregulationscouldendangerthehealth andsafetyofthecitizensintheGilbane.Buthehastroublesharingtheseconcernswithhissupervisors, DianeCollins,PhilPort,andFrankSeeders. DavidyouhasmadeseveraleortstomakehisconcernsknowntoZ-Corpocials,includingPhil Port,FrankSeeders,andDianeCollins.Theirresponseisthatspendingmoneyonincreasedpollution

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36 CHAPTER2.ETHICALDECISION-MAKING controlmeasureswillthreatenZ-Corp'sthinprotmargin.Dianeputstheissueevenmorestrongly whenshesaysthatZ-Corp'ssocialresponsibilityistoprovidetheGilbanecommunitywithgoodjobs andtoobeylocalenvironmentalregulations.Ifthecitywantsstricterregulations,then they needto passthemthroughthelegislativeprocess.Buttakingproactivemeasuresonthiscountgoesfarbeyond Z-Corp'sethicalandsocialresponsibilitiestotheGilbanecommunity. YouareDavid.Whatvaluesdoyouseeinvolvedinthissituation?Designasolutionthatbestpreserves andintegratesthem. PartialListofCharacters 1. DavidJackson :YoungengineerwhosemeasurementsshowthatZ-Corp'semissionsintotheGilbane watersupplybarelyexceedlocalstandards.Heexpressesconcerntohissupervisorsontheimpacton thesafetyandhealthofthelocalcommunity. 2. DianeCollins :David'ssupervisorwhoisunderstrongpressuretomaintaintheZ-CorpGilbane plant'sthinprotlevels.Sheisconcernedaboutenvironmentresponsibilitybutdenesitasstaying withinthelimitsofthelawasputforthbytheGilbanecommunity.Gilbanesetsforthelawand Z-Corpisresponsibleforstayingwithinitslimits.Ifthelawisinadequate,thenGilbaneisresponsible forchangingit. 3. TomRichards :EnvironmentalengineerhiredtomeasureZ-Corp'sheavymetalemissionsintothe Gilbanewatersupply.RichardswarnsDavidthathebearsultimateresponsibilityforZ-Corp'semisions intotheGilbanewatersupply. 4. PhilPort :Z-Corp'socialinchargeofthecompany'scompliancewithenvironmentalregulations. HecallsDavidduringtheTVdocumentarytoclaimthatitportrayshimasan"environmentalrapist." 5. FrankSeeders :FrankisthepointmanonhelpingtogearupZ-Corp'soperationstomeetthe newdemandcreatedbytheirrecentventurewithaJapanesecompany.HeasksDavidtohelphim streamlineZ-Corp'smanufacturingprocess. 6. MariaRenato :LocalreporterwhoproducesdocumentaryexposingZ-Corp'spotentiallydangerous emissions.ShehaspreparedherreportbasedondocumentationprovidedbyDavidJackson. StatementofValuesList 1. Justice/Fairness :Beimpartial,objectiveandrefrainfromdiscriminationorpreferentialtreatment intheadministrationofrulesandpoliciesandinitsdealingswithstudents,faculty,sta,administration,andotherstakeholders. 2. Responsibility :Recognizeandfulllitsobligationstoitsconstituentsbycaringfortheiressential interests,byhonoringitscommitments,andbybalancingandintegratingconictinginterests.As responsibleagents,thefaculty,employees,andstudentsofthecollegeofbusinessAdministrationare committedtothepursuitofexcellence,devotiontothecommunity'swelfare,andprofessionalism. 3. Respect :Acknowledgetheinherentdignitypresentinitsdiverseconstituentsbyrecognizingand respectingtheirfundamentalrights.theseincluderightstoproperty,privacy,freeexchangeofideas, academicfreedom,dueprocess,andmeaningfulparticipationindecisionmakingandpolicyformation. 4. Trust :Recognizethattrustsolidiescommunitiesbycreatinganenvironmentwhereeachcanexpectethicallyjustiablebehaviorfromallothers.Whiletrustistolerantofandeventhrivesinan environmentofdiversity,italsomustoperatewithintheparameterssetbyestablishedpersonaland communitystandards. 5. Integrity :Promoteintegrityascharacterizedbysincerity,honesty,authenticity,andthepursuitof excellence.Integrityshallpermeateandcolorallitsdecisions,actionsandexpressions.Itismost clearlyexhibitedinintellectualandpersonalhonestyinlearning,teaching,mentoringandresearch. 2.3.3Whatyouaregoingtodo... 1.WatchthevideoandmakesureyouunderstandthesituationfromDavid'spointofview.Attheend Davidmakeshisdecision.Youshouldbeopentothepossibilitythattheremaybeotherdecisionsthat

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37 canbetakeninthissituationthatmaybebetterfromamoralpointofview. 2.WhatisDavid'sproblem?Tryformulatingitintermsofvaluesthatareunderthreatandconicts betweenvalues.Youmayevenwanttoidentifyinformationneedsrelevanttosolvingthisproblem? 3.WhatsolutionsdodierentindividualsinthevideorecommendtoDavid?Howgoodaretheyinterms ofrealizingorprotectingkeymoralvalues?DoesDavidandthevideopaysucientattentionto thesedierentrecommendations?Doeshemissbettervalue-integrativesolutions? 4.Makeyourdecision.Defenditintermsofkeymoralvalues.Usethevaluesprovidedaboveinthe UPRMCollegeofBusinessAdministration'sStatementofValues. 5.Givespecialattentiontothelinksprovidedinthismodule.AretheresolutionstoDavid'sproblem notmentionedinthevideo? 2.3.4Conclusion Moreandmore,businessethicsisconcentratingonfourgeneralthemesorissues.Inthissection,youwill usethevideo,GilbaneGold,toreectonthesedierentthemes.Considerthisyourrstincursioninto businessethics.Mostimportant,rememberthatethicsformsacentralpartofeverydaybusinesspractice andisessentialtogoodbusiness. EthicalLeadership:IntermsofthevaluesmentionedintheSOV,discussandratethefollowing charactersintermsoftheleadershipskillsandqualitiestheyexhibit: DianeCollins DavidJackson PhilPort TomRichards FrankSeeders SocialResponsibility: DavidremindsDianethatcorporationslikeZ-Corpareresponsibleforthehealthandsafetyimpactsof theiroperations.Dianedisagreesplacingmoreemphasisonfollowingthelawandservingthecommunity bycreatingeconomicopportunityandjobs.Whosetsforthebetterargument?Usingthesepositionsasa springboard,setforthyourownconceptionofcorporatesocialresponsibility. CorporateGovernance: Towardtheendofthevideo,Davidgoestolocalreporter,MariaRenato,andprovidesherwithinside informationonhisandTomRichards'senvironmentalandsafetyconcerns.Wasthisanecessaryaction? DidDavidhaveotheroptionswhichwouldhaveallowedhimtoworkwithinZCorpforaneectiveresponse tohisconcerns?Howdoengineersadvocatewithinfor-protcorporationsforincludingethicalvaluesinto corporatedecisions?Whatdorealworldcorporationsdotorecognizeandrespondtodissentingprofessional opinionsheldbytheiremployees?

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38 CHAPTER2.ETHICALDECISION-MAKING ValuesinGilbaneGoldHandout Thisisanunsupportedmediatype.Toview,pleaseseehttp://cnx.org/content/m15783/latest/Valuesin GilbaneGoldHandout.doc Figure2.3: ThishandoutforstudentsprovidesexercisesbasedonGilbaneGoldthatintroducesthe threeAACSBbusinessethicsthemes:ethicalleadership,ethicaldecision-making,andsocialresponsibility. VirtuesforADMI3405 Thisisanunsupportedmediatype.Toview,pleaseseehttp://cnx.org/content/m15783/latest/Virtuesfor ADMI3405.pptx Figure2.4: Clickingonthislearethevirtuesworkedoutinthepreviousmodule.Usethesetocarry outthevalues-baseddecisionmakingexerciseinGilbaneGold. 2.4Socio-TechnicalSystemsinProfessionalDecisionMaking 4 2.4.1ModuleIntroduction MilagroBeaneldWar JoeMondragonhascreatedquiteastirinMilagro,asmallvillageinNewMexico.Hehasillegallydiverted waterfromtheirrigationditchtohiseldtogrowbeans.AccesstoscarcewaterinNewMexicohascreated sharppoliticalandsocialdisputeswhichhavereachedacrisespointinMilagro.Competingwithtraditional subsistencefarmerslikeJoeistheprotablerecreationindustry.LaddDevine,awealthydeveloper,hasjoined withthestategovernmentinNewMexicotobuildalargerecreationalcenterconsistingofarestaurant,travel lodge,individualcabinsandalavishgolfcourse.Sincethereisnotenoughwatertocoverbothrecreational andagriculturalusesandsinceLaddDevine'sprojectpromiseslargetaxrevenuesandnewjobs,thestate governmenthasfallenbehindhimandhaspromisedtogivetotherecreationalfacilitiesallthewaterit needs.Hence,theproblemcreatedbyMondragon'sillegalact.YouworkforLaddDevine.Hehasasked youtolookintolocaloppositiontotherecreationalfacility.Alongtheselines,youattendthetownmeeting scheduledbyRubyArchuletainthetown'schurch.YouareconcernedaboutCharlieBloom'spresentation andtheimpactitmayhaveonthelocalcommunity.PrepareaSTSanalysistotestBloom'sassertionsand betterprepareLaddDevineforlocaloppositiontohisfacility. IncidentatMorales FredisachemicalengineerhiredbyPhaustCorporationtodesignandmakeoperationalanewchemicalplant forthemanufactureoftheirnewlyredesignedpaintthinner.UndernancialpressurefromtheparentFrench 4 Thiscontentisavailableonlineat.

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39 company,Chemistre,theyhavedecidedtolocatetheirnewplantinMorales,Mexicototakeadvantageof lowercostsandmoreexiblegovernmentregulations.Youarewellonthewaytowarddesigningthisnew plantwhennewscomesfromChemistrethatallbudgetsarebeingcut20%tonanceChemistre'slatest takeoveracquisition.YouareFredandarenowfacedwithaseriesofdicultnancial-engineeringdecisions. ShouldyouholdoutforthemoreexpensiveLutzandLutzcontrolsorusethecheaperonesproduced locally?Shouldyoucontinuewiththecurrentplantsizeorcutplantsizeandcapacitytokeepwithin budgetaryconstraints?Youhavealsobeenmadeawareoftheenvironmentalandhealthrisksassociated withnotliningthewastepondsusedbytheplant.Doyouadvocateliningthepondsornot,thelatterbeing withincomplianceforMexicanenvironmentalandhealthregulations.PrepareaSTSanalysistohelpyou makeandjustifythesedecisions.Makeaseriesofrecommendationstoyoursupervisorsbasedonthisstudy. PuertoRicanProjects Yourcompany,Cogentrix,proposesacogenerationplantthatusescoal,produceselectricity,andcreates steamasaby-productofelectricitygenerationprocess.Becausethesteamcanbesoldtonearbytuna canningplants,yourcompanywishestostudythefeasibilityoflocatingitsplantinornearMayaguez, PuertoRico.Co-generationtechnologyhasbecomeverypopularandusefulinsomeplaces.Carry outaSTSanalysistoidentifypotentialproblems.Makearecommendationtoyourcompany.Ifyour recommendationispositive,discusshowtheplantshouldbemodiedtotintotheMayaguez,Puerto RicoSTS. Yourcompany,SouthernGoldResources,isinterestedinminingdierentregionsincentralPuerto Ricoforcopperandgold.Butyouknowthattwentyyearsearlier,twoproposalsbytwointernational miningcompanieswereturneddownbythePRgovernment.CarryoutaSTSstudytoexaminethe feasibilityofdesigningadierentprojectthatmaybemoreacceptabletolocalgroups.Whatdoesyour STSanalysistellyouaboutsocialandethicalimpacts,nancialpromise,andlikelylocalopposition. Canprotableminingoperationsbedevelopedthatrespecttheconcernsofopposedgroups?Whatis yourrecommendationbasedonyourSTSanalysis? Windmar,acompanythatmanufacturesandoperateswindmillsforelectricitygenerationhasproposed tolocateawindmillfarminalocationadjacenttotheBosqueSecodeGuanica.Theyhaveencountered considerablelocalopposition.CarryoutaSTSanalysistounderstandandclarifythisopposition.Can theconcernsoflocalstakeholdersbeaddressedandthewindmillfarmstillremainprotable?How shouldthewindmillprojectbemodiedtoimproveitschancesofimplementation? 2.4.2ThingstoKnowaboutSTSs WhatisaSocio-TechnicalSystem?STS Asocio-technicalsystem=STSisatooltohelpabusinessanticipateandsuccessfullyresolveinterdisciplinarybusinessproblems."Interdisciplinarybusinessproblems"refertoproblemswherenancialvalues areintertwinedwithtechnical,ethical,social,political,andculturalvalues.Reference:ChuckHu,Good Computing:AVirtueApproachtoComputerEthics,draftmanuscriptforJonesandBartlettPublishers FourThingstoKnowAboutSTSs 1. Socio-TechnicalSystemsarerstandforemostsystems:theircomponentsareinterrelated andinteractsothatachangeinonecomponentoftenproduceschangesintheother componentsandinthesystemasawhole. Bringingaboutgoodchangesandpreventingbad onesrequiresadjustingthedierentelementsinrelationtooneanothertomaintainorstrengthenkey valuesembeddedinthesystem. 2. STShavedierentcomponentswhichinteractwithoneanother. Someofthesearedescribed justbelow.Theyincludebusinessprojects/processes,physicalsurroundings,stakeholders,procedures, lawsandregulations,nancialandmarketsystems,informationsystems,andenvironmentalsystems. TherstpartofaSTSanalysisistoidentifythesecomponentsandfurtherdescribethemsoasto includewhatmakeseachsystemspecialandunique.

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40 CHAPTER2.ETHICALDECISION-MAKING 3. Socio-Technicalsystemsembodyvalueswhichcanbelocatedinthesystem'scomponents andthroughoutthesystemasawhole. aThesevaluesmaybevulnerable,underattack,orat risk.Forexample,thewayacompanystoresemployeedatamakesmakeitvulnerabletounauthorized access.Thiswouldendangerthevalueofprivacy.bThesevaluesmaycomeintoconictwithone anothersothatresolvingtheseconictsmayrequireadjustingtheentiresystem.cThesystemand itscomponentsmaychangeinsuchawayastoproducesignicantrisksorharms. 4.STSschange,andthischangedisplaysa trajectory orpath.Frequentlythistrajectoryisbrought aboutbythepowerexercisedbyentrenchedinterests.LaddDevine,asawealthybusinessperson,is abletoexerciseconsiderableoverstatepoliciesregardingthedistributionofwater.Hisexerciseofthis powersetsthecommunityofMilagroonatrajectoryofchangeawayfromagricultureandmoretoward therecreationindustry. 2.4.3Constituents 1. Technology includinghardware,software,designs,prototypes,products,orservices.Examplesof engineeringprojectsinPuertoRicoareprovidedinthePRSTSgrid.IntheTherac-25case,the hardwareisthedoublepassaccelerator,inHughestheanalogue-to-digitalintegratedcircuits,andin MachadotheUNIXsoftwaresystemandthecomputersintheUCIlaboratoriesthatareconguredby thissystem.Becausetechnologiesarestructuredtocarryouttheintentionsoftheirdesigners,they embedvalues. 2. PhysicalSurroundings .Physicalsurroundingscanalsoembedvalues.Doors,bytheirweight, strength,material,size,andattachmentssuchaslockscanpromotevaluessuchassecurity.Physical surroundingspromote,maintain,ordiminishothervaluesinthattheycanpermitordenyaccess, facilitateorhinderspeech,promoteprivacyortransparency,isolateordisseminateproperty,and promoteequalityorprivilege. 3. People,Groups,andRoles .ThiscomponentofaSTShasbeenthefocusoftraditionalstakeholder analyses.Astakeholderisanygrouporindividualwhichhasanessentialorvitalinterestinthe situationathand.Anydecisionmadeordesignimplementedcanenhance,maintain,ordiminishthis interestorstake.SoifweconsiderFrankSaiaadecision-makerintheHughescase,thentheHughes corporation,theU.S.AirForce,theHughessub-groupthatrunsenvironmentaltestsonintegrated circuits,andHughescustomerswouldallbeconsideredstakeholders. 4. Procedures .Howdoesacompanydealwithdissentingprofessionalopinionsmanifestedbyemployees? Whatkindofdueprocessproceduresareinplaceinyouruniversityforcontestingwhatyouconsiderto beunfairgrades?Howdoresearchersgoaboutgettingtheinformedconsentofthosewhowillbethe subjectsoftheirexperiments?Proceduressetforthendswhichembodyvaluesandlegitimizemeans whichalsoembodyvalues. 5. Laws,statutes,andregulations allformessentialpartsofSTSs.Thiswouldincludeengineering codesaswellasthestateorprofessionalorganizationschargedwithdevelopingandenforcingthem 6.Thenalcategorycanbeformulatedinavarietyofwaysdependingonthespeciccontext.Computing systemsgather,store,anddisseminateinformation.Hence,thiscouldbelabeled dataanddata storagestructure .Considerusingdataminingsoftwaretocollectinformationandencryptedand isolatedlesforstoringitsecurely.Inengineering,thismightincludetheinformationgeneratedas adeviceisimplemented,operates,andisdecommissioned.Thisinformation,iffedbackintorening thetechnologyorimprovingthedesignofnextgenerationprototypes,couldleadtouncoveringand preventingpotentialaccidents.Electricalengineershaveelectedtorenamethiscategory,inthecontext ofpowersystems,ratesandratestructures. 2.4.4 EthicsofSTSResearch

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41 RightofFreeandInformedConsent :Thisistherightofparticipantsinaresearchprojectto knowtheharmsandbenetsoftheresearch.Italsoincludestherightnottobeforcedtoparticipate inaprojectbut,instead,oerorwithdrawvoluntarilytheirconsenttoparticipate.Whenpreparing aSTSanalysis,itismandatorytotakeactivemeasurestofacilitateparticipants'sfreeandinformed consent. AnySTSanalysismusttakeactivemeasurestorecognizepotentialharmsandminimizeoreliminate them.Thisisespeciallythecaseregardingtheinformationthatmaybecollectedaboutdierent individuals.Specialprovisionsmustbetakentomaintaincondentialityincollecting,storing,and usingsensitiveinformation.Thisincludescarefuldisposalofinformationafteritisnolongerneeded. 2.4.5ParticipatoryObservation Aswesaidabove,asocio-technicalsystemSTSisanintellectualtooltohelpusrecognizepatterns inthewaytechnologyisusedandproduced.Constructingthesetoolsrequirescombiningmodesof analysisthatareordinarilykeptseparate.BecauseSTSsembedvalues,theyarenormative.These valuescanhelptochartouttrajectoriesofchangeanddevelopmentbecausetheyoutlinevaluesthat thesystemneedstorealize,maintain,orevenenhance.Inthisway,thestudyofSTSsisnormativeand alegitimateinquiryforpracticalandprofessionalethics.Ontheotherhand,STSanalysisrequires ndingoutwhatisalreadythereanddescribingit.SoSTSanalysisisdescriptiveaswell.Inthis textbox,wewilltalkbrieyaboutthedescriptiveorempiricalcomponentsofSTSanalysis.This materialistakenfromthedraftmanuscriptofGoodComputing:AVirtueApproachtoComputer EthicsandhasbeendevelopedbyChuckHu. Interviews :Semi-StructuredandStructuredInterviewsconductedwiththosefamiliarwithagiven STSprovideanexcellentsourceofinformationontheconstituentsofagivenSTSandhowtheset togetherintoaninterrelatedwhole.Forexample,theSTSgridonpowersystemswasputtogether byexpertsinthisareawhowereabletoprovidedetailedinformationonpowerratesandprotocols, softwareusedtodistributeenergythroughthegridlines,anddierentsourcesrepresentingbothhard andsofttechnologiesofpowergeneration. FieldObservation :ThoseconstructingaSTSanalysisgodirectlytothesystemanddescribeitin itsday-to-dayoperation.Twobooksprovidemoreinformationonthetypesandtechniquesofeld observation:1.DavidM.Fetterman,Ethnography:2ndEdition,AppliedSocialResearchMethods Series,Vol17.London,UK.:SagePublishers,1998and2.JamesP.Spradley,ParticipantObservation. NewYork,Harcourt,1980.Thedatacollectedinthismethodcanalsobeusedtoconstructday-inthe-lifescenariosthatdescribehowagiventechnologyfunctionsonatypicalday.Thesescenarios areusefulforuncoveringvalueconictsandlatentaccidents.SeeJamesT.Reason,HumanError, Cambridge,UK.:CambridgeUniversityPress,1990forinformationonlatentaccidents,howtheyare detected,andhowtheyareprevented. Questionnaires :Questionnairesareusefulforgatheringgeneralinformationfromlargenumbersof peopleaboutaSTS.Constructinggoodquestionnairesisadicultprocessthatrequirespatienceas wellastrialanderror.Tryingoutquestionsonclassmatesandfriendsisthebestwaytoidentify unclearormisleadingquestions.Avoidingcomplex,overlyleading,andloadedquestionsrepresenta fewofthechallengesfacingthosewhowouldconstructusefulquestionnaires. Archivalandphysicaltracemethods :Lookingatusermanualsprovidesinsightintohowasystem hasbeendesignedandhowitworks.Studyingwhichkeysareworndownoncomputerkeyboards providesinformationonthekindofworkbeingdone.Comparinghowasystemisintendedtowork withhowitisinfactbeingusedisalsoilluminating,especiallywhenoneisinterestedintracingthe trajectoryofaSTS.Workingwitharchivalandphysicaltracemethodsrequirescriticalthoughtand detectivework. Noneoftheabovemethods,takeninisolation,providescompleteinformationonaSTS.Triangulation representsthebestwaytoverifydataandtoreconcileconictingdata.Herewegenerateevidenceand datafromavarietyofsourcesthencompareandcollate.Claimsmadebyintervieweesthatmatchdirect

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42 CHAPTER2.ETHICALDECISION-MAKING on-siteobservationsconrmoneanotherandindicatedatastrengthandveracity.Evidencecollected throughquestionnairesthatconictswithevidencegatheredthrougharchivalresearchhighlightsthe needfordetectiveworkthatinvolvesfurtherobservation,comparison,interpretation,andcriticism. DevelopingSTSanalysesbearsastrikingresemblancetorequirementsanalysis.Inbothcases,data iscollected,rened,andputtogethertoprovideananalysis.Akeytosuccessinbothistheproper combinationofnormativeanddescriptiveprocedures. 2.4.6Exercise1:MakeaTablethatDescribestheSocio-TechnicalSystem Directions:IdentifytheconstituentsoftheSocio-TechnicalSystem.Usethebroadcategories topromptyou. 1.Whatarethemajorhardwareandsoftwarecomponents? 2.Describethephysicalsurroundings. 3.Whatarethemajorpeoplegroupsorrolesinvolved? 4.DescribeanyproceduresintheSTS. 5.Itemizethelaws,statutes,andregulations. 6.DescribethedataanddatastructuresinyourSTS.Usethetwotemplatesbelowthatllinthistable forenergygenerationsystemsandforengineeringethicsinPuertoRico. SocioTechnicalSystemTable Hardware Software Physical Surroundings People, Groups, Roles Procedures Laws Data andData Structures Table2.8 2.4.7Exercise2:IdentifyValueMismatchesintheSTS Directions:identifythevaluesembeddedintheSTS.Usethetablebelowtosuggestpossible valuesaswellasthelocationsinwhichtheyareembedded. 1. Integrity :"Integrityreferstotheattributesexhibitedbythosewhohaveincorporatedmoralvalues intothecoreoftheiridentities.Suchintegrationisevidentthroughthewayvaluesdenotingmoralexcellencepermeateandcolortheirexpressions,actions,anddecisions.Characteristicsincludewholeness, stability,sincerity,honestytoselfandothers,suthenticity,andstrivingforexcellence. 2. Justice :Justiceasfairnessfocusesongivingeachindividualwhatishisorherdue.Threesensesofjusticearetheproper,fair,andproportionateuseofsanctions,punishmentsanddisciplinarymeasures toenforceethicalstandardsretributivejustice,theobjective,dispassionate,andimpartialdistributionofthebenetsandburdensassociatedwithasystemofsocialcooperationdistributivejustice, anobjectivelydeterminedandfairlyadministeredcompensationforharmsandinjusticessuered byindividualscompensatoryjustice,andafairandimpartialformulationandadministrationof ruleswithinagivengroup.

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43 3. Respect :Respectingpersonsliesessentiallyinrecognizingtheircapacitytomakeandexecutedecisions aswellastosetforththeirownendsandgoalsandintegratethemintolifeplansandidentities.Respects underliesrightsessentialtoautonomysuchasproperty,privacy,dueprocess,freespeech,andfreeand informedconsent. 4. Responsibility :MoralResponsibilityliesintheabilitytoidentifythemorallysalientfeaturesofa situationandthendevelopactionsandattitudesthatanswertothesefeaturesbybringingintoplay moralandprofessionalvalues.Responsibilityincludesseveralsenses:individualsareresponsiblein thattheycanbecalledupontoanswerforwhattheydo;individualshaveresponsibilitiesbecause ofcommitmentstheymaketocarryingoutthetasksassociatedwithsocialandprofessionalroles; responsibilityalsoreferstothewayinwhichonecarriesoutone'sobligationsThiscanrangefrom indierencetoothersthatleadstominimaleorttohighcareforothersandcommitmenttoexcellence 5. FreeSpeech :FreeSpeechisnotanunlimitedright.PerhapsthebestplacetostartisMill'sargument in OnLiberty .Completelytrue,partiallytrue,andevenfalsespeechcannotbecensored,thelatter becausecensoringfalsespeechdeprivesthetruthoftheopportunitytoclarifyandinvigorateitselfby defendingitself.Millonlyallowsforalimitationoffreespeechbasedonharmtothoseatwhichthe speechisdirected.Speechthatharmsanindividualdefamatoryspeechorshouting"re"inacrowded theatrecanbecensoredoutofaconsiderationofself-defense,notofthespeaker,butofthosewho standtobeharmedbythespeech. 6. Privacy :Ifanitemofinformationisirrelevanttotherelationbetweenthepersonwhohastheinformationandthepersonshoseeksit,thenthatinformationisprivate.Privacyisnecessarytoautonomy becausecontroloverinformationaboutoneselfhelpsonetostructureandshapeone'srelationswith others. 7. Property :AccordingtoLocke,weownaspropertythatwithwhichwehavemixedourlabor.Thomas Jeersonarguesthatideasareproblematicaspropertybecause,bytheirverynature,theyareshared oncetheyareexpressed.Theyarealsononrivalrousandnonexclusive. DrawingProblemsfromEmbeddedValues ChangesinaSTSe.g.,theintegrationofanewtechnologyproducevaluemismatchesasthevalues inthenewcomponentconictwiththosealreadyexistingwithintheSTS.Givinglaptopstochildren producesaconictbetweenchildren'ssafetyrequirementsandthesafetyfeaturesembeddedinlaptops asdesignedforadults. ChangeswithinaSTScanexaggerateexistingvalueconicts.Usingdigitalizedtextbooksonlaptop computersmagniestheexistingconictconcerningintellectualproperty;thebalancebetweencopyrightsandeducationaldisseminationisdisruptedbytheeaseofcopyinganddistributingdigitalized media. ChangesinSTScanalsoleadtolongtermharms.Givinglaptopstochildrenthreatensenvironmental harmasthelaptopsbecomeobsoleteandneedtobesafelydisposedof.

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44 CHAPTER2.ETHICALDECISION-MAKING ValuesEmbeddedinSTS Hardware Software Physical Surroundings People, Groups, Roles Procedures Laws Data andData Structures Integrity Justice Respect Responsibility for Safety Free Speech Privacy Intellectual Property Table2.9 2.4.8UsingSocio-TechnicalSystemGridsforProblemSpecication Theactivityofframingisacentralcomponentofmoralimagination.Framingasituationstructuresits elementsintoameaningfulwhole.Thisactivityofstructuringsuggestsbothproblemsandsolutions.Framing asituationindierentwaysoersalternativeproblemspecicationsandsolutionpossibilities.Sinceskillful framingrequirespractice,thispartofthemodulesuggestshowsocio-technicalsystemtablescanhelpprovide dierentframesforproblemspecicationandsolutiongeneration. DierentProblemFrames TechnicalFrame :Engineersframeproblemstechnically,thatis,theyspecifyaproblemasraisinga technicalissueandrequiringatechnicaldesignforitsresolution.Forexample,intheSTSgridappended below,theBurgerMancorporationwishestomakeitsfoodpreparationareasmoresafe.Framingthis technically,itwouldbenecessarytochangethedesignsofovenssotheyaremoreaccident-proof. PhysicalFrame :HowcantheBurgerMancorporationredesignitsrestaurantsasphysicalfacilities tomakethemmoreaccessible?Onewayistochangetheaccesspointsby,say,designingrampsto makerestaurantswheelchairaccessible.Framingthisasaphysicalproblemsuggestssolutionsbased onchangingthephysicalstructureandarrangementoftheBurgerManSTS. SocialFrame :BurgerManasacorporationhasstakeholders,thatis,groupsorindividualswhohave anessentialinterestatplayinrelationtothecorporation.Forexample,framingtheproblemofmaking BurgerManmoresafeasasocialproblemmightsuggestthesolutionofintegratingworkplacesafety intoworkertrainingprogramsandconductingregularsafetyauditstoidentifyembeddedrisks. FinancialorMarket-BasedFrames :BurgerManisafor-protcorporationwhichimpliesthat ithascertainnancialresponsibilities.Consequently,BurgerManshouldbeconcernedwithhowto providesafe,child-proofchairsandtablesthatdonotcutundulyintocorporateprots.Butlikethe legalperspective,itisnecessarytoconductethicalandsocialframingactivitiestocompensateforthe one-sidednessofnancialframing. ManagerialFrame :Manytimesethicalproblemscanbeframedasmanagerialproblemswherethe solutionliesinchangingmanagerialstructures,reportingrelations,andoperatingprocedures.For example,BurgerManmaydevelopaspecicprocedurewhenacashiernishesashiftandturnsover

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45 thecashregisteranditscontentstoanothercashier.BurgerManmaydevelopcleaningprocedures androutinestominimizethepossibilityofservingcontaminatedorspoiledfoodtocustomers. LegalFrame :BurgerManmaychoosetoframeitsenvironmentalresponsibilitiesintodeveloping eectiveproceduresforcomplyingwithOSHAAandEPAregulations.Framingaproblemlegally certainlyhelpstoidentifyeectiveandnecessarycoursesofaction.But,becausetheethicalandsocial cannotbereducedtothelegal,itisnecessarytoapplyotherframestouncoveradditionalrisksnot suggestedbythelegalframing. EnvironmentalFraming :Finally,howdoesBurgerManlookfromtheenvironmentalstandpoint? Doesitconsiderenvironmentalvalueenvironmentalhealth,safety,andintegrityasmerelyaside constrainttobeaddressedonlyinsofarasitinterfereswithrealizingsupposedlymoreimportantvalues suchasnancialvalues?Isitavaluetobetradedowithothervalues?Forexample,BurgerMan maydestroythelocalenvironmentbycuttingdowntreestomakeroomforitslatestrestaurantbut itosetsthisdestructionthroughitsprogramofplantingnewtreesinPuertoRicantropicalrain forests.Framingaproblemasanenvironmentalproblemputstheenvironmentrstandsetsasagoal theintegrationofenvironmentalvalueswithothervaluessuchasworkersafetyandcorporateprots. BurgerManSocio-TechnicalSystemTable Thismediaobjectisadownloadablele.Pleaseviewordownloaditat Figure2.5: ClickingonthisgurewillopenasaWordleaSTStablebasedonthectionalcorporation, BurgerMan.BelowarealistofproblemssuggestedbytheSTSanalysis. 2.4.9MediaFileUplinks ThismoduleconsistsoftwoattachedMediaFiles.TherstleprovidesbackgroundinformationonSTSs. ThesecondleprovidestwosampleSTSgridsortables.ThesegridswillhelpyoutodevelopspecicSTSs toanalyzecasesinengineering,business,andcomputerethicswithouthavingtoconstructacompletelynew STSforeachcase.Instead,usingthetwotablesastemplates,youwillbeabletozeroinontheSTSthat isuniquetothesituationposedbythecase.Thismodulealsopresentsbackgroundconstraintstoproblemsolvinginengineering,business,andcomputerethics.Theseconstraintsdonotdierabsolutelyfromthe constituentsofSTSs.However,theyposeunderlyingconstraintsthatoutlinethefeasibilityofanethical decisionandhelpustoidentifyobstaclesthatmayarisewhenweattempttoimplementethicaldecisions. Socio-TechnicalSystems Thismediaobjectisadownloadablele.Pleaseviewordownloaditat Figure2.6: Socio-TechnicalSystems:Constituents,Values,Problems,andConstraints.

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46 CHAPTER2.ETHICALDECISION-MAKING STSTemplates Thismediaobjectisadownloadablele.Pleaseviewordownloaditat Figure2.7: TwoSTSs,PowerEngineeringandthePuertoRicanContextofEngineeringPractice. References 1.Brincat,CynthiaA.andWike,VictoriaS.MoralityandtheProfessionalLife:ValuesatWork. UpperSaddleRiver,NJ:PrenticeHall. 2.Hu,ChuckandJawer,Bruce,"TowardaDesignEthicsforComputingProfessionalsin SocialIssues inComputing:PuttingComputinginitsPlace ,Hu,ChuckandFinholt,ThomasEds. NewYork:McGraw-Hill,Inc. 3.Solomon,RobertC.99ABetterWaytoThinkAboutBusiness:HowPersonalINtgrityLeadsto CorporateSuccess.Oxford,UK:OxfordUniversityPress. 4.Wike,VictoriaS."ProfessionalEngineeringEthicsBahavior:AValues-basedApproach," Proceedingsofthe2001AmericanSocietyforEngineeringEducationAnnualConferenceand Exposition ,Session2461. BibliographicalInformationonPowerSTS 1.AcceptableEvidence:ScienceandValuesinRiskManagement,editedbyDeborahG.Mayoand RachelleD.Hollander.London,UK:OxfordUniversityPress,1991. 2.K.S.Shrader-Frechette.EthicsandEnergyinEarthbound:NewIntroductoryEssaysinEnvironmentalEthics,1stEdition,editedbyTomRegan.NY,NY:RandomHouse,1984. 3.NancyG.Leveson.Safeware:SystemSafetyandComputers.NY,NY:Addison-WesleyPublishing Company,1995. 4.CharlesPerrow.NormalAccidents:LivingwithHighRiskTechnologies.NorthAmerica,BasicBooks, 1984. 5.MalcolmGladwell.BlowupinTheNewYorker,January22,1996:32-36. 6.JamesReason.HumanError.Cambridge,UK:CambridgeUniversityPress.1990. 7.MarkSago.TheEconomyoftheEarth:Philosophy,Law,andtheEnvironment.Cambridge,UK: CambridgeUniversityPress,1988.

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Chapter3 CSRCorporateSocialResponsibility 3.1AShortHistoryoftheCorporation 1 note: WordVersionofthisTemplate Thisisanunsupportedmediatype.Toview,pleaseseehttp://cnx.org/content/m17314/latest/EACTK STDTEMPLATE.doc Figure3.1: Thisisanexampleofanembeddedlink.Goto"Files"tabtodeletethisleandreplace itwithyourownles. 3.1.1Introduction Inthismoduleyouwilllearnaboutthehistoryofcorporations.Antecedantsofthemoderncorporation canbefoundintheMiddleAges,theRenaissance,andintheIndustrialRevolutioninGreatBritainand theUnitedStates.Corporationshaveevolvedintotheirpresentformasthesynthesisofdiscretesolutions tospecichistoricalproblemsthathaveariseninthepracticeofbusiness.Thismodulehasbeendesigned forcoursesinbusiness,society,andgovernment,businessethics,corporategovernance,and4 corporatesocialresponsibility. 3.1.2Whatyouneedtoknow ::: 3.1.2.1TheHistoryoftheCorporation Thishistoricalprocesshasproducedvefunctionsthatcharacterizethemoderncorporation. Corporationshaveemergedas... 1 Thiscontentisavailableonlineat. 47

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48 CHAPTER3.CSRCORPORATESOCIALRESPONSIBILITY 1."Passivedevices"thatholdproperty 2.Structuresdesignedtoexertmonopolycontroloverandregulateadomainofspecializedknowledge andskill 3.Meansdesignedtopoolcapitalandresourcesincludinghumanresources 4.Alegalshieldthatprotectsownersandinvestorsfromliabilityandhelpstospreadanddistribute nancial,moral,andlegalrisk 5.Organizationaldecision-makingstructuresthatsubordinateandsynthesizetheactionsofhumanagents tobringaboutcollectivegoalssuchasbuildingarailroad,designingandmanufacturingautomobiles, andpursuinglegitimatebusinessventures. 3.1.2.1.1PassiveDevicesthatholdproperty Whentheabbotofamedievalmonasterydied,publicocialshaddicultydeterminingtowhomitsproperty, wealth,andresourcespassed.Whilethisishardtoconceptualizefromamodernstandpoint,duringthe MiddleAges,nolegaldistinctioncouldbemadebetweenmanagingpropertyownedbyothers, exercisingstewardshipoverpropertyownedbyothers,andowningproperty.Moreover,theconceptand practiceofowningpropertyiscomplex."Property"initsmodernsensehasbeenspelledoutasabundle ofdistinctrightsincluding"therighttopossess,control,use,benetfrom,disposeofandexcludeothers fromtheproperty."DesJardins:37Thesedistinctrightsarenotgivenasentailmentsofanaturalconcept ofpropertybutrepresentlegallyendowedcapacitiesdesignedtorespondtospecicpracticalproblems.So, toreturntotheproblemcreatedbythedeathoftheabbot,alegalentitycalledthechurchwascreated andendowedwiththeoneofthebundledrightsaccompanyingthenotionofproperty,namely,therightto possessandholdpropertyStone1974:11 3.1.2.1.2Structuresthatexertmonopolycontrolandregulateadomainofspecialized ThosefamiliarwithEuropeanhistoryknowthattheuniversitycamefromstudentguilds.Studentsbanded togethertohirenotedscholarswillingtoteachtheirresearch.Otherguildswereformedaroundpractical occupationsasbutcheringorshoemaking.Eventually,guildsevolvedtoaddressaseriesofpracticalproblems: howtoeducateindividualsconcerningtheskillsandknowledgerequiredbythepractice,howto identifythoseresponsiblefortheimproperpracticeofthecraft,howtocontrolwhocouldandcould notparticipateinandprotfromthecraft,andhowtoregulatethecrafttopromotetheinterestsof itspractitionersanditsbeneciariesorclients.Guildsbecameresponsibleforcontrollingtheprivilegesof atrade,establishingrulesandstandardsofpractice,andholdingcourtstoadjudicategrievancesbetween participants.Stone:11-13 3.1.2.1.3Asetofmeansspeciallydesignedtopoolcapitalandresourcesincludinghuman resources. Asbusinessventuresbecamemoreambitious,theirsuccessfulexecutionrequiredraisingconsiderablefunds andcapitalalongwiththecoordinationoftheactivitiesofdiversehumanagents.Organizationalstructures werecreatedslowlyovertimetoraisemoney,acquirecapital,andmanagethesecomplexventures.This includedcreatingrolesthatwerecoordinatedthroughcomplexorganizationalsystems.Thedistinction betweenthe owner and manager functions,socrucialtothestructureofthemoderncorporation,emerged slowlyduringthisperiod.Ownersprovidedmoneyandcapitalanddeterminedtheoverallgoalspursued bytheorganization.Managerscarriedoutadministrativetasksconcernedwithdaytodayoperations;their moralandlegaldutywastoremainfaithfultotheaimsandinterestsoftheowners.Uncharteredjointstock companiesservedasproto-corporationsthatgeneratedcapital,protectedmonopoliesoftradeandcraft,and managedcomplexventuressuchasimportingspicesandteafromtheOrient.Asthesestructuresevolved, theyincreasinglyembodiedtheimportantdistinctionbetweentheownershipandmanagementfunctions.

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49 3.1.2.1.4Providingalegalshieldtolimitownerandoperatorliability Scandalsin18thcenturyGreatBritainrevealedanothersetofproblemsbesettingtheemergingcorporation. Whentheuncharteredjointstockcompany,theSouthSeaCompany,wentbankrupt,alltheinvestors andownersfoundthemselvesresponsibleforcoveringthehugedebtcreatedwhenriskyinvestmentsand questionableventureswentsour.Thisdebtwentwellbeyondresourcesoftheinvestorsdestroyingtheir personalfortunesandplacingmanyofthemindebtor'sprison.Thisandotherascoesweredramatizedby CharlesDickensinhisnovel, LittleDorrit .Thespecterofunlimitedliabilityscaredopotentialinvestors andsetbackthedevelopmentofthecorporation.Itbecamenecessarytoendowjointstockcompanieswith powersanddevicesthatlimitedanddistributednancial,moral,andlegalrisk.Bothownersandmanagers requiredprotectionalthoughindierentways.Individualswouldinvestinjointstockcompaniesonlywhen theassociatedrisksbecamemanageableandwidelydistributed. 3.1.2.1.5Organizationalstructurethatsubordinateandsynthesizetheactionsofhumanagents Negatively ,thedevelopmentofthemoderncorporationwasfacilitatedbycreatingashieldthatlimitedthe liabilityofownersandmanagers.Liabilityforownerswaslimitedlegallytotheamountinvested.Liability formanagersrequiredprovingthattheyfailedtoremainfaithfultotheinterestsofthestockholders,the principalsororiginatorsoftheiractions.Thisbrokedownintodemonstratingfailuretoexercise"sound businessjudgment"by,amongotherthings,allowingoutside,competingintereststocorrupttheirbusiness judgment. Positively ,thecorporationemergedoutofaseriesoflegalinnovationsdesignedtoestablishand thencontrolthecollectivepowerofcorporateorganizations.Complexorganizationalstructureswerecreated thatdesigneddierentiatedroleslledbyemployees.Thesestructuresservedtochanneltheactivitiesof employeestowardcorporateends.Theinvestorrolestabilizedintothatof stockholders whoownedorheld sharesofthecorporation.Topromotetheirinterestsandtoestablishthecardinalorfundamentalobjectives ofthecorporation,thestockholderselectedrepresentativestoserveonaboardofdirectors.Thedirectors thenappointedmanagersresponsibleforrunningthecorporationandrealizingtheinterestsandobjectivesof thestockholders.Managers,inturn,hiredandsupervisedemployeeswhoexecutedthecompany'sdaytoday operations line employeesandprovidedexpertadvice sta employees.Theserolesandtheindividuals whooccupiedthemwererelatedtooneanotherthroughcomplexdecision-makinghierarchies.Davis inhisdiscussionoftheHitachiReportshowshowmanymoderncompanieshavedroppedordeemphasized thesta-linedistinction.OthersStone,Naderciteinstanceswheremanagershavebecomesopowerfulthat theyhavesupplantedthedirectorialrole.Theyhandpickthedirectorsandcarefullyltertheinformation madeavailabletostockholders.Butthesetwodistinctionsstav.lineandownerv.operatorremain essentialforunderstandingandclassifyingmoderncorporations.SeeFisse,Stone,andNader. 3.1.2.1.6ProleoftheModernCorporation Corporationsbecamefullblownlegalpersons.Theyacquired legalstanding cansueandbesued,have beenendowedwith legalrights dueprocess,equalprotection,andfreespeech,andhaveacquired legal duties suchastaxliabilities.Seetablebelowforthecommonlawdecisionsthroughwhichthesecorporate powersandrightshavebeenestablished.Thepowersofthecorporationwereregulatedbythestatethrough foundingcharterswhichservedroughlythesamefunctionforacorporationasaconstitutiondidforastate. Initially,charterslimitedcorporatepowerstospeciceconomicactivities.Railroadcompanies,forexample, hadchartersthatrestrictedtheirlegitimateoperationstobuildingandoperatingrailroads.Whenthey soughttoexpandtheiroperationstootheractivitiestheyhadtorelatethesetothepowersauthorizedin thefoundingcharter.Ifacharterdidnotspecicallyallowanoperationorfunction,thenitwasliterally ultravires ,i.e.,beyondthepowerofthecorporationStone:21-22.Thismethodofcontrolgradually disappearedasstates,competingtoattractbusinessconcernstoincorporatewithintheirboarders,beganto loosencharterrestrictionsandbroadenlegitimatecorporatepowersinaprocesscalled"chartermongering." Eventuallychartersdenedthelegitimatepowersofcorporationssobroadlythattheyceasedtobeeective regulatoryvehicles.

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50 CHAPTER3.CSRCORPORATESOCIALRESPONSIBILITY Giventhisvacuum,governmentshavehadtoresorttoothermeasurestocontrolanddirectcorporations towardthepublicgood.Thepracticeofpunishment,eectiveincontrollinghumanbehavior,wasextended tocorporations.ButBaronThurlowaBritishlegaltheoristframedthecentraldilemmaincorporate punishmentwithhisoftquotedcommentthatcorporationscannotbepunishedbecausetheyhave"nosoul todamn"and"nobodytokick."Theuniqueattributesofcorporationshasgivenrisetocreativeoptionsfor corporatecontrolandpunishment:ning,stockdilution,court-mandatedchangesincorporatestructure, adversepublicityorders,andcommunityservice.SeeFisseMostrecently,FederalSentencingGuidelines havesoughttoprovideincentivesforcorporationstotakepreventivemeasurestoavoidwrongdoingby developingethicscomplianceprograms.Theseguidelinesadjustpunishmentsinlightofethicsprograms thatthecorporationshavedesignedandimplementedtopreventwrongdoing.Corporationsfoundguiltyof wrongdoingwouldstillbepunished.Butpunishmentscanbereducedwhenguiltycorporationsshowthat theyhavedevelopedandimplementedcomplianceprogramstopromoteorganizationalethicsandtoprevent corporatewroingdoing.Theseincludecompliancecodes,ethicstrainingprograms,ethicsriskidentication measures,andcorporateethicalaudits. HistoryofCorporation Problem Solution OrganizationalForm Successfullytransferringstewardshipoverchurchholdingsto newabbot Createa"passivedevicetohold property" Proto-corporation Controloverandregulationofa practiceorskill Createadevicetoahold theprivilegesofsomeparticulartrade,bestablishrules andregulationsforcommerce, andcholdcourtstoadjudicate grievancesamongmembers. Medievalguildsthatevolveinto regulatedcompanies. Poolingcapitalandresourcesand directingcomplexventures Createadeviceatoholdprovilegesoftrade,bwhereinvestors providecapital,andcthatdelegatesoperationstomanagers Uncharteredjointstockcompanies Limitinginvestorliability,limitingmanagerliability,andbalancingthetwo Corporationevolvesintoalegal personwithalegalrightsand duties,bownedbyshareholders,crunbymanagers,dregulatedthroughstatecharter Limitedcorporationwhoseoperationsaredenedinandlimited bythecharter continuedonnextpage

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51 UltraVirescharterprevents growthandCharterMongering Grantedbroadpowersthrough morebroadlydenedcharters FullBlownCorporation Findingagentresponsiblefor wrongdoing aDueprocess,equalprotection,andfreespeechrights,b legalduties,clegalstanding, dFederalSentencingGuidelines,andSarbanes-OxleyAct Corporationas Legal Person Table3.1 :ModiedfromChristopherStone,WheretheLawEnds OptionsforCorporatePunishmentFisseandFrench Description Example Targetof Punishment Deterrence Trap Avoided? Nonnancial Values Addressed? Responsive Adjustment Interference with Corporate Black Box Monetary Exaction Fines Pentagon Procurement Scandals Harmsinnocent Failsto Escape Fewor None Targeted None Nointerference StockDilution Dilute Stockand awardto victim Stockholders Notnecessarily guilty Escapes byattackingfuture earnings Fewor None Limited Nointerference Probation Court orders internal changes special board appointments SECVoluntary Disclosure Program Corporation andits Members Escapes sinceit mandates organizational changes Focuseson managementand subgroup values Passive adjustmentsince imposed from outside Substantial entryinto andinterference withcorporate blackbox continuedonnextpage

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52 CHAPTER3.CSRCORPORATESOCIALRESPONSIBILITY Court Ordered Adverse Publicity Court orders corporationto publicize crime English Bread ActsHesterPrynne shamein Scarlet Letter Targets corporate image Escapes although adverse publicity indirectly attacks nancial values Lossof prestige/ Corporate shame/ Lossof Face/Honor Activeadjustment triggered byshame Nodirect interference corporation motived torestore itself Community Service Orders Corporation performs services mandated bycourt Allied chemical James River Pollution Representative groups/individuals fromcorporation Escapes since targets nonnancial values Adds valueto community Passive ornoadjustment: sometimes public doesrecognize thatcsis punishment None Table3.2 RequirementsofSarbanes-OxleySummarizedbyDyrud:37 Provideincreasedprotectionforwhistle-blowers Adheretoanestablishedcodeofethicsorexplainreasonsfornon-compliance Engagein"full,fair,timelyandunderstandabledisclosure" Maintain"honestandethical"behavior. Reportethicsviolationspromptly Complywith"applicablegovernmentallaws,rules,andregulations" Dyurdcites:ELT, EthicsandCodeofConduct ,n.d.;http://www.elt-inc.com/solution/ethics _and_code_of_conduct_training_obligations.html AmendedFederalSentencingGuidelinesTakenfromDyrud:37 1.Establishingstandardsandprocedurestopreventanddetectcriminalconduct 2.Promotingresponsibilityatalllevelsoftheprogram,togetherwithadequateprogramresourcesand authorityforitsmanagers 3.Exercisingduediligenceinhiringandassigningpersonneltopositionswithsubstantialauthority 4.Communicatingstandardsandprocedures,includingaspecicrequirementfortrainingatalllevels 5.Monitoring,auditing,andnon-internalguidance/reportingsystems 6.Promitingandenforcingofcomplianceandethicalconduct 7.Takingreasonablestepstorespondappropriatelyandpreventfurthermisconductindetectingaviolation 3.1.2.2LegalTrailTowardCorporateMoralPersonhood:ATableSummary

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53 Date Decision LegalRightArmed 1889 MinneapolisandSt.L.R.Co.v. Beckwith Rightforjudicialreviewonstate legislation 1893 Noblev.UnionRiverLoggingR. Col, Rightforjudicialreviewfor rightsinfringementbyfederallegislation 1906 Halev.Henkel Protection"againstunreasonable searchesandseizuresth 1908 ArmourPackingC.v.United States Righttotrialbyjuryth 1922 PennsylvaniaCoalCo.V.Mahon Righttocompensationforgovernmenttakings 1962 FongFoov.UnitedStates Righttofreedomfromdouble jeopardyth 1970 Rossv.Bernhard Righttotrialbyjuryincivilcase th 1976 VirginiaPharmacyBoardv.VirginiaConsumerCouncil Righttofreespeechforpurely commercialspeechst 1978 FirstNationalBankofBostonv. Bellotti Righttocorporatepolitical speechst 1986 PacicGasandElectricCompanyv.PublicUtilityCommn ofCalifornia Rightagainstcoercedspeech st Table3.3 :FromRitz,Dean."CanCorporatePersonhoodBeSociallyResponsible?"ineds.May, S.,Cheney,G.,andRoper,J.,Oxford,UK:OxfordUniversityPress:194-195. 3.1.2.3 3.1.3Whatyouwilldo... 3.1.3.1ExerciseOne:OtherPeople'sMoney Watchtheshareholder'smeetinginthemovie,"OtherPeople'sMoney."Thenanswerthe questionsbelow.Thinkgenerallyaboutwhatthemanagerofacorporationshoulddowith themoneyitsstakeholdershaveinvestedinit. WhatisLarrytheLiquidator'sbasicargument?WhatisAndrewJorgensen'sbasicargument? WhatisLarrytheLiquidator'sconceptionofthenatureandvalueofthecorporation?WhatisAndrew Jorgensen'sconceptionofthenatureandvalueofthecorporation? WhatisthesocialresponsibilityofacorporationaccordingtoLarrytheLiquidator?Whatisit accordingtoAndrewJorgensen? Writeaparagraphonwhichargumentyoundmostpersuasive,thatofLarryorthatofAndrew. Explainwhyyounditpersuasive.

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54 CHAPTER3.CSRCORPORATESOCIALRESPONSIBILITY 3.1.3.2ExerciseTwo:HowtopunishArthurAndersen Watchthedocumentary,"TheSmartestGuysintheRoom,"payingspecialattentiontothe roleplayedintheEnronascobytheaccountingrm,ArthurAndersen.Thenanswerthe followingquestions. HowimportantshouldAA'sformer,excellentreputationhavebeenindetermininghowtopunishitin theroleitplayedintheEnroncase?Explainyouranswer. EnronwasonlythelastofaseriesofethicsscandalsthatAAhadfalleninto.Howshouldithave adjustedtopriorscandals?AretheFederalSentencingGuidelinesofanyhelphere? ConsiderthatSarbanes-OxleywaspassedlargelyinresponsetoEnron.Doitsprovisionsgofarenough topreventfutureEnrons?Dotheygotoofar?. UsingthetablethatsummarizespunishmentoptionsprovidedbyFrenchandFisse,howwouldyou constructapunishmentforArthurAndersen?Whoshouldbetargeted?Shouldthecompany'sblack boxbeleftalone?Isitbettertoattacknancialornon-nancialvalues?ShouldArthurAndersenand othercorporateoendersbeencouragedtoreformthemselvesorshouldthosereformsbedesignedand directedfromtheoutside? 3.1.3.3 3.1.4Whatdidyoulearn? PeterFrenchspeculatesonthepossibilitythatacorporationcouldconsistofnothingmorethanasophisticatedsoftwareprogram.Healsoholdsforththenotionofcorporatemoralpersonhoodasopposedto naturalpersonhood.Nowthatyouhavehadanopportunitytostudythehistoryofandstructureofthe moderncorporation,whatdoyouthinkaboutthenatureofcorporations? 3.1.5Appendix 3.1.5.1Bibliography 1.Stone,C.D. WheretheLawEnds:TheSocialControlofCorporateBehavior ProspectrHeights,IL:WavelandPress,INC:1-30. 2.DesJardins,J.R. EnvironmentalEthics:AnIntroductiontoEnvironmentalPhilosophy .Belmont,CA:WadsworthPublishingCompany:37. 3.Clarke,T."Introduction:TheoriesofGovernanceReconceptualizingCorporateGovernance TheoryAftertheEnronExperience,"in TheoriesofCorporateGovernance:ThePhilosophical FoundationsofCorporateGovernance ,ed.ThomasClarke.NewYork:Routledge:1-30. 4.French,P.A. CollectiveandCorporateResponsibility .NewYork:ColumbiaUniversity Press.. 5.French,P.A."CorporateMoralAgency"inWerhane,P.H.,andFreeman,R.E. Blackwell EncyclopedicDictionaryofBusinessEthics .Oxford,UK:Blackwell:148-151. 6.May,L. TheMoralityofGroups:CollectiveResponsibility,Group-BasedHarm,and CorporateRights .NotreDame,IN:UniversityofNotreDamePress. 7.Werhane,P.H."MentalModels:MoralImaginationandSystemThinkingintheAgeofGlobalization,"in JournalofBusinessEthics ,78:463. 8.Werhane,P."CorporateSocialResponsibility/CorporateMoralResponsibility:IsTherea DierenceandtheDierenceItMakes,"ineds.,May,S.,Cheney,G.,andRoper,J., TheDebate overCorporateSocialResponsibility .Oxford,UK:OxfordUniversityPress:459-474. 9.Fisse,B.andFrench,P.A.,eds. CorrigibleCorporationsandUnrulyLaw .SanAntonio, TX:TrinityUniversityPress. 10.Nader,R.andGreen,M.J.,eds. CorporatePowerinAmerica .NewYork:Grossman. 11.NaderR.Green,M.andSeligman,J. TamingtheGiantCorporation .NewYork:Norton.

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55 12.Davis,M. ThinkingLikeanEngineer:StudiesintheEthicsofaProfession .Oxford, UK:OxfordUniversityPress:119-156. 13.Jackall,R. MoralMazes:TheWorldofCorporateManagers .Oxford,UK:Oxford UniversityPress. 14.Carol,A.B.,"SocialResponsibility,"inWerhane,P.,andFreeman,R.E.,eds.,1998 Blackwell EncyclopedicDictionaryofBusinessEthics .Oxford,UK:BlackwellPublishers,INC:593-595. 15.Dyrud,M.A."Ethics,Gaming,andIndustrialTraining,"in IEEETechnologyandSociety Magazine .Winter2007:36-44. 16.Ritz,Dean."CanCorporatePersonhoodBeSociallyResponsible?"ineds.May,S.,Cheney, G.,andRoper,J., CorporateGovernance .Oxford,UK:OxfordUniversityPress:194-195. 3.1.6EACToolKitProject 3.1.6.1ThismoduleisaWORK-IN-PROGRESS;theauthorsmayupdatethecontentas needed.Othersarewelcometousethismoduleorcreateanewderivedmodule.Youcan COLLABORATEtoimprovethismodulebyprovidingsuggestionsand/orfeedbackonyour experienceswiththismodule. PleaseseetheCreativeCommonsLicense 2 regardingpermissiontoreusethismaterial. 3.1.6.2FundedbytheNationalScienceFoundation:"CollaborativeDevelopmentofEthics AcrosstheCurriculumResourcesandSharingofBestPractices,"NSF-SES-0551779 3.2MoralEcologiesinCorporateGovernance 3 WordVersionofthisTemplate Thismediaobjectisadownloadablele.Pleaseviewordownloaditat Figure3.2: Thisisanexampleofanembeddedlink.Goto"Files"tabtodeletethisleandreplace itwithyourownles. 3.2.1TwoThoughtExperiments TheRingofGygesPlato'sRepublicII,S359 Gygesapoorshepherdistendinghisockwhenthereisanearthquake.Ahughcrackopensintheearthto exposeasarcopagus.Gygesreachesinandtakestheringthatdrawshisattention.Later,whenheistalking amongfriends,henoticesthathebecomesinvisiblewhenheturnstheringintowardhimself.Hetriesthis outafewtimesandthenformshisplans.Invisible,hegainsentrytotheking'scastleandrapesthequeen. Drawingherintohisnefariousplan,theykillthekingandtakeoverthekingdom.Gygesmarriesthequeen andbecomesrulerofalargeandwealthykingdom.Somehowitdoesn'tseemttosaythathelives"happily everafter."But,sinceheisnevercaught,itdoesn'tfollowthathisill-gottengainhasmadehimmiserable. Beforendinghisring,Gygeswas,atleastoutwardly,awell-behaved,justcitizen.Butthecombination ofvastpowerandnoaccountabilitydrewGygesovertothedarkside.Doesthehumancharacter,likethat 2 http://creativecommons.org/licenses/by/2.0/ 3 Thiscontentisavailableonlineat.

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56 CHAPTER3.CSRCORPORATESOCIALRESPONSIBILITY ofGyges,dissolveinthefaceoftemptationandlackofaccountability?Isthethreatofpunishmentnecessary tokeepindividualsmoral?Isvisibilityandthethreatofpunishmentallthatstandsbetweenanindividual andalifeofinjustice? TheMilgramExperiments From1960until1963,StanleyMilgram,asocialpsychologist,carriedoutaseriesofexperimentsonaround 1000subjects.Eachexperimentbroughttogetherthreeparticipants,asubjectorteacher,alearner,and anexperimenter.Intheinitialorientation,theexperimentertoldthesubject/teacherandthelearnerthat theywereabouttoparticipateinanexperimentdesignedtomeasuretheinuenceofpunishmentinthe formofelectricalshocksonlearning.Thelearnerwaspresentedwithinformation.Theteacherthenasked questionsbasedonthisinformation.Ifthelearneransweredcorrectly,thentheywentontothenextquestion. Ifthelearneransweredincorrectly,thenhewasgivenanelectricalshockbytheteacher.Witheachmissed questiontheintensityoftheshockincreased.Theexperimentcontinueduntilallthequestionswereasked andanswered. However,theseinstructionsconstitutedadeceptionbroughtupontheteacher/subjectbythesecret collaborationoftheexperimenterandthelearner.Therealpurposeoftheexperimentwastodetermine howfarindividualswouldgointurningagainsttheirmoralviewsonthebasisofanexternalauthority.The learnerfeignedpainandsueringbecausetherewasnoactualelectricalshock.Andthelearnerdeliberately missedmostofthequestionsinordertoforcetheteachertoprogresstohigherandwhatappearedtobe life-threateninglevelsofshock.Whileteacherswerenotphysicallyforcedtocontinuetheexperimentover thefeignedprotestsofthelearners,whenevertheytriedtostopit,theyweretoldbytheexperimenterthat theyhadtocontinuetotheend. BeforetheMilgramexperimentswerecarriedout,agroupofpsychogistswereaskedtopredicthow manyteachers/subjectswouldgoallthewaytotheendandgivethelearnerwhattheythoughtwerelifethreateningandhighlypainfulshocks.Theconsensuswasthatmostwouldstoptheexperimentearlyon whenthelearnerrstbegantoprotest.Buttheactualresultswerequite"shocking."Nearly60percentof theteacherswentallthewayandgavethelearnerthemaximumshock.Youcanreadmoreaboutthese experimentsandhowtheyhavebeeninterpretedbyreadingMilgram1974andFlanagan1991.YouTube hasseveralvideovignettesontheMilgramExperiments.Simplytype"MilgramExperiments"inthesearch windowandbrowsetheresults. Canauthorityandenvironmentoverrideoureverydaymoralbeliefsaswellasthecharactersconstructed fromthem?Ischaracterrobustand"trans-situational?"Orisitradicallydependentonsituationand environment?Cannormallydecentandwell-behavedindividualsturnintomoralmonstersgiventheright externalconditions? FromGygesandMilgramtoMoralEcology Bothofthesethoughtexperimentsraisethequestionoftheinuenceofenvironmentoncharacter.This moduleisdesignedtohelpincreasethestrengthofmoralcharacterbyidentifyingdierentorganizational environmentscalled"moralecologies"andhavingyoudevelopingstrategiestoresisttheirpressuresand maintainintegrity. 3.2.2Introduction CorporategovernanceisdenedintheBlackwellEncyclopedicDictionaryofBusinessEthicsas"concerned withthosedecisionsmadebytheseniorexecutivesofarmandtheimpactsoftheirdecisionsonvarious stakeholdergroups."EBE147Thismoduleturnscorporategovernanceinside-outandlooksatitfromthe perspectiveofthegoverned,thatis,fromthedirectors,managers,andemployeessubjecttothestructures andstrategiesofcorporategovernance.Corporateenvironmentsfunctionas"moralecologies,"thatis, "thesomewhatstable,butconstantlynegotiatedsetofvalues,practices,andinuenceswithinsocieties, organizations,professions,andworkgroups."Huet.al.,2008Thethrustofthismoduleistohelpyou begintostrategizeonhowtodevelopsustainablemoralcareerswithindierentmoralecologies.Youwill studydierentkindsofmoralecologiesusingataxonomydevelopedfromtheresearchofMichaelDavisin ThinkingLikeanEngineer andRobertJackallin MoralMazes .Huprovidessomegeneric strategiesforindividualstopursuewithinintheseorganizationalenvironments.Buttheexercisesincluded

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57 inthismodulewillencourageyoutoexpanduponthislist.Workingthroughthismodulewillhelpyouto viewcorporategovernancefromwithinfromthemicroperspectiveoftheindividual.Anothermodulewill allowyoutoseecorporategovernancefromtheoutsidefromthemacropointofview. 3.2.3Whatyouneedtoknow ::: 3.2.3.1ThreeMoralEcologies SummaryTable Type/Characteristics Managers andengineers:role andparticipation Centralityof ethicsand values Allocationof praiseand blame Withholding information Treatmentof dissentand DPOs FinanceDriven Managers playline role=make decisionsEngineersprovide technicalinformation=sta role Ethicsand valuesareside constraints dealtwith whentheyopposenancial considerations Allocated according tohierarchicalposition: praisegoes upandblame goesdown. Managers withholdto controland protectsecrets. Engineers withholdbad newstoavoid blame. "Shootthe messenger!" Dissent= disloyaltyand betrayal. CustomerDriven Managers makedecisions onnancial matters.Engineers"goto themat"on engineering matters. Ethicsand valuesarenot centralbutare stillimportant. Praiseand blameare fairlyallocatedbased onassigned responsibility andcontribution. Information notwithheld butgapsarise becauseorrole dierences. Dierencesoccurbutengineersareexpectedtoadvocatetheirperspectiveindecisionmaking process. QualityDriven Managerand engineering distinction dropsout. Interdisciplinarywork teamsareempoweredand responsible Ethicsand valuesareconstitutiveofthe organization's identity. Praiseand blameare attributedto groupand distributed toindividualswithin accordingto contribution. Openconsensusprocess ensuresthat neededinformationis integrated intodecision making Engineers andmanagers worktoward consensusby gatheringmore information, continuingthe discussion,and aslastresort postponingthe decisionuntil consensusis reached. Table3.4 BreakdownofTable Moralecologiescanbecategorizedaccordingtoaseriesofconsiderations.Thetableabovefocuseson ve.

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58 CHAPTER3.CSRCORPORATESOCIALRESPONSIBILITY First,managersandengineersoccupydistinctrolesandparticipatedierentlyinthedecisionmaking process.Managersplaythe line role.Theycollectinformationtomakedecisionsthatgoverntheday todayoperationsofthecorporation.Engineersarehiredas sta employees.Theyprovidetechnical informationtodecisionmakersbutdonotparticipatedirectlyinthedecisionmakingprocess.This raisesdicultieswhenengineers,fortechnicalorethicalreasons,disagreewiththedecisionstakenby theirmanagers.Thelineandstaroleschanneldecisionmakingandconstraindissent. Moralecologiescanalsobetypedaccordingtothecentralityofethicalconsiderationsinthecorporation'sgoals,charter,operations,andevenidentity.Ethicalconsiderationscanrangefromplaying a central role,toplayinganimportantbutsubordinaterole,tobeingmarginalizedasirrelevant sideconstraints .Theimportanceacorporationplacesonethicscolorsalltheothercategories mentionedinthetableabove.Ifethicsiscentraltoacorporationthenitplaysacentralroleinthedecisionmakingprocess,guidestheallocationofpraiseandblame,determinesthenatureandamountof informationsharedinthedecisionmakingprocess,anddetermineshowanorganizationtreatsdissent anddisagreement. Acorporation'sconceptionofresponsibilityisrevealedthroughthewaysinwhichitallocatespraise andblame.Signicantdierencesarisebetweenthewaynancecompaniesassignpraiseandblame andthewaystheseareallocatedinqualityorcustomerdrivencompanies.Again,thisrelatedtothe rolesplayedbyengineersandmanagersandthecentralityofethicsinthecorporation'sgovernance. Ethicalproblemsarisewhencrucialinformationiswithheldfromthedecisionmakingprocess.Hence, theowofcommunicationandthekindsofsituationsinwhichcommunicationowisdisruptedhelps tocharacterizeamoralecology.Forexample,theHitachireportassertsthatcommunicationbetween managersandengineersbreaksdownpredictablywithinnance-drivencompanies.Thisbreakdownis groundedinthecharacteristicsofthenance-drivenmoralecology,especiallyindierencesbetween themanagerialandengineeringrolesandtheextenttowhichmanagersandengineersparticipatein decisionmaking. Finally,moralecologiescanbeclassiedaccordingtohowtheytreatdissentanddissentingprofessional opinions.Dissentislesslikelyinqualitythaninnance-drivencompanies.Whilenance-driven companiestreatdissentasdisloyalty,quality-andcustomer-drivendrivencompaniestreatdissentas astageintheprocessofreachingconsensus. Finance-DrivenCompanies 1.Finance-drivencompaniesplacenancialobjectivesattheveryheartoftheirconstitutiveobjectives andcorporateidentity.Forexample,suchcompaniesarefocusedonmaximizingreturnsforinvestors. 2. ManagerandEngineerRolesandParticipationinDecisionMakingProcess :Managersplay thelineroleinthattheymakethedecisionsthatdrivethedaytodayoperationsofthecorporation. Theybearresponsibilityfortheconsequencesoftheirdecisionsandtheyarealsoresponsibleasthe faithfulagentsofthecompany'sdirectors.Beingafaithfulagentrequiresthatonetreatanother's interestsasone'sown,maintaincondentialities,andavoidintereststhatconictwiththedirector. Engineersplaythestarole,thatis,theyanswerquestionsputtothembymanagersandareresponsible forprovidingcompetenttechnicalinformation.However,theydonotparticipatedirectlyinthedecision makingprocess,nordotheybearresponsibilityfortheresultsoftheirmanager'sdecisions. 3. Centralityofethicsandvaluesinthecorporationsdecisionmakingprocess :Ethicalconsiderationsplayonlytheroleofsideconstraitsinthesettingofcorporatepolicityandintheformulation andexecutionofitsdecisions.Thismeansthatethicalconsiderationsareimportantonlyifthey promoteorinterferewiththecentral,nancialobjectives.Ifappearingphilanthropicalisgoodfora corporation'simageandgeneratescustomersandprotsthenthecorporationappearsphilanthropic. Ifthecorporationislikelytogetcaughtinanethicalviolationexcessivepollutionandthisnegative publicitywillloweritsprestigeandprotsthenthecorporationwillnotcommittheviolation.But ineachcase,theendisthepromotionofnancialobjectivesandthemeansareappearingethical. 4. AllocatingPraiseandBlame Jackallgoesintodetailonhownance-drivencorporationsandbureaucraciesingeneralassignpraiseandblame.Thecrucialfactorisone'spositioninthecorporate

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59 hierarchy.Praiseworksitswayupthecorporateladder.IfengineerSmithsavesthecompanyfroma severnancialloss,thenSmith'ssupervisororhissupervisor'ssupervisorgetsthecredit.However, ifSmith'ssupervisormessesup,theblamepassesdownthecorporateladdertoSmith.Praisemoves upthecorporatehierarchy,blamedown. 5. InformationExchangebetweenEngineersandManagers :Innancedrivencompanies,managerswithholdinformationfromtheengineersundertheirsupervisionforavarietyofreasons.For example,ifitisproprietaryinformation,themanagermaywithholdallorparttopreventengineers fromleavingthermandrevealingitssecretstoacompetitor.Managersmayalsouseinformation towieldpowerandauthority.Bykeepingengineersinthedarklikemushroomstheyeectively maintainauthorityandpreventdissent.Ontheotherhand,engineerswithholdbadnewsfromtheir managerstoavoidblameaswellasthe"shootthemessenger"syndrome.Whentheincompetent generalreceivesbadnewsfromasoldier,heshootsthesoldierratherthanrespondtothenews. 6. HandlingDissentingProfessionalOpinions :Dissentisinterpretedasdisloyaltyinnance-driven companies.Thisorganizationalhabitmaintainedbymanagerstoholdontotheirauthoritywill evenundermineDPOdissentingprofessionalopinionproceduresthatlookgoodonpaper.Agood DPOprocedurecommunicatestheopiniontoseverallevelsofsupervisor,allowsfortheindependent investigationofthemeritsoftheopinion,andpreventsretaliationagainsttheprofessionalassertingthe opinion.Butruthlessmanagersndwaystounderminesuchaprocedureatalllevels.Engineersmay claimtherightnottobeheldasscapegoatstoadministrativeincompetence.SeetheTheoryBuilding Activities:RightsmoduleThisrightmaybesupportedonpaperbyadetailedDPOprocedure.But italsohastobeimplementedatalllevelsandcontinuallymonitored. Customer-DrivenCompanies Customer-drivencompaniesfocusoncustomersatisfaction.Ifthecustomerasksfororissatisedwith alowerqualityproduct,thenthisisanacceptableresultforthistypeofcompanyasopposedtoa qualitydrivencompanywhichwouldstandfastwiththehigherqualityproduct. Managersandengineers:rolesandparticipation :Managersmakedecisionsonnancialmatters. Butengineersareexpectedto"gotothemat"forengineeringstandardswhentheseformallorpartof thedecision.Hencethedistinctionbetweenmanagersplayingthelineroleandengineersplayingthe staroleweakens,andengineersplayamuchmoreactiveroleadvocatesforengineeringstandards indecisionmaking.Engineeringstandardsincludeengineeringethicsstandards. CentralityofEthicsandValues :Whilecustomersatisfactionplaysthecentralrole,ethicalconsiderationsarestillimportant,especiallyregardingtheethicaltreatmentofcustomersandreectingthe ethicalvaluesheldbythecustomers.Inmanycases,itisdiculttodistinguishqualityandcustomer drivencompaniesastheroleethicalstandardsplaygetsclosertoacentral,constitutiveone. AllocationofPraiseandBlame :Responsibilityincustomerdrivencompaniesistiedcloselyto individualperformanceandcontribution.Thisisbecausecustomersatisfactionisamoreobjective criterionthantheinternalpoliticalstandardsthatdominatenancedrivencompanies.Responsibility iscloselyallignedwithcontribution. WithholdingInformation :Informationenhancescontrolandresponsibility.Themoreyouknow, themorereponsiblyyoucanact.Sincepraiseandblameareallocatedaccordingtocontribution, thereislessincentivetowithholdinformation.Ifcommunicationgapsarisebetweenengineersand managers,thesearemuchmorelikelytohingeondisciplinarydierences.Engineersmayhavetrouble communicatingtechnicalinformationtomanagers,orappearcondescendingby"dumbingdown"the information.Managersmayhavedicultiescommunicatingnancialconstraintstoengineerswho focusonqualitystandards.Buttheseareminor,resolvablegaps. TreatmentofDissent :Dissentanddisagreementarenotonlytoleratedbutactuallyexpected. Managersexpectengineerstoadvocateforissuesintheirsphereastheypertaintothedecisionmaking process.Thisprocessitselfisadversarialbecauseitisassumedthatthisisthebestwaytogetallthe informationoutonthetable.Badnewsandprofessionaldissentingopinionsarenotinterpretedas disloyalty;infact,disloyaltyliesinrefusingtoexposeawsinthechoicesproposedbyone'ssupervisor.

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60 CHAPTER3.CSRCORPORATESOCIALRESPONSIBILITY Managersexpecttheirengineersto"gotothemat"whenadvocatingtechnicalpositionsbasedontheir professionaljudgment. Quality-DrivenCompanies Quality-drivencompaniesstandoutfortheemphasistheyplaceonachievinghighengineeringstandards andonelevatingtheparticipationoftheengineerinthedecisionmakingprocess.Asisimpliedby thename,thecentralfocusofthesecorporationsistheachievementofhighqualityinproductsand services. ManagersandEngineers:RoleandParticipation :Inquality-drivencompanies,thedistinction betweenthemanagerandengineeringrolesdropsout.Forexample,whileengineersplaythesta roleandprovideexpertengineeringadvice,theyalsoparticipatefullyinthedecisionmakingprocess. Thelocusofdecisionmakingmovesfromindividualmanagerstosmallinterdisciplinarygroups.These groups,inturn,carryoutconsensus-baseddecisionmakingprocedures. CentralityofEthicsandValues :Inquality-drivencompanies,ethicsandvaluesarecentraltothe organization'sobjectives,charter,andidentity.Thishasadecisiveimpactontheroleoftheengineer inthedecision-makingprocess.Incustomerdrivencompanies,engineersareexpectedtoadvocate engineeringandethicalstandardspreciselybecausethesearenotcentraltotheorganization'sidentity. Butthecentralityofethicalconcernsinqualitydrivencompanieschangestheengineer'srolefrom advocacytochannelingtechnicalexpertisetowardrealizingethicalvalue. Allocationofpraiseandblame :Incustomer-drivencompanies,blameavoidanceproceduresno longerdominatethedecisionmakingprocess.Inqualitydrivencompaniestheydisappearcompletely. Decisionsaremadebyinterdisciplinarygroupsinwhichengineersandmanagersparticipatefullyand equally.Responsibilitypraiseandblamethenisallocatedtothegroup.Ifitisdistributedtomembers insidethegroupitisdonesoonthebasisofcontribution.Buttheprimarytargetofresponsibility ascriptionsisthegroup,nottheindividual.Andtheresponsetountowardhappeningsisnottargeting individualsandgroupsforblamebuttakingmeasurestolearnfrommistakesandavoidingtheminthe future. WithholdingInformation :Theopen,consensus-baseddecisionprocessensuresthattheneeded informationisbroughtforthandintegratedintothedecision.Thisresultsfromremovingaprimary motivationtowithholdinginformation,namely,blameavoidance.Quality-drivencorporationsaggressivelymovetopreventuntowardoccurrencesand,shouldpreventionfail,makeadjustmentstoensure theydonotreoccur.Themotivetowithholdinformationdoesnotariseinthismoralecology. TreatmentofDissentandDOPsdissentingprofessionalopinions :Engineersandmanagers worktowardconsensusbygatheringinformation,discussingtheproblemandcontinuingthediscussion untilconsensusisreached.Thus,dissentdoesnotstandalonebutisconsideredtobeanessential andhealthycomponenttothedecision-makingprocess.Whenconsensusisnotimmediatelyreached, participantsseekmoreinformation.Ifconsensusisstillnotreached,thedecisionispostponedifthis ispossible.Themostviablestrategytoreachconsensusistocontinuethediscussion.Forexample,an engineerandmanagermightapproachasupervisor;inthiswaytheybringanewperspectiveintothe decision-makingprocess.Theymightconsultotherexperts.Thecrucialpointhereisthatdisagreement reallynon-agreementisnotabadthingbutanecessarystageintheprocessofreachingagreement andconsensus. SkillSets Thefourskillsdescribedbelowarederivedfromstudyingthemoralexpertisedisplayedbymoral exemplars.Eachmoralecologywillrequiretheexerciseofeachoftheskillsdescribedbelow.However, eachskillhastobecontextualizedintothemoralecology.Forexample,reasonablenessshouldnotbe exercisedinthesamewayinanance-drivencompanyasitshouldbeexercisedinaquality-driven company.Thereasonableexerciseofdissentismanifesteddierentlyinanenvironmentwheredissent isequatedwithdisloyaltythaninoneinwhichdissentisembracedasanecessarypartoftheconsensusreachingprocess.Soyourjob,inconstructingyourmoralcareerswithinthesedierentmoralecologies,

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61 istocontextualizetheskill,thatis,describespecicallyhoweachskillshouldbepracticedineach particularmoralecology. Moralimagination consistsofprojectingoneselfintotheperspectiveofothers.Italsoincludes multipleproblemdenitionsandtheabilitytodistanceoneselffromthedecisionsituationtogain impartiality. Moralcreativity istheabilitytogeneratenon-obvioussolutionstomoralchallengeswhileresponding tomultipleconstraints. Reasonableness consistsofgatheringrelevantevidence,listeningtoothers,givingreasonsforone's ownpositionsargumentsandevidence,andchangingplans/positionsonlyonthebasisofgood reasons. Perseverance involvesplanningmoralactionandrespondingtounforeseencircumstanceswhilekeepingmoralgoalsintact. PersonalityTraits Extraversion :Extraversion,whichispairedwithitsopposite,introversion,hasalsobeencalled condentself-expression,assertiveness,socialextraversion,andpower.Anindividualinwhomthis traitdominatestendstobeassertiveandout-going. Conscientiousness :Individualswiththistraitaresuccessfulincarryingouttasksbecausetheycan disciplinethemselvestostayfocusedonatask.Theyaresuccessfulintherightmoralecologyandtend toconformtothebasicnormsoftheirenvironment.Thistraitcanleadtobadresultsifnotguidedby moralconsiderations. Neuroticism :Thistraitindicatesalackofemotionalstability.AccordingtoHuetal.,"itis correlatedwithlesseectivecopinganddepression."Neuroticismhasalsobeenshowntointerfere withtheexerciseofmoralskills.Isthereaparticularmoralecologythatcanheightenthenegative impactsofthispersonalitytrait? Agreeableness :AccordingtoHuetal,thistraithasalsobeencalled"socialadaptability,likability, friendlycompliance,andlove."Againthinkabouthowthistraitwouldoperatewithinanance-driven moralecologyasopposedtoaquality-drivenone. TwoKindsofMoralExpertise StudiescarriedoutbyChuckHuintomoralexemplarsincomputingsuggestthatmoralexemplars canoperateascraftspersonsorreformers.Sometimestheycancombineboththesemodes. Craftspersonsdrawonpre-existingvaluesincomputing,focusonusersorcustomerswhohave needs,takeontheroleofprovidersofaservice/product,viewbarriersasinertobstaclesor puzzlestobesolved,andbelievetheyareeectiveintheirrole. Reformersattempttochangeorganizationsandtheirvalues,takeontheroleofmoralcrusaders, viewbarriersasactiveopposition,andbelieveinthenecessityofsystemicreform ThesedescriptionsofmoralexemplarshavebeentakenfromapresentationbyHuattheSTScolloquiumattheUniversityofVirginiaonOctober2006. 3.2.4Whatyouwilldo... Inthissection,youwilllearnaboutthismodule'sactivitiesand/orexercises.Youwillalsondstepbystep instructionsonhowtocarrythemout. Exercise1:Whatwedowhennobodyislooking Youwillbeaskedeithertodefendorcriticizethefollowingpositiononthenatureand functionofpunishment

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62 CHAPTER3.CSRCORPORATESOCIALRESPONSIBILITY Entiendoquesercastigadoesunamaneradeeducaralapersonaacometilafaltayalasociedad engeneralparaquecomprendanyentiendanquesuconductaesunafaltayafectaalasociedad.En conclusinesunasolucinviablehastaelmementobastanteefectivasiempreycuandoelcastigosea ejecutadodeunamaneraprudente,saludableydentrodeloquelasleyespermiten. Restatethisargumentinyourownwords.Trytoshortenitbysummarizingitskeypoints.Then discussandclarifyitskeyterms.Oerethicalandpracticalconsiderationsinitsdefense. Exercise2:MilgramandBusiness Continuingwiththetaskinpartone,youwillbeaskedtoeitherdefendorcriticizethe followingpositiononthemeaningthattheresultsoftheMilgramexperimentshavefor businessadministration TheMilgramexperimentsteachusthatundertherightconditions,anyoneiscapableofcommitting immoralactivities.Ifastrong,dominantbossexistsandhasaweak,dependableemployer,thenthe employerwilloutofnecessitydowhateverthebosswants. Manypeoplearewillingtocommitimmoralactseventhoughtheyknowitiswrongiftheyknowthey arenotbeingwatched. Itteachesusthatmanyemployeestendtodoillegalworksjustbecausetheirmanagersaskthemtoso theyassumetheywillbetakingfullresponsibilityforthesituationeventhoughitisunethical. Exercise3:CommentaryGroups Yourjobistoevaluatetheargumentsmadebytheteamsdebatinginpartsoneandtwo. Besuretofocusontheargumentandnotthecontentoftheposition.Listentotheir statements. Dotheybasetheseonsoundstatements? Whatkindofethicalandpracticalprinciplesorvaluesdotheyusetomaketheircase? Dotheirframetheirpositionbroadlyornarrowly? Exercise4:ClosureGroups Afterlisteningtothedebateandcommentary,recapwhathashappenedanddiscuss whetherthereareanyconclusionsthatcanbedrawnfromthisactivity Dopeopleagreeordisagreeaboutthese2issues? Ifthereisagreement,whydoesitexist? Ifthereisdisagreement,whydoesitexist? Isagreementpossible?Whyorwhynot? 3.2.5Whatdidyoulearn? Thismodulewasdesignedtohelpyouvisualizehowtorealizeamoralcareerwithinthreedominantmoral ecologies.Applythesematterstoyourself.Whichmoralecologywouldbebestforyou?Ofthetwomoral careersmentionedabove,reformerandhelper,whichbesttsyourpersonality?Why?Inotherwords,begin theprocessofvisualizingandplanningyourownmoralcareer. 3.2.6Appendix References 1.Davis,M. ThinkingLikeanEngineer:StudiesintheEthicsofaProfession .Oxford, UK:OxfordUniversityPress:117-156. 2.Doris,J.M. LackofCharacter:PersonalityandMoralBehavior .NewYork:Cambridge UniversityPress.

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63 3.Flanagan,O. VarietiesofMoralPersonality:EthicsandPsychologicalRealism .Cambridge,Mass:HarvardUniversityPress:293-314. 4.Harris,C.E.,Pritchard,M.S.,andRabins,M.J. EngineeringEthics:ConceptsandCases, 2ndEd .NewJersey:Wadsworth:181-188. 5.Hu,C.,Barnard,L.andFrey,W."GoodComputing:APedagogicallyfocusedmodelofvirtue inthepracticeofcomputing,PartII,"in TheJournalofInformation,Communicationand EthicsinSociety .UnderReview 6.Jackall,R.."MoralMazes:BureaucracyandManagerialWork,"in HarvardBusinessReview :SeptandOct1983. 7.Jackall,R. MoralMazes:TheWorldofCorporateManagers .Oxford,UK:Oxford UniversityPress. 8.Mannix,E.,andNeale,M.A."WhatDierencesMakeaDierence?:ThePromiseandReality ofDiverseTeamsinOrganizations,"in AmericanPsychologicalSociety ,6:31-49. 9.Milgram,S. ObediencetoAuthority .NewYork:HarperPerennial. 10.Solomon,R.C."VictimsofCircumstances?:ADefenseofVirtueEthicsinBusiness,"in BusinessEthicsQuarterly .Volume13,Issue1:43-62. Thisoptionalsectioncontainsadditionalorsupplementaryinformationrelatedtothismodule.Itcould include:assessment,backgroundsuchassupportingethicaltheoriesandframeworks,technicalinformation, disciplinespecicinformation,andreferencesorlinks. 3.2.7EACToolKitProject 3.2.7.1ThismoduleisaWORK-IN-PROGRESS;theauthorsmayupdatethecontentas needed.Othersarewelcometousethismoduleorcreateanewderivedmodule.Youcan COLLABORATEtoimprovethismodulebyprovidingsuggestionsand/orfeedbackonyour experienceswiththismodule. PleaseseetheCreativeCommonsLicense 4 regardingpermissiontoreusethismaterial. 3.2.7.2FundedbytheNationalScienceFoundation:"CollaborativeDevelopmentofEthics AcrosstheCurriculumResourcesandSharingofBestPractices,"NSF-SES-0551779 3.3ThreeViewsofCSRCorporateSocialResponsibility 5 WordVersionofthisTemplate Thisisanunsupportedmediatype.Toview,pleaseseehttp://cnx.org/content/m17318/latest/EACTK STDTEMPLATE.doc Figure3.3: Thisisanexampleofanembeddedlink.Goto"Files"tabtodeletethisleandreplace itwithyourownles. 4 http://creativecommons.org/licenses/by/2.0/ 5 Thiscontentisavailableonlineat.

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64 CHAPTER3.CSRCORPORATESOCIALRESPONSIBILITY -Thefirsttwolinkstothismodulearetosamplecorporatesocial responsibilitystatementsputoutbyMcDonaldsandStarbucks.These willhelpyoutobenchmarkyourowneffortsbothinthefictional BurgerMancaseandinyoureffortstodevelopCSRreportsforreal companies. -Theotherlinkisastoryfromreporter,PaulSolomon,thatreportson theannualBusinessforSocialResponsibilityconference.Thisstory, firstbroadcastonDecember23,2004reportsonoutstandingandsuccessfuleffortsonCSR.Itstitleis"GoodBusinessDeeds"anditwas accessedforthismoduleonAugust17,2008atthefollowingURL: http://www.pbs.org/newshour/bb/business/july-dec04/corporate_12-23.html 3.3.1Introduction Thismodulewillintroduceyoutothethemeofcorporatesocialresponsibility.Threerepresentativecases willhelptoposethecentralproblemsandbasicissuesofCSR.Thenyouwillworkondevelopingasocial contractbetweenthebusinesscorporationandsocietytoarticulatetheinterests,goods,andrightsatstakein CSR.Threedierentapproachesdominatethiseld:theshareholderapproachsetforthbyMiltonFriedman, thestakeholderapproacharticulatedbyEvanandFreeman,andPatriciaWerhane'salliancemodel.Finally, youwillworkondevelopingaCSRprogramforthehypotheticalcorporation,BurgerMan.Thiswillbe basedonashareholdermeetingthatconsistsofsixorsevenstakeholderpresentations.Youwillplaythe roleofoneofthestakeholders.YourCSRprogramwilladdressandintegratetheneedsandinterestsofthe BurgerManstakeholders. ThreeCSRChallenges PatriciaWerhanediscusseshowsixcorporateorganizationsdealwiththreeCSRchallenges:carryingout oildrillinginacorruptpoliticalenvironment,workingwithsupplierswhoimposesweatshopconditions onemployees,andaddressingtheHIV/AIDSchallengeinAfrica.Eachchallengeelicitstwocorporate responses,onefromashareholderorstakeholderperspective,theotherfromanallianceperspective.Shell Oil'sresponsetopoliticalcorruptioninNigeriawillbecomparedwithExxon/Mobile'sresponseinChad andCameroon.Nike'sanswertopubliccriticismoftheemploymentpracticesofitsthirdworldsuppliers willbecomparedtoWalMart'sreputedlyheavy-handedtreatmentofitsemployeesandsuppliers.Finally, whilethepharmaceuticalindustryhasdevelopedanexpensivedrugcocktailtotreatHIV/AIDSinpatients indevelopednations,theNGONonGovernmentOrganization,theFemaleHealthCompany,hasdesigned aprogramtodistributeofcondomstopreventinfectionintherstplace.Thesepairedcorporateresponses toCSRchallengesarenotprovidedinsupportofthepositionthatthesuperiorityoftheallianceapproach isa"no-brainer."Instead,theyprovideyouwithamenuofCSRstrategiesthatyouwillevaluateusingthe CSRframeworkyouwilldevelopoutofthesocialcontractthatbetweenbusinessandsociety.Thesethree CSRchallengescomefromWerhane OperatinginaCorruptEnvironment Abigchallengefacingmultinationalcorporationsishowtheyshouldrespondtolocalcorruption.Both ShellOilandExxon/Mobilesoughttocarryoutdrillingoperationsatsitesplaguedbycorruptlocal andnationalgovernments. ShelltookashareholderapproacharguingthattheirprimaryCSRwastotheirstockholdersandthat involvementincorruptlocalpoliticswouldbetantamounttopaternalism. Exxon/Mobile,ontheotherhand,adoptedamoreactiveapproach.Theytookexpensivemeasuresto mitigatetheenvironmentalimpactoftheiroperations.Theyalsohiredandprovidedtechnicaltraining tolocalresidents.Finally,theyworkedtoensurethattherevenuestheyintroducedintothelocal communitieswerenotlostthroughpoliticalandbusinesscorruption.

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65 WhataretheCSRsofmultinationalcorporationsthatoperateincorruptlocalenvironments?Are thesefashionedaroundtheminimalobligationofcreatingnoadditionalharm?Orshouldtheyexpand topreventingharmifpossiblethatothersareabouttoinict?Tomoveevenfurtheruptheladderof responsibility,domultinationalcorporationshavepositive,supererogatoryresponsibilitiesthatconsist ofaddingvaluetothecommunitiestheydobusinessin? VicariousCSR:RespondingtoSupplierSweatshops Vicariousresponsibilityoccurswhenoneagentacceptsresponsibilityforactionsexecutedbyanother. Forexample,underagencytheory,theprincipalbearsoverallmoralandlegalresponsibilityfortheactionsinceheorshehasoriginatedit.Althoughtheagentexecutestheaction,heorsheisresponsibility onlyforexecutingtheactionfaithfullyandtreatingtheprincipal'sinterestsashisorherown. Inthiscontext,canweholdcorporationssuchasNikeandWalMartvicariouslyresponsibleforthe morallyquestionableactionsoftheirsuppliers?Ifso,thenunderwhatconditions? Nikefellundersiegewhenthepressfoundoutthatitssuppliersbasedinthethirdworldimposed harsh,sweatshopconditionsontheiremployees,includingchildlabor.Nikecouldhavearguedthat thiswasbeyondthescopeoftheirrepsonsibility.Howcould they beheld vicariouslyresponsible fortheactionsofanother?Theirjobwastoproduceshoesatthelowestpossiblepricetodeliveran aordablequalityproducttocustomersandtomaximizeshareholdervalue.ButNikewentbeyondthis minimalresponsibilitytocarefullyvetsuppliersandtoworkwiththemtoimproveworkingconditions. Thus,theyexpandedthescopeoftheirCSRtoincludeimprovingworkingconditionsfor,notonly theiremployees,butalsotheemployeesoftheirsuppliers. WalMarthasbeenidentiedbyCollinsandPorrasBuilttoLastasahighlysuccessfulandvisionary company.Ithascertainlyledthewayinprovidingconsumerswithhighqualityproductsatsurprisingly lowprices.Butthesavingsitprovidestocustomersandthehighreturnsitguaranteesinvestorsare purchasedatahighprice.WalMartpreventsitsemployeesfromjoiningunionswhichhaslowered theirwagesandrestrictedtheirhealthandretirementbenets.WalMartemployeesarealsoexpected toworklonghoursforthecompany.Whileitprovidescheap,highqualityproductstoitscustomers, WalMartpushessuppliersnarrowingtheirprotmarginandplacinguponthemtheresponsibilityof supplyingproductjust-in-timetomeetdemand. Initsearlierdays,WalMarttargetedsmalltowns.Theircompetitivepracticesforcedlessaggressive, localbusinesstoleave.Whiletheyhavebroughtconsiderablebenetstothesecommunities,theyhave alsoseriouslychangedestablishedbusinessandsocialstructures. Finally,WalMart,likeNikeinitially,exercisesminimalsupervisionovertheirsuppliersmanyofwhom areoversees.WalMartsuppliersalsohavebeenknowntoimposeharshworkingconditionsontheir employees. SomeCSRQuestionsforNikeandWalMart 1.FromabroaderCSRperspective,isNikemaximizingstakeholdervalue?Isitredistributingburdens andcostsfromcustomersandinvestorstoitssuppliersandtheiremployees?DoesCSRallowthis redistributionofthecorporatewealthformtheshareholderstootherstakeholders?Thinkabout Friedman'sargumentshere. 2.IfitisnecessarytotradeostakeholderstakesasbothWalMartandNikedo,whichtradeois morejust?Nike'sdistributionofitswealthfromitsstockholderstotheneedymanifestedinitseorts toimprovetheworkingconditionsandincomeoftheemployeesofitssuppliers?OrWalMart's distributionofbenetstoitsstockholdersanditscomparativelyprosperouscustomers? 3.WhichmodelwouldFriedmanpreferunderthehisversionoftheshareholderviewofCSR?Explain andevaluate. 4.WhichmodelwouldbepreferablebyEvanandFreemanunderthestakeholderview?WhoareNike andWalMart'sstakeholders?Whataretheirstakes?Howshouldthewealthproducedbythesetwo corporationsbedistributedamongtheirstakeholders?

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66 CHAPTER3.CSRCORPORATESOCIALRESPONSIBILITY 5.Werhane,inheralliancemodel,arguesfortheimportanceofaCSRmodelthatdecentralizesthe corporationandfacilitatesmorallyimaginativesolutions.WhydoesshearguethatNike'sprogramis thanWalMart'sfromthisperspective?WhatcouldWalMartdotoimproveitsCSRonthealliance view? FacingtheAIDSChallengeinAfrica ThewidespreadanddevastatingeectsoftheAIDSepidemicinAfricaarewellknown.Butwhatare theresponsibilitiesofcorporationsinthefaceofthisterribleCSRchallenge?Shouldtheydobusiness asusualandallowotherswhoareperhapsmorequaliedrespondtothispervasivesocialproblem?Or shouldtheyrecognizeabroaderresponsibilitytochanneltheirwealth,knowledgeandexpertisetoward mitigatingthissocialproblem? Pharmaceuticalcorporationsinvesthugeamountsofmoneyinresearchanddevelopment.Themarket placeisagoodplaceforbothencouragingthisnecessaryriskandfordistributingitamongseveral groupsandinterests.Developingnewmedicinesrequirescostlyresearch.SoFriedman'squestion ishighlypertinenthere:doesimposingCSRonacorporationdomoreharmthangoodbecauseit interfereswiththedelicatemechanismofthemarket? Atanypointalongtheway,theproductmaynotmeetexpectations,acompetitormaybeatthe pharmaceuticaltothemarket,theregulatoryprocessmaydelayorevenpreventsale,andsoon.The rewardsfrompatentingasuccessfulmedicineareastoundinglyhigh.Butheavy,possiblydevastating lossesarealsopossible.AddingCSRtothemixturemaybetheformulaforcorporatedisaster. PharmaceuticalcorporationsalsofacedauntingchallengesfromregulatoryagenciessuchastheFood andDrugAdministration.Newproductsmustbeexhaustivelyandpainstakinglytestedtoavoid problemsthathaveariseninthepastsuchastheDalkonShieldandThalidomide.Again,considerable eortmustbeexpendedinexploringthemiddleandlongtermconsequencesaccompanyingproduct anddruguse,andallofthisbeforetheproductcanbemarketedandprotsmade.Government regulationalsoraisesanotherproblem.Isgovernmentproddingnecessarytoforcecorporationsinto aproperCSRposture?OrshouldcorporationsbeallowedtodevelopvoluntarilytheirownCSR responses? Inthecaseathand,pharmaceuticalcompanieshaveinvestedconsiderableresourcestocarryout researchintomedicinesthatcontrolHIVinfectionandpreventitfromdevelopingintofull-blown AIDS.Butthesetreatmentsareveryexpensiveandbringwiththemconsiderablesideeects.AnantiAIDSchemicalcocktailcancostpatientsindevelopednationsbetween15and20thousanddollars perpatientperyear.ThisisfarbeyondthenancialresourcesavailabletoatypicalHIV/AIDS patientinAfrica.SomeNGOsandcriticsofthepharmaceuticalindustryaccusethelatterofgouging victimsanddrawingexcessprotsfromthemisfortuneofothers.Aspokespersonfor"DoctorsWithout Borders,"forexample,claimsthattheAIDStreatment"cocktail"thatcostsU.S.patients15to20 thousanddollarscouldbemadeavailabletoAfricansatlessthan300dollarsperpatientperyear. Pharmaceuticals,accordingtotheircritics,needtorethinktheirCSR,ceaseoperatingasfor-prot businesses,andmakethesedrugsavailabletothirdworldsuerersatcost. WhataretheCSRsofmultinationalpharmaceuticalcorporationsformakingHIV/AIDSdrugsavailable tovictimsinthepoverty-strickennationsofAfrica?Aretheyresponsibleforchargingwhatthe marketwillbear?Assumingtheyhavetherighttorecouptheirheavyinvestmentinresearch,should governments,recognizingthenecessityofcompensatingdrugcompaniesfortheirresearch,buythese drugsandredistributethematlittleornocosttothosewhocan'taordthem?Orshouldthe pharmaceuticalschargemoretothosewhocanpayandlesstothosewhocannot?Thisredistributes theburdenofcostfromthehavestothehavenots. ManyNGOshavetakenthestancethattheirresponsibilityliesinpressuringdrugcompaniestodo therightthinganddonatemedicinestopatientswhocannotpay.Thisistheircorporatesocial responsibility,andthepharmaceuticalindustrycertainlyhasenoughmoneytodothis. Butothershavetriedtoreframethisissueusingmoralimagination.TreatingindividualsforHIV infectiononcetheyhavecontracteditisexpensivenomatterhowyoulookatit.But,redeningthe

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67 problem,canmoderateandaordablemeasuresbetakentopreventthespreadofthedisease? ThisistheimaginativeapproachtakenbytheFemaleHealthCompanywhichhasinitiatedawidespread eorttodistributecondomstothoseatriskforcontractingAIDS. HowdoestheapproachoftheFHOexemplifyWerhane'salliancemodel?Howshouldpharmaceutical companiesrespondtothiskindofinitiative?IsitnecessarytoframetherelationbetweenthepharmaceuticalindustryandNGOsasanadversarialrelationorshouldbroaderalliancesbeformedthat coordinatetheeortsofthesegroups? 3.3.2TheSocialContractbetweenBusinessandSociety Everycontractisbuiltonthebasisofthreeconditionsfreeandinformedconsent,2a quidproquo,andtherationalselfinterestofthecontractingparties. FreeandInformedConsent :Nocontractislegitimatethatisbasedonforce,fraudordeception. Thepartiesmustenterintothisagreementfreelyandwithoutcompulsion.Theymustunderstand thetermsofthecontractwhichexcludesdeceptionandfraud.Inshort,thecontractpresupposesthe uncoercedparticipationofalltheparties.Toenterintothecontracttheymustunderstandallthekey issuesandconsenttotheconstitutiveexchange. QuidProQuo :QuidProQuoliterallymeanssomethinginexchangeforsomething.Everycontract isbuiltaroundamutuallybenecialexchange.Igiveyoumybaseballcapinexchangeyouricecream. Mostexchangesaresimultaneous.ButsomearewhatHobbescalls"covenants."HereIgiveyoumy baseballcapwiththeunderstandingthatlaterthisafternoonyouwillpassbyyourrefrigerator,get myicecreamconeandgiveittome.Igiveyoumypartnowandtrustyoutocarryoutyourpart later. RationalSelfInterest :Eachofusshouldknowthevalueoftheitemstobeexchanged.That isonereasonwhyacontractrequiresfreeandinformedconsent.Thisknowledgeisdetermined,in part,bythepreferenceschedulesthatwehavedevelopedasrationallyself-interestedbeings.Soa legitimatecontractassumesthatIhaveinterests,thatIamcapableofdeterminingwhatpromotes theseinterests,andthatIamrationalenoughtodeterminemeanstopromotethemandavoidother meansthatinterferewiththem. SocialContracts Asocialcontractdiersfromothercontractsbecauseitishypothetical.BusinessandSocietyhavenever satdowninaroomandhammeredoutacontractoutliningtheirrelation.Butthishypotheticalcontract providesagoodmeansofmakingsenseoutoftherelationthathasgraduallyevolvedbetweensocietyand business.Forgetforamomentthehistoricaldetailsoftherelationbetweenbusinessandsociety.Ifthis relationissummarizedasacontract,whatdoessocietygivetobusiness?Whatdoesbusinessgivetosociety? Dothesetwoinstitutionstrustoneanotherordotheyeachadoptmeanstomonitorandcontroltheother? Whatarethesemeans?Treatingtherelationbetweenbusinessandsocietyasacontractbetweentwo mutuallyconsentingagentsoractorsdoesgetsomeofthefactswrong.Butitprovidesauseful"heuristic" device,i.e.,aframeworkthatwillhelpustosummarize,structure,and,inawork,makesenseoftherelation betweenthetwo.Movingfromthetermsofthis"contract"youwillbeabletodevelopaframeworkfor understandingthesocialresponsibilitiesofbusinesscorporations.This,inturn,willhelpyoutounderstand theCSRchallengespresentedaboveandtheCSRsofthectionalbutrealisticBurgerMancorporation. Exercise1:Insmallgroups,spelloutthesocialcontractbetweensocietyandbusiness. Howcantheabsenceofforce,deception,andfraudbeguaranteedinthiscontract?Howshouldeach sideholdtheotheraccountable?Thisisespeciallythecasewhereonesidedeliversatonetimeand theothersideistrustedtodeliverlater. Whatbenetscanbusinesbringtosociety?Howcansocietybenetbusiness.Developatablewithone columnlistingwhatbusinesshastocontributetosocietyandtheotherwhatsocietyhastocontribute tobusiness.Thistableistheheartofyoursocialcontract.

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68 CHAPTER3.CSRCORPORATESOCIALRESPONSIBILITY Assumethatsocietyandbusinessarerationallyselfinterested.Howdoesthiseecttheformulationof thegoodsoftheexchange?Howdoesthisenforcethetermsofthecontract?Aretheseselfinterests divergent?Theneachsidemustmonitortheothertopreventthecorruptionofthecontract.Are theseinterestsconvergent?Thenthecontractconsistslargelyinbuildingsocialcapitalandtrust betweenthecontractingparties. Donaldson,1993usessocialcontracttheorytoaccountfortherightsanddutiesofmultinational corporations Exercise2:CSRandSTS ChooseoneoftheCSRchallengesaboveandconstructasocio-technicaltablearoundit STSTable Component /Embedded Value Technology Hardware Technology Software Physical Surroundings Stakeholders Procedures Laws Information and Information Systems Justice Free Speech Property Privacy Safety Table3.5 3.3.3ThreeCSRFrameworks ShareholderView FromMiltonFriedman,"TheSocialResponsibilityofBusinessistoIncreaseItsProts.""Butthedoctrine of"socialresponsibility"takenseriouslywouldextendthescopeofthepoliticalmechanismtoeveryhuman activity.Itdoesnotdierinphilosophyfromthemostexplicitlycollectivistdoctrine.Itdiersonlyby professingtobelievethatcollectivistendscanbeattainedwithoutcollectivistmeans.Thatiswhy,inmy book CapitalismandFreedom ,Ihavecalledita"fundamentallysubversivedoctrine"inafreesociety, andhavesaidthatinsuchasociety,"thereisoneandonlyonesocialresponsibilityofbusinesstouseits resourcesandengageinactivitiesdesignedtoincreaseitsprotssolongasitstayswihtintherulesofthe game,whichistosay,engagesinopenandfreecompetitionwithoutdeceptionorfraud."1970byNewYork TimesCompany StakeholderView Astakeholdermustbedistinguishedfromastockholder.Thelatterownsashareofthecorporation. Ontheotherhand,astakeholderisanygrouporindividualthathasavitalinterestinthedoingsof thecorporation.Hencethestockholderisastakeholderofthecorporationwhosevitalinterestatplay istheshareownedofthecorporationandthemoneyinvestedinthisshare. Thereareseveralotherstakeholdersofthecorporation.Theseincludeemployees,customers, suppliers,localcommunity,surroundinggovernments,thesurroundinghumanandnatural environment,andthecorporation'smanagers.Insomesituationsthereareotherstakeholders suchascompetitors.

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69 Stakeholdertheoryrequiresthatthecorporationrecognizeandrespectthevitalinterestsofeachof itssurroundingstakeholders.Thisfrequentlyissuesinproposingstakeholderrightsandassigningto otherscorrelativedutiestorecognizeandrespecttheserights. Stakeholdertheoryalsorequiresthatthecorporationintegrateinterestswherepossible,mediateor brokerconictsbetweeninterests,andonlytradeocompetinginterestswhenabsolutelynecessary andwhenmoreconciliatoryeortshavealreadybeenmadeandhavefailed. SeeEvanandFreeman1988 Werhane'sAllianceApproach Werhane'sallianceapproachissimilartothestakeholderapproachinthatitrecognizesseveralgroups thatsurroundthecorporationandhavevitalintereststhatdependonthedoingsofthecorporation. Thesesurroundinggroupsaremoreorlessthesameasthoseinthestakeholderapproach:owners, managers,employees,customers,suppliers,localcommunities,governments,theenvironment,etc. ButWerhanemakestwosignicantdeparturesfromthestakeholderapproach.First,sheusesmoral imaginationtodistancethecorporationfromtheproblemsolvingprocess;thelensofproblemsolving refocusesoneachoftheotherstakeholders.Whereasforstakeholdertheorythecorporationisthecenter ofanalysisandisvisualizedassurroundedbyitsstakeholders,theallianceapproachdecentralizesthe corporationandalternativelyvisualizeseachstakeholderasthecenterforthepurposeofframing problemsandgeneratingsolutions. Second,theallianceapproachseesthecorporationasapartofasystemofinterrelatedandinterdependentparts.Hence,eachproblemsituationpresentsasystemformedofthecorporation,owners, managers,employees,suppliers,customers,localcommunities,andgovernments.Problemsemerge fromvalueconictswithinandbetweentheconstituentpartsofthesystem.Theyaresolvedthrough thecooperationofthedierentconstituenciesofthealliance. Whilethisapproachdoesnotlenditselftoalgorithmsorrules,itdoespromisesolutionsbyhighlighting andfacilitatingmoralimaginationbothintheframingofproblemsproblemsareposedintermsof framingsfrommultipleperspectivesandintermsofthegenerationofsolutionsmultipleproblemframingshelpustovisualizenewsolutionhorizons. SeeWerhane,2007and2008. 3.3.4Whatyouwilldo... ModuleActivities 1.ExaminetheCSRchallengespresentedabove.Comparethetworesponsestoeachchallenge. 2.Learnaboutthreemodelsofcorporatesocialresponsibility. 3.Developafullyarticulatedsocialcontractbetweenbusinessandsociety.Usethiscontracttounderstand thebasicCSRsofbusinesscorporations. 4.PrepareaSocialImpactAnalysisonthectionalrm,BurgerMan. 5.PrepareforandparticipateinaboardmeetingforBurgerMantoexamineethicallyitspracticesand developforitaviableandsustainableprogramofcorporatesocialresponsibility.Thisrequiresthat yougiveashortpresentationontheinterestsofaparticularBurgerManstakeholder 6.DevelopafullblownCSRprogramforBurgerManthatcarriesouttheresponsibilitiesofthiscompany toitsstakeholders. 3.3.5BurgerManStakeholders TheauthorbecameawareoftheBurgerManexercisewhenparticipatinginanAg-Satbroadcastcoursein AgriculturalEthicsin1992.Theexercisewascreatedbytheleaderofthecourse,Dr.PaulThompson.

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70 CHAPTER3.CSRCORPORATESOCIALRESPONSIBILITY BurgerManProle BurgerManisafranchisethatbeganbysellingthefastfoodstaplesofhamburgers,frenchfries,andmilk shakes.Asthecompanyhasmaturedandfacedothercompetitorsinthismarketniche,ithas,ofcourse, developedamoresophisticatedsetofproductsandservices.Butithasalsobeenchallengedonvarious issuesrelatedtocorporatesocialresponsibility.Groupsrepresentingtherightsandinterestsofanimals havecriticizedtheagribusinessmethodsusedbyitssuppliers.Recently,publicinterestgroupshaveblamed BurgerMananditscompetitorsforencouragingunhealthydietaryhabitsamongitscustomersandthepublic ingeneral.Shareholders,ofcourse,areconcernedthatthecompanycontinuetobeprotableandprovide themwithagoodreturnoninvestment.GovernmentalregulatoryagenciessuchastheEPAEnvironmental ProtectionAgencyandOSHAOccupationalSafetyandHealthAdministrationwishtoholdBurgerMan accountableforconformingtoitsregulations.Inshortthereareseveralstakeholdergroupssurroundingthis corporation,eachvyingforitsparticularinterest.Inthisexercise,youwillplaytworoles.Firstyouwill beassignedaroleasoneofBurgerMan'sstakeholdersandmakeapresentationofyourgroup'sinterest inmockshareholdermeetingthatwillbeheldinclass.ThenyouwillswitchtotheroleofBurgerMan management.Hereyourassignmentwillbetoarticulatethedierentstakeholderinterestsandintegrate themintoacoherentCSRplanforyourcompany. BurgerManCustomers BurgerMancustomersaretheconsumerswhogotoitsrestaurantandenjoyitsfoodservices.In preparingyourboardmeetingpresentationyouneedtoexploreBurgerMan'ssocialresponsibilitiesto itscustomers. Arethesereducibletoprovidingthemanenjoyableproductatareasonableprice?OrdoesBM'ssocial responsibilitiesgobeyondthis? BurgerManhasextensiveinteractionswithitssuppliersthatincludemeatpackingcorporationsand agri-businessconcerns.HowshouldBurgerManchooseitssuppliers?Howcarefullyshoulditmonitor theiractivities.TowhatextentisBurgerManresponsiblefortheuntowardactivitiesofthesegroups? HowresponsibleisBurgerManforshapingthedietaryhabitsofitscustomers?Doesitbearresponsibilityforthehealthproblemsthatitspublicdevelopsfrombaddietarypractices? BurgerManShareholders BurgerManshareholdersareinvestorswhohavepurchasedsharesofBurgerMan'spubliclytraded stock. Whataretheirstakes? Whataretheirresponsibilities?Forexample,howcloselyshouldshareholdersmonitortheactionsof theiragents,i.e.,BurgerMan'smanagers?AreshareholdersresponsibleforholdingBurgerManto certainstandardsofcorporatesocialresponsibility?Whatarethesestandardsandhowdotheystand inrelationtothedierentmodelsofsocialresponsibility? Prepareyourpresentationaroundtheseissues.Addressshareholderinterestsstakesandresponsibilities. BurgerManManagers BurgerManmanagersaretheagentsoftheshareholders/ownersresponsibleforoverseeingtheday-todayoperationsofthecorporation. Whatarethemanager'sstakes?Whatroledotheyplayinthedierentmodelsofsocialresponsibility? Classical,stakeholder,andallianceviews? Agencytheoryarguesthattheprimarycorporategovernanceproblemisoverseeingandcontrollingthe actionsofmanagers.Howcloselyshouldshareholdersandtheirboardofdirectorsoverseecorporate managers?Aremanagersself-interestedagentsorstewardsofthecorporation? Whataremanagerialresponsibilitiesvisaviscorporatesocialresponsibility?Shouldtheyuncover illegalactions?Shouldtheyimplementanauditprocessthatassessthecorporation'ssuccessincarrying outitssocialresponsibilities?Shouldtheseresponsibilitiesgobeyondthelegalminimum?

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71 Shouldmanagersgobeyondthelegalminimuminmonitoringandcarryingoutcorporatesocialresponsibilities? Arecorporatemanagersresponsibleonlytoshareholdersordotheirresponsibilitiesextendtoother stakeholders?Ifthelatter,howdotheybalanceconictingstakes? Structureyourpresentationaroundoutliningmanagerialstakesandroles.Chooseamodelofcorporate socialresponsibilityandargueforitsappropriatenesstoBurgerMan. GovernmentRegulatoryAgencies:OSHAandEPA OSHAisinchargeofregulatingworkplacesafety.EPAisinchargeofsetting,monitoring,andenforcing standardsconcerningtheenvironment.Forexample,theyestablishacceptableairemissionandwater dischargestandards. Whatarethestakesofgovernmentregulatoryagencies?WhatistheirroleinthecontextoftheBurger Mancorporation? Writeyourpositionpaperoutliningyourgroup'sstakesandrolesinthecontextofestablishingBurger Man'scorporatesocialresponsibilityprocedures.Whatwouldyourecommend?Howshouldyouback uporenforcetheserecommendations? AnimalRightsActivists BurgerManserveshamburgers,chickensandwiches,anddairyproducts.Theseinvolveanimals.As animalrightsactivists,youareconcernedwithsteeringBurgerMananditssupplierstowardmorally acceptabletreatmentofanimals. Whatareyourgroup'sstakesinthisboardmeeting?Whatkindofroleshouldyouplay? Stateyourpolicyonanimaltreatment?Isitapositionofanimalwelfarebasedonutilitarianconsiderations?PeterSingerprovidessuchaposition.Isitadeontologicalpositionbasedontheassertionof animalrightsthatimposecorrelativedutiesonhumans?TomRegantakesthisposition.Orshould youbaseyourargumentsonanthropocentricissuessuchashumanhealth? WriteapositionpaperthatrespondstothesequestionsforpresentationintheBurgerManboard meeting. TownXCommitteeforEconomicDevelopment Yourtown,TownX,hasthreeBurgerManfranchises.Representativesfromthetowncouncilare participatingintheboardmeetinginordertoensurethatBurgerMan'spoliciesoncorporatesocial responsibilityenhancethetown'seconomicwelfareanddevelopment. Whatareyourstakes?Whatareyourrolesandresponsibilities? WhatkindofservicesandproductsdoyouprovideforBurgerMan?Whatbenetsdoyourcommunity drawfromBurgerMan?HowcanBurgerManactivitiesandpoliciespromoteordemoteyourtown's interestsandstakes? Developapositionpaperfortheboardmeetingthataddressestheseissues?Payspecialattentionto thegoodsandrisksthatyourtownexchangeswithBurgerMan. Insertparagraphtexthere. ExercisesinCSR ParticipateintheBurgerManStakeholderMeeting Takeyourassignedstakeholdergroupandprepareashortpresentationveminutesmaximumon yourstakeholder'sinterests,rights,needs,andvulnerabilities. Listentothestakeholderpresentationsfromtheothergroups.Trytoavoidacompetitivestance. Instead,lookforcommonalitiesandsharedinterests.Youmaywanttoformcoalitionswithoneor moreoftheothergroups.

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72 CHAPTER3.CSRCORPORATESOCIALRESPONSIBILITY SwitchfromthestakeholderroletothatofBurgerManmanagement.Youareresponsiblefordeveloping acomprehensivecorporatesocialresponsibilityprogramforBurgerMan.Youjobistointegratethe concernsexpressedbythestakeholdersintheirpresentationandformyourplanaroundthisintegration. Trytoresolveconicts.Ifyoucannotandareforcedtoprioritize,thenyoustillmustndawayof recognizingandrespondingtoeachlegitimatestakeholderstake.Youmaywanttorefertothe"Ethics ofTeamWork"modulem13760tolookfortime-testedmethodsfordealingwithdiculttoreconcile stake.Theseincludesettingquotas,negotiatinginterests,expandingthepie,nonspeciccompensation, logrolling,cost-cuttingandbridging.Youshouldbeabletoestablishbeyondashadowofadoubtthat youhavemadeeveryattempttorecognizeandintegrateeverylegitimatestakeholderstake. 3.3.6Whatdidyoulearn? ThismoduleandtwoothersAShortHistoryoftheCorporationandCorporateGovernancearedesignedto helpyouunderstandthecorporatecontextofbusiness.Inthissection,youshouldreectonthreequestions: Whathaveyoulearnedaboutthesocialresponsibilitiesofcorporations?Whatstillperplexesyou aboutthesocialresponsibilitiesofcorporations.DoyoundonemodelofCSRbetterthantheothers? CanthesemodelsofCSRbecombinedinanyway? 3.3.7Appendix RubricforPartialExamonCSR Thisisanunsupportedmediatype.Toview,pleasesee http://cnx.org/content/m17318/latest/PE_Rubric_CLSR_F08.docx Figure3.4: ThislecontainstherubrictobeusedonthepartialexamforCorporateLeadershipand SocialResponsibility,ADMI3405,Fall2008" CorporateSocialResponsibilityFrameworks:SeminalPapers 1.Friedman,M."TheSocialResponsibilityofBusinessIstoIncreaseItsProts,"in NewYork TimesMagazine ,September13,1970. 2.Evan,W.M.andFreeman,E.StakeholderTheoryoftheModernCorporation:Kantian Capitalism"inBeauchampandBowie1988. 3.Friedman1970andEvanandFreeman1988canbefoundin:Beauchamp,T.L.andBowie,N.E., editors. EthicalTheoryandBusiness,3rdEdition. NewJersey:PrenticeHall:87-91and 97-106. 4.SeeWerhane2007and2008below References 1.Collins,J.C.,Porras,J.I. BuiltToLast:SuccessfulHabitsofVisionaryCompanies NewYork:HarperCollinsPublishers. 2.Stone,C.D.WheretheLawEnds:TheSocialControlofCorporateBehavior.Prospectr Heights,IL:WavelandPress,INC:1-30. 3.DesJardins,J.R.EnvironmentalEthics:AnIntroductiontoEnvironmentalPhilosophy.Belmont,CA:WadsworthPublishingCompany:37.

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73 4.Clarke,T."Introduction:TheoriesofGovernanceReconceptualizingCorporateGovernance TheoryAftertheEnronExperience,"inTheoriesofCorporateGovernance:ThePhilosophicalFoundationsofCorporateGovernance,ed.ThomasClarke.NewYork:Routledge:1-30. 5.Donaldson,T. TheEthicsofInternationalBusiness .NewYork:OxfordUniversityPress. 6.French,P.A.CollectiveandCorporateResponsibility.NewYork:ColumbiaUniversityPress. 7.French,P.A."CorporateMoralAgency"inWerhane,P.H.,andFreeman,R.E.BlackwellEncyclopedicDictionaryofBusinessEthics.Oxford,UK:Blackwell:148-151. 8.May,L.TheMoralityofGroups:CollectiveResponsibility,Group-BasedHarm,andCorporate Rights.NotreDame,IN:UniversityofNotreDamePress. 9.Werhane,P.H."MentalModels:MoralImaginationandSystemThinkingintheAgeofGlobalization,"inJournalofBusinessEthics,78:463. 10.Werhane,P."CorporateSocialResponsibility/CorporateMoralResponsibility:IsTherea DierenceandtheDierenceItMakes,"ineds.,May,S.,Cheney,G.,andRoper,J.,TheDebateover CorporateSocialResponsibility.Oxford,UK:OxfordUniversityPress:459-474. 11.Fisse,B.andFrench,P.A.,eds.CorrigibleCorporationsandUnrulyLaw.SanAntonio,TX: TrinityUniversityPress. 12.Nader,R.andGreen,M.J.,eds.CorporatePowerinAmerica.NewYork:Grossman. 13.NaderR.Green,M.andSeligman,J.1976TamingtheGiantCorporation.NewYork:Norton. 14.Davis,M.ThinkingLikeanEngineer:StudiesintheEthicsofaProfession.Oxford,UK: OxfordUniversityPress:119-156.Jackall,R.MoralMazes:TheWorldofCorporateManagers. Oxford,UK:OxfordUniversityPress. 15.Carol,A.B.,"SocialResponsibility,"inWerhane,P.,andFreeman,R.E.,eds.,1998Blackwell EncyclopedicDictionaryofBusinessEthics.Oxford,UK:BlackwellPublishers,INC:593-595. 16.Dyrud,M.A."Ethics,Gaming,andIndustrialTraining,"inIEEETechnologyandSociety Magazine.Winter2007:36-44. 17.Ritz,Dean."CanCorporatePersonhoodBeSociallyResponsible?"ineds.May,S.,Cheney, G.,andRoper,J.,CorporateGovernance.Oxford,UK:OxfordUniversityPress:194-195. 3.3.8EACToolKitProject 3.3.8.1ThismoduleisaWORK-IN-PROGRESS;theauthorsmayupdatethecontentas needed.Othersarewelcometousethismoduleorcreateanewderivedmodule.Youcan COLLABORATEtoimprovethismodulebyprovidingsuggestionsand/orfeedbackonyour experienceswiththismodule. PleaseseetheCreativeCommonsLicense 6 regardingpermissiontoreusethismaterial. 3.3.8.2FundedbytheNationalScienceFoundation:"CollaborativeDevelopmentofEthics AcrosstheCurriculumResourcesandSharingofBestPractices,"NSF-SES-0551779 3.4TheoryBuildingActivities:"ResponsibilityandIncidentat Morales" 7 3.4.1ModuleIntroduction 3.4.1.1GettingStarted... Manuel,plantmanageratthePhaustchemicalplantinMorales,Mexico,hasjustdied.Whilehewas babysittingtheprocessofmanufacturingPhaust'snewpaintremovermonitoringonsitetemperatureand 6 http://creativecommons.org/licenses/by/2.0/ 7 Thiscontentisavailableonlineat.

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74 CHAPTER3.CSRCORPORATESOCIALRESPONSIBILITY pressureconditionsanexplosionoccurredthatkilledhiminstantly.TheMexicangovernmenthasformed anindependentcommissiontoinvestigatethisindustrialaccident. Thiscommissionheadedbyyourinstructorhasorderedkeyparticipantstotestifyontheirroleinthe accidentinapublichearing.Yourjobistopresentbeforethiscommissionfromastakeholderpointofview. Youwillbedividedintogroupstoroleplaythefollowingstakeholderperspectives: Fred,thechiefengineerinvolvedindesigningtheplant, plantworkers, ocialsfromMexicangovernmentregulatoryagencies, Phaustmanagement, representativesfromtheparentFrenchcompany, ocialspresidingoveranengineeringprofessionalsociety. Youwillbeassignedrolesandgivenclasstimetopreparepresentationsforthecommission.Thentheclass willenactthepublichearingbyhavingeachgroupgiveapresentationfromtheperspectiveofitsassigned role.Followingthesepresentations,groupswillanswerquestionsfromtheinvestigatingcommission.Finally, youwillworkthroughdebriengactivitiestohelpsolidifyyourpracticalunderstandingofthemodule's chiefconcepts.Backgroundmaterialsdesignedtohelpyouwithyourpresentationsincludesketchesofmoral responsibility,linkstothe"IncidentatMorales"Case,taskstohelpstructureyourrole-playing,andactivities todebriefonthisexercise.Thismoduleisdesignedtohelpyoulearnaboutmoralresponsibilitybyusing responsibilityframeworkstomakeday-to-daydecisionsinarealistic,dynamic,businesscontext. 3.4.1.1.1BeforeYouCometoClass... 1.VisitthelinktotheNationalInstituteforEngineeringEthics.Lookatthestudyguideanddownload thescriptforthevideo,"IncidentatMorales."Youwanttohavesomeideaofwhathappensinthe videobeforeyouwatchit. 2.Readthemodule.Payspecialattentiontothesectionon"Whatyouneedtoknow."Hereyouwill readsummariesofthreesensesofmoralresponsibility:blameresponsibility,sharingresponsibility, andresponsibilityasavirtue.Yourgoalhereisnottounderstandeverythingyoureadbuttohavea generalsenseofthenatureofmoralresponsibility,thestructureoftheresponsibilityframeworksyou willbeusinginthismodule,andthedierencebetweenmoralandlegalresponsibility.Havingthis backgroundwillgetyoureadytolearnaboutmoralresponsibilitybyactuallypracticingit. 3.Cometoclassreadytowatchthevideoandstartpreparingforyourpartinthepublichearing.Itis essentialthatyouattendallfouroftheseclasses.Missingoutonaclasswillcreateasignicantgap inyourknowledgeaboutandunderstandingofmoralresponsibility. 3.4.2Whatyouneedtoknow... "Responsibility"isusedinseveraldistinctwaysthatfallundertwobroadcategories,thereactiveandthe proactive.Reactiveusesofresponsibilityreferbacktothepastandrespondtowhathasalreadyoccurred. Whocanbepraisedorblamedforwhathasoccurred?Proactiveusesemergethroughtheeorttoextend controloverwhathappensinthefuture.Animportantpartofextendingcontrol,knowledge,andpower overthefutureislearningfromthepast,especiallyfrompastmistakes.Butproactiveresponsibilityalso movesbeyondpreventiontobringingabouttheexemplary.Howdooccupationalandprofessionalspecialists uncoverandexploitopportunitiestorealizevalueintheirwork?Proactiveresponsibilityresponsibilityasa virtueexplorestheskills,sensitivities,motives,andattitudesthatcometogethertobringaboutexcellence. 3.4.2.1DierentmeaningsofResponsibility ReactiveSenses

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75 1. CausalResponsibility referstoprioreventscalledcauseswhichproduceorpreventsubsequent eventscalledeects.Cheap,inacuratesensorscauserequiredthatManualbepresentonthescene eecttomonitorthehightemperaturesandpressuresrequiredtocorrectlypreparePhaust'spaint stripper. 2. RoleResponsibility delineatestheobligationsindividualscreatewhentheycommittoasocialor professionalrole.WhenFredbecameanengineerhecommittedtoholdingparamountthehealth, safetyandwelfareofthepublic.SeeNSPEcodeofethics 3. CapacityResponsibility setsforththoseconditionsunderwhichsomeonecanbepraisedorblamed fortheiractions.Praiseandblameassociateanagentwithanaction.Excusesarebasedonmeansfor separatingordisassociatinganagentfromtheiractions.Capacityresponsibilityhelpsusdetermine whetherthereareanylegitimateexcusesavailableforthosewhowoulddisassociatethemselvesfrom untoward,harm-causingactions. 4. BlameResponsibility determineswhenwecanlegitimatelypraiseorblameindividualsfortheir actions. ProactiveSenses 1. SharingResponsibility extendsthesphereofresponsibilitytoincludethosetowhomonestandsin internalrelationsorrelationsofsolidarity.Sharedresponsibilityincludesansweringfortheactionsof otherswithinone'sgroup.Italsoincludescomingtothemoralaidofthosewithinone'sgroupwho havegonemorallyastray;thisinvolvesbringingtotheirattentionmorallyriskyactionsandstanding withthemwhentheyarepressuredfortryingtoupholdgroupvalues.Whilesharingresponsibility entailsansweringforwhatmembersofone'sgrouphavedone,itdoesnotextendtotakingtheblame fortheuntowardactionsofcolleagues.SharingresponsibilitydoesnotcommitwhatH.D.Lewiscalls the"barbarismofcollectiveresponsibility"whichconsistsofblamingandpunishinginnocentpersons fortheguiltyactionsofthosewithwhomtheyareassociated. 2. PreventiveResponsibility :Byusingknowledgeofthepast,onecanavoiderrorsorrepeatsuccesses inthefuture.PeterFrenchcallsthisthe"PrincipleofResponsiveAdjustment."Oneadjustsfuture actionsinresponsetowhatonehaslearnedfromthepast.AccordingtoFrench,responsiveadjustment isamoralimperative.Ifonefailstoresponsivelyadjusttoavoidtherepetitionofpastuntowardresults, thisloopsbackintothepastandcausesarevaluationoftheinitialunintentionalaction.Thebenet ofthedoubtiswithdrawnandtheindividualwhofailstoresponsivelyadjustisnowheldresponsible fortheoriginalpastaction.Thisisbecausethefailuretoadjustinsertstheinitialactionintoalarger contextofnegligence,badintentions,recklessness,andcarelessness.Failuretoresponsivelyadjust triggersaretroactiveattributionofblame. 3. ResponsibilityasaVirtue :Hereonedevelopsskills,acquiresprofessionalknowledge,cultivitates sensitiviesandemotions,anddevelopshabitsofexecutionthatconsistentlybringaboutvaluerealizationandexcellence.Onewayofgettingatresponsibilityasanexcellenceittoreinterprettheconditions ofimputabilityofblameresponsibility.Anagentescapesblamebyrestrictingthescopeofroleresponsibility,claimingignorance,andcitinglackofpowerandcontrol.Inresponsibilityasavirtue,onegoes beyondblamebyextendingtherangeofroleresponsibilities,seekingsituation-relevantknowledge,and workingtoskillfullyextendingpowerandcontrol. 3.4.2.2BlameResponsibility ToholdFredresponsiblefortheaccidentatMorales,weneedto... 1.Specifyhisroleresponsibilitiesanddeterminewhetherhecarriedthemout 2.Identifysituation-basedfactorsthatlimitedhisabilitytoexecutehisroleresponsibilitiesTheseare factorsthat compel ouractionsorcontributetoour ignorance ofcrucialfeaturesofthesituation. 3.Determineifthereisanymoralfaultpresentinthesituation.Forexample,didFredactonthebasis of wrongfulintention DidheintendtoharmManuelbysabotagingtheplant?,failtoexercise due care ,exhibit negligenceorrecklessness ?

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76 CHAPTER3.CSRCORPORATESOCIALRESPONSIBILITY 4.IfFredafailedtocarryoutanyofhisroleresponsibilities,bthisfailurecontributedtotheaccident, andcFredcanoernomorallylegitimateexcusetogethimselfothehook,thenFredisblameworthy. Fred,andotherIncidentatMoralesstakeholders,canescapeorminimizeblamebyestablishingmorally legitimateexcuses.Thefollowingtableassociatescommonexcuseswiththeformalconditionsofimputability ofblameresponsibility.Conditionsofimputabilityarethoseconditionsthatallowustoassociateanaction withanagentforpurposesofmoralevaluation. ExcuseTable ExcuseSourceCapacityResponsibility ExcuseStatement Conictswithina roleresponsibility andbetweendierentroleresponsibilities Icannot,atthesametime,carryoutallmyconictingroleresponsibilities HostileOrganizationalEnvironment which routinelysubordinatesethicaltonancialconsiderations. TheenvironmentinwhichIworkmakesitimpossibletoactresponsibly.Mysupervisorroutinely overrulesmyprofessionaljudgment,andIcando nothingaboutit. Overlydeterminingsituationalconstraints:nancialandtime Ilackthetimeandmoneytocarryoutmyresponsibility. Overlydeterminingsituationalconstraints:technicalandmanufacturing Carryingoutmyresponsibilitygoesbeyondtechnicalormanufacturinglimits. Overlydeterminingsituationalconstraints:personal,social,legal,andpolitical. Personal,social,legalorpoliticalobstaclesprevent mefromcarryingoutmyresponsibilities. KnowledgeLimitations Crucialfactsaboutthesituationwerekeptfromme orcouldnotbeuncoveredgivenevenareasonable eort. Table3.6 3.4.2.3ProactiveResponsibility PreventiveResponsibility:ResponsiveAdjustment Responsibilitytoadjustfutureactionsinresponsetowhathasbeenlearnedfromthepast ScenarioOne :Pastactionsthathaveledtountowardresults.Failureheretoadjustfutureactionsto avoidrepetitionofuntowardresultsleadstoreassessingtheoriginalactionandretrospectivelyblaming theagent. ScenarioTwo :Pastactionshaveunintentionallyandaccidentallyledtopositive,value-realizing results.Heretheagentresponsivelyadjustsbybeingpreparedtotakeadvantageofbeinglucky.The agentadjustsfutureactionstorepeatpastsuccesses.Inthisway,theagentcapturespastactionspast luckandinsertsthemintothescopeofpraise. NotaBene :Theprincipleofresponsibleadjustmentsetsthefoundationforresponsibilityinthesense ofpreventionoftheuntoward. ResponsibilityasaVirtueorExcellence 1.Virtuesareexcellencesofthecharacterwhicharerevealedbyouractions,perceptions,beliefs,and attitudes.Alongtheselines,responsibilityasavirtuerequiresthatwereformulateresponsibility fromitsreactive,minimalistsensewhereitderivesmuchofitscontentfromlegalresponsibilityto responsibilityasanexcellenceofcharacter.

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77 2.Aristotlesituatesvirtuesasmeansbetweenextremesofexcessanddefect.Canyouthinkofexamplesof toomuchresponsibility?DoesFredtrytotakeontoomuchresponsibilityincertainsituations?Can youthinkofanyonewhoexhibitstoolittleresponsibility.DoesFredtakeontoolittleresponsibility orshiftresponsibilitytoothers?ForAristotle,wecanhavetoomuchortoolittleofagoodthing. Fromthe"toomuch"wederivevicesofexcess.fromthe"toolittle"wederivethevicesofdefect. 3.Virtuesaremorethanjustmodesofreasoningandthinking.Theyalsoconsistofemotionsthatclue usintoaspectsofthesituationbeforeusthataremorallysalientand,therefore,worthyofournotice andresponse.Twoemotionsimportantforresponsibilityarecareandcompassion.Carecluesusinto aspectsofoursituationthatcouldharmthosewhodependonouractionsandvigilance.DoWally andFredpaysucientattentiontotheearlybatchleakagesintheMoralesplant?Ifnot,doesthis stemfromalackofcare"Letoperationshandleit"andalackofcompassion"Manuelcantakecare ofhimself"?Careandcompassionhelptosensitizeustowhatismorallysalientinthesituationat hand.Theyalsomotivateustoactresponsibilityonthebasisofthissensitivity. 4.Responsibilityasavirtuemanifestsitselfinawillingnesstopickupwhereothershavelefto.After theBhopaldisaster,aworkerwasaskedwhy,whenhesawacut-ovalveopen,hedidn'timmediately closeitassafetyproceduresrequired.Hisresponsewasthatshuttingothevaluewasnotapartof hisjobbut,instead,thejobofthoseworkingthenextshift.Thisrestrictionofresponsibilitytowhat isone'sjobcreatesresponsibilitygapsthroughwhichaccidentsandotherharmsrisetothesurface. Theworker'slackofactionmaynotconstitutemoralfaultbutitsurelysignieslackofresponsibility asavirtuebecauseitindicatesadeciencyofcareandcompassion.Thosewhopracticeresponsibility asavirtueorexcellencemovequicklytollresponsibilitygapsleftbyothersevenifthesetasksare notapartoftheirownroleresponsibilitiesstrictlydened.Escapingblamerequiresnarrowingthe rangeofone'sroleresponsibilitieswhilepracticingresponsibilityasavirtueoftenrequireseectively expandingit. 5.Finally,responsibilityasanexcellencerequiresextendingtherangeofknowledgeandcontrolthatone exercisesinasituation.Preventingaccidentsrequirescollectingknowledgeaboutasystemevenafter ithasleftthedesignandmanufacturingstagesandentereditsoperationallife.Responsibilityrequires thatwesearchoutandcorrectconditionsthatcould,undertherightcircumstances,produceharmful accidents.Moreover,responsibilityisafunctionofpowerandcontrol.Extendingtheseanddirecting themtowardgoodresultsareclearsignsofresponsibilityasavirtue. ReponsibilityasVirtue TheIncidentatMoralesprovidesuswithalookintoactionalizeddisaster.But,ifitisexamined morecarefully,italsoshowsopportunitiesfortheexerciseofresponsibilityasavirtue.Thefollowing tablewillhelpyoutoidentifythese"responsibilityopportunities"andallowyoutoimaginecounbterfactualswherehadindividualsactedotherwisethe"incident"couldhavebeenavoidedandmoralvalue couldhavebeenrealized. Thinkofvirtuousorevenheroicinterventionsthatcouldhavepreventedtheaccident.Theserepresents, fromthestandpointofthelm,lostopportunitiesforrealizingresponsibilityandothervirtues. ResponsibilityasaVirtue:RecoveringLostOpportunities Characteristic RelevancetoIncidentatMorales Changegoalfromavoidingblametopursuingprofessionalexcellence. Couldthishaveledparticipantstolookformore creativeresponsestoEPAenvironmentalregulations? continuedonnextpage

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78 CHAPTER3.CSRCORPORATESOCIALRESPONSIBILITY Developaexibleconceptionofyourroleresponsibilitiesandmovequicklytoextendittollresponsibilitygapsleftbyothers. Couldthishavestructureddierentlytherelationbetweenthoseresponsibleforplantdesign/constructionandthoseresponsibleforitsoperation? Extendthescopeanddepthofyoursituational knowledge,especiallyregardingaccumulatinginformationontheoperationalhistoryofnewlyimplementedtechnologies. Wouldthishaveledtofurtherfollow-upontheearly signsofleakageofthecouplings? Extendcontrolandpower.Thisincludesnding waysofmoreeectivelycommunicatingandadvocatingethicalandprofessionalstandardsinthecontextofgroup-baseddecision-making. CouldFredhavehandledmoreproactivelythelast minutechangeinthechemicalformulationofthe paintremover? Table3.7 SectionConclusion Integratetheretroactiveandproactivesensesofresponsibilityintoyourgroup'spresentationforthepublic hearing.Don'tjustworkonthereactiveapproach,i.e.,trytoavoidblameandcastitontheotherstakeholder groups.Thinkproactivelyonhowtopreventfutureproblems,respondtothisaccident,andturntheevents intopositiveopportunitiestorealizevalue. QuestionstoGetStarted IsFredblameresponsiblefortheaccidentandevenManuel'sdeath?Usetheconditionsofimputabilityandtheexcusetabletogetstartedonthisquestion. DidWallyandChuckevadetheirresponsibilitybydelegatingkeyproblemsanddecisionstothose,like plantmanagerManuel,inchargeofoperations?Starttheanswertothisquestionbydeterminingthe dierentroleresponsibilitiesofthestakeholdersinthissituation. WhatkindofresponsibilitydoestheparentFrenchcompanybearforshiftingfundsawayfromPhaust's newplanttonancefurtheracquisitionsandmergers?Lookingatthemodulesoncorporatesocial responsibilityandcorporategovernancewillhelpyoutoframethisintermsofcorporateresponsibility. DoengineeringprofessionalsocietiesshareresponsibilitywithFred?TheCIAPRandNSPEcodes ofethicswillhelphere.Trybenchmarkingcorporatecodesofethicstoseeiftheyprovideanything relevant. Lookatthepositive,proactivemoralresponsibilitiesofprofessionalsocieties.Whatcantheydoto providemoralsupportforengineersfacingproblemssimilartothoseFredfaces?Thinklessinterms ofblameandmoreintermsofpreventionandvaluerealization. 3.4.3Whatyouaregoingtodo... Inthismodule,youwill... 1.applyandintegratetheconceptofmoralrepsonsibilityblameresponsibility,sharingresponsibility, responsibilityasavirtuetosituationsthatariseinthevideo,"IncidentatMorales." 2.learnthebasicfacts,characterproles,anddecision-situationsportrayedinthevideo,"Incidentat Morales."YouwillseethevideoinclassandexaminethescriptandStudyGuideattheNIEEwebsite. 3.workingroupstodevelopandplayastakeholderroleinactionalpublichearing.Yourgroup's specictasksareoutlinedbelowinoneofthegroupprolesprovided.Ingeneral,youwillprepare astatementadvancingyourgroup'sinterestsandpointsofview.Theresponsibilityframeworkswill helpyouanticipatequestions,prepareresponses,anddefendyourroleagainstthoseinotherroleswho maytrytoshifttheblameyourway.Butmostimportant,thismoduleprovidestoolstohelpyougo beyondthereactive,blamestandpoint.

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79 4.participateinamockpublichearingbyplayingoutyourgroup'sassignedrole. 5.workwiththeothergroupstodebriefonthisactivity.Thepublichearingwillgeneratealotof information,ideas,andpositions.Debriengwillhelpyoutostructureandsummarizethismaterial. Theobjectivehereistolearnbydoing.Buttotrulylearnfromwhatyouhavedone,youneedto reectcarefully. 3.4.3.1StakeholderRoles MexicanGovernmentRegulatoryAgencies LookatOSHAregulationsonsafety.Doanyoftheseapplytotheincidentatmorales.Payparticular attendiontoresponsibilitiesforprovidingsafeworkingconditionsandtomandatedproceduresfor accidentprevention.Howasagovernmentagencycanyouencouragecompaniestotakeactiveand positivemeasurestoincreaseworkplacesafetyandpreventaccidents? LookatEPAorJCAforideasonenvironmentalissues.WhatarePhaust'sresponsibilitiesregarding localenvironmentalconditions?ShouldtheMexicangovernmentrequireliningwastewaterponds? AsanocialrepresentingMexicangovernmentregulatoryagencies,howdoyoubalancethesafetyand environmentalneedsofMexicancitizensandworkerswiththeneedtoattractforeigncompaniesand investorstoMexicotopromoteeconomicdevelopment.Shouldsafetyandenvironmentalvaluesever betradedotopromoteeconomicdevelopment? WorkersatMoralesPlant Manuel,yourplantmanager,hasjustdied.Youandyourco-workersareconcernedaboutthesafety ofthisnewplant.Canyouthinkofanyotherissuesthatmaybeofconcernhere? Developastatementthatsummarizesyourinterests,concerns,andrights.Arethesebeingaddressed bythoseatPhaustandtheparentcompanyinFrance? TheMexicanCommissionestablishedtoinvestigatethis"incident"willaskyouquestionstohelp determinewhatcauseitandwhoistoblame.Whatdoyouthinksomeofthesequestionswillbe? Howshouldyourespondtothem?Whodoyouthinkistoblamefortheincidentandwhatshouldbe doneinresponse? DesigningEngineer:Fred ExamineFred'sactionsandparticipationfromthestandpointofthethreeresponsibiltyframeworks mentionedabove. DevelopatwominutepositionpapersummarizingFred'sinterests,concerns,andrights. AnticipatequestionsthattheCommissionmightraiseaboutFred'spositionanddevelopproactiveand eectiveresponses.. Besuretousethethreeresponsibilityframeworks.IsFredtoblameforwhathappened?Inwhat way?Whatcanprofessionalsocietiesdotoprovidemoralsupporttomembersindicultsituations? Howcaninterestedpartiesprovidemoralsupport?Finally,whatopportunitiesaroseinthevideo practicingmoralresponsibilityasavirtue?Thinkaboutwhatanexemplaryengineerwouldhave donedierently. PhaustManagement:WallyandChuck ChuckandWalleymadeseveraldecisionsrepondingtotheparentcompany'sbudgetcutsthatplaced Fredundertightconstraints.Identifythesedecisions,determinewhethertherewereviablealternatives, anddecidewhethertojustify,excuse,orexplainyourdecisions. Developatwominutepositionpaperthatyouwillpresenttothecommission. AnticipateCommissionquestionsintoyourresponsibilityanddevelopeectiveresponsestopossible attemptsbyothergroupstoshifttheblameyourway.

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80 CHAPTER3.CSRCORPORATESOCIALRESPONSIBILITY CorporateGovernance:FrenchParentCompany YourepresenttheFrenchownerswhohaverecentlyrequiredPhaustChemical.Youhaverecently shiftedfundsfromPhaustoperationstonancefurthermergersandacquisitionsforyourcompany. WhatareyoursupervisoryresponsibilitiesinrelationtoPhaust? Developapreliminarytwominutepresentationsummarizingyourpositionandinterests. Anticipatelikelycommissionquestionsalongwithpossibleattemptsbyothergroupstoshifttheblame yourway. EngineeringProfessionalSociety YourepresenttheprofessionalengineeringsocietytowhichFredbelongs. Developatwominutepresentationthatoutlinesyourgroup'sinterestsandposition. AnticipatepossibleCommissionquestions,developresponses,andanticipateattemptsbyothergroups toshifttheblameyourway. Respondtowhetheryourprofessionalsocietyshouldextendmoralsupporttoengineersindicult positionslikeFred's.Shouldtheyclarifycodeprovisions?Providelegalsupportandcounseling?Make availableaprofessional/ethicalsupporthotline? InvestigativeCommission Thisrolewillbeplayedbyyourinstructorandother"guests"totheclassroom.Trytoanticipatethe commissionsquestions.Thesewillbebasedontheconditionsofblameresponsibility,theprincipleof responsiveadjustment,andresponsibilityasavirtue. 3.4.3.2ModuleTimeLine ModulePreparationActivities:Readmoduleandvisitniee.orgtogetgeneralorientationto"Incident atMorales" ClassOne :WatchVideo.Receivegrouprole.Beginpreparingyourgrouprole. ClassTwo :Workwithinyourgrouponpreparingyourgroup'sstatement,anticipatingquestions,and developingresponses. ClassThree :ParticipateinthePublicHearing.ThegrouprepresentingtheMexicanCommission willconvenethepublichearing,listentothegroup'sstatements,askquestions,andprepareabrief presentationontheCommission'sndings Classfour :Classwilldebriefonthepreviousclass'spublichearing.ThiswillbeginwiththeCommission'sndings 3.4.4Whathaveyoulearned? ListentothendingsoftheMexicanGovernmentCommision.Writeashortessayresponding tothefollowingquestions.Bepreparedtoreadpartsofyouressaytoyourprofessorandto yourclassmates. 1.DoyouagreewiththeCommissionsndings?Whyorwhynot?Besuretoframeyourargumentsin termsoftheresponsibilityframeworksprovidedabove. 2.WerethereanyopportunitiestooerFredmoralsupportbythosewhosharedresponsibilitywithhim? Whatweretheseopportunities.How,ingeneral,canprofessionalsocietiessupporttheirmembers whentheyndthemselvesinethicallydicultsituations? 3.Whatopportunitiesariseforexercisingresonsibilityasanexcellence?Whichweretakenadvantageof? Whichwerelost? 4.Finally,quicklylistthemesandissuesthatwereleftoutofthepublichearingthatshouldhavebeen included?

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81 References 1.F.H.BradleyEthicalStudies,EssayI.Oxford,UK:OxfordUniversityPress. 2.HerbertFingarette.OnResponsibility.NewYork:BasicBooks,INC:3-16. 3.LarryMaySharingResponsibility.Chicago:UniversityofChicagoPress. 4.LarryMayTheSociallyResponsiveSelf:SocialTheoryandProfessionalEthics.Chicago: UniversityofChicagoPress:28-46. 5.MichaelPritchardProfessionalIntegrity:ThinkingEthically.Lawrence,KS:Universityof KansasPress. 6.LawrenceBlumMoralPerceptionandParticularity.Cambridge,UK:CambridgeUniversity Press:30-61 7.Aristotle.NichomacheanEthics,Book3,Chapters1-3. 8.EdmundL.PincosQuandariesandVirtues:AgainstReductivisminEthics.Lawrence,KS: UniversityofKansasPress. 9.W.H.Walsh"Pride,ShameandResponsibility,"ThePhilosophicalQuarterly,Vol20,no78, January1970:1-13. 10.AlbertFloresandDeborahG.Johnson"CollectiveResponsibilityandProfessionalRoles"in EthicsApril1983:537-545. 3.5EthicalIssuesinRiskManagementforBusiness 8 note: Theselinkswillhelpyoutoexploredierenttopicsrelatedtothismodule'scontents. -Epidemologicalstudiesare"natural"experiments.Butallowing naturallyoccurringharmstocontinuewithoutabatementandwithholding informationfromriskbearerscreatesseriousethicalproblems. ReadtheTuskegeecaseaspresentedattheWesternMichiganUniversity EthicsCentertolearnaboutanororiouscaseinwhich patientrightswereegregiouslyviolatedforthesakeof"continuing theexperiment." -Riskhasmeaningonlyinrelationtothesocio-technicalsystem inwhichitoperates.Clickonthelinkabovetofindoutmore aboutSTSanalysisandhowitcanbeusedtoanticipateproblems. -Informedconsentisafundamentrightintheresponsible managementofrisk.ClickonthelinktotheBelmontReportto findoutmoreaboutthisrightanditshistoricalimportance. -TheOnlineEthicsCenter'sdefinitionofinformedconsent includestheconditionsnecessaryforfulfillingthisright. 8 Thiscontentisavailableonlineat.

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82 CHAPTER3.CSRCORPORATESOCIALRESPONSIBILITY WordVersionofthisTemplate Thisisanunsupportedmediatype.Toview,pleaseseehttp://cnx.org/content/m19085/latest/EACTK STDTEMPLATE.doc Figure3.5: Thisisanexampleofanembeddedlink.Goto"Files"tabtodeletethisleandreplace itwithyourownles. 3.5.1Introduction TiltingatWindmillsinPuertoRico Thecompany,Windmar,haspurchasedlandadjacenttotheBosqueSecodeGuanicainPuertoRico.Their planistobuildasmallwindmillfarmtogenerateelectricitythatcanbesoldtothepublicutility,the AutoridaddeEnergiaElectrica.Windmilltechnologyisconsidereddesirablebecausewindisanabundant, clean,andrenewableresource.Butlocaloppositionhasstalledthiseort.Concernedcitizensobject,rst ofall,tobeingexcludedfromthepublichearingsthatwereheldtoassessWindmar'swindmillproject. Opponentsalsoclaimthatwindmilltechnologycankillbirdsontheendangeredspecieslistanddamagethe fragileecosystemsprotectedintheBosequeSecodeGuanica,animportantnaturepreserveinPuertoRico. Theyalsosuspectthatthewindmillprojecthastheulteriormotiveofattractingindustrialdevelopment intosouthernPuertoRico.Whatrisksaccompanywindmilltechnology,andhowcantheybedealtwith ethically? Therealpriceofcellphones Recently,aseriesofmicrowaveantennashavebeenbuiltinPuertoRicointheAtalayahillsbetweenthe westerncitiesofMayaguezandMoca.Dierentkindsofantennasservedierentpurposes;someprovide citizenswithcellphoneservicewhileothersmakeitpossibletotrackhurricanesandotherweatherdevelopments.Theproblemistheimpactonthepeoplewholiveinthesurroundingareas.Manyantennashave beenbuiltwithinvehundredyardsofprivateresidenceswithsomeascloseasonehundredyards.Local residentswerenotconsultedwhenthedecisionwasmadetobuildthem.Theyclaimthattheyhavesuered adisproportionatenumberofhealthproblemscausedbytheEMFselectro-magneticeldsgeneratedby theantennas.Constructionandrepairactivitiesoccuratallhours,dayandnight,disruptingsleepand othernormalactivities.Howshouldthecellphonecompanies,governmentagencies,andotherstakeholders respondtothesehealthandsafetyconcerns?Howshouldthepossibleriskstohealthandsafetyassociated withantennasbeassessedandcommunicated? NoCopperMinesinPuertoRico Startinginthemid-1950's,severalinternationalminingcompanieshaveattemptedtoreceivepermissionfrom thePuertoRicangovernmenttoconstructminesforgoldandcopper.Orebodieslocatedinthemountainous centralregionoftheisland,haveattractedseveralproposalsforminingprojectsrangingfromlargetosmall scale.Concernsabout waterpollution producedbytailingsorminingwasteproducts, airpollution accompanyingtheproposedcoppersmeltingplants,and disruptionoftheagrarianlifestyle stillalive incentralPuertoRicobecamefocusedintoconsiderablepoliticalandenvironmentalopposition.Several miningproposalsweredefeatedascitizens'interestgroupsformedandintensivelylobbiedthegovernment nottopermitmining.Oneminingsite,locatedintheCalaAbajoregion,hasbeenreclassiedasanature preservetoblockfurtherattemptsatmining.Miningcouldbenettheareasaroundtheproposedmining sitesbygeneratingmuchneededjobsandtaxrevenue.Butthesebenetscomeaccompaniedbyincreased

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83 riskstotheenvironmentaswellaspublicsafetyandhealth.Howshouldtheserisksbeassessed?Under whatconditions,ifany,couldtheybedeemedacceptable?Whatprocessesshouldbesetintoplacebythe governmenttoensureadequatepublicparticipationindeterminingwhethertheserisksareacceptable?How shouldriskinformationbecommunicatedtoapublicwhichisisolatedandstilllargelyilliterate? "No"totheCoalPlant Intheearlytomid-1990's,aconsortiumofU.S.andSpanishpowergenerationcompaniesproposedan electricity-generatingplantfortheMayaguezareathatemployedco-generationtechnologyfueledbycoal. NotonlywouldthisprivatelyownedplantselltheelectricityitproducedtotheAutoridaddeEnergiade Electrica;itwouldalsosellthesteamby-producttothetwolocaltunacanningplantsthathadbeenoperating intheareasincethe1960s.Butlocaloppositionarosetoderailtheproject.Coalisanon-renewableresource thatproducesnoxiousby-productsthatcontributetoacidrainandglobalwarming.Geologistspointedout thattheplantwouldbelocateddangerouslyclosetoanactiveearthquakefault.Environmentalgroups raisedconcernsaboutwaterpollution,especiallyfurtherdeteriorationofthealreadyendangeredcoralreef intheMayaguezBayduetothedischargeoftheheatedwateremployedtocoolthecomponentsofthe proposedplant.Intelevisedpublichearings,companyengineerstestiedondesignmodicationstokeep endangeredspeciessuchasmanateefrombeingsuckedintotheplantthroughwaterintakepipes.Onthe othersideofthedebate,thePuertoRicoenergyutility,theAuthoridaddeEnergiaElectrica,predicted energyshortagesbeginningaroundtheyear2000.Thesewarningshavebeenvindicatedbythefrequent brown-outsandblack-outsthatresidentscurrentlysuerthrough.Theyalsoarguedthatthewesternpart oftheislandneededitsownenergy-generatingfacilitiestoholdontocrucialindustrieslikethetextileand tunacanningplantslocatedinthearea.Finally,theyturnedtotheuseofcoaltogenerateelectricityasan eectivesubstituteforpetroleumwhichisusedtogeneratemostoftheelectricityusedbyPuertoRicans. Sincetherejectionoftheproject,thetextileindustryhasallbutdisappearedandoneofthetwotuna canningplantshasrelocatedtoTaiwan.Cangovernmentplaytheroleof"honestbroker"betweenprivate industryandasuspiciouspublic?Shouldpublicutilitiescontractwithprivateindustrytomeetenergyand otherinfrastructureneeds?Whataretheenvironmentalrisksofco-generatingtechnology?Howcanthese beresponsiblycommunicatedtothepublic?Howshouldallstakeholdersweighenvironmental,safety,and healthrisksagainstinfrastructureexpansionandeconomicdevelopment? EthicalIssuesinRiskManagementforBusiness Eachofthesecasesraisesriskissuesthatcannotbesettledbyprocessalonebutrequiresubstantivedebate focusingonthefragileethicalvaluesembeddedinthesurroundingsocio-technicalsystem.Thestakeholders haveattimesworkedtogetherbutmoreoftenengageinconictoverseeminglyincompatibleyetessential interests.Privateindustryhasdesignedtheseprojectstorespondtoreal,market-basedneeds.Forexample, PuertoRicodesparatelyneedsclean,renewableandsustainablesourcesofenergytoprotectitsfragile environmentandreduceitsdependencyonforeignoil.Yetotherstakeholders,especiallyapublicwith complexandvitalinterests,havebandedtogethertoopposetheseandotherinitiatives.Localresidents demandarighttoalivableenvironment,raisehealthandsafetyconcerns,andassertcivilrightsbasedon distributivejustice,freeandinformedconsent,anddueprocess.Pastexperienceswithambitiousbutpoorly designedandexecutedbusinessandgovernmentprojectshaveconsumedsocialcapitalandunderminedpublic trust.Continuingdevelopmentundertheseconditionshasprovendicult.ThePuertoRicangovernment hasconsistentlybeeninthemiddleattemptingtomediatebetweenthesecontendingparties.Cangovernment playtheroleof"honestbroker"andhelpleadconictingstakeholderstopoliticalandsocialconsensus?Can governmentleadthesubstantiveethicaldebateintoapplicationsofdistributivejustice,informedconsent, andsustainableenvironmentalvalue?Orshoulditstepoutofthewayandletthepublicandprivateindustry ghtitoutontheirown?Whatroledofreeorsemi-controlledmarketshavetoplayinmediatingthis conict?Thismodulewillhelpyouexploretheseproblemsthroughtheprismofrisk.Youwillstudythe dierentaspectsofriskandlearnabouttheirethicalandsocialimplications.Thenalobjectiveistohelp youmanageriskethicallythroughresponsibleassessment,perceptionandcommunication.

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84 CHAPTER3.CSRCORPORATESOCIALRESPONSIBILITY 3.5.2Whatyouneedtoknow ::: Workingresponsiblywithriskrequirescarefulintegrationofsubstantiveethicalissues,distinguishingdierent sensesofrisk,andmasteringtheskillsrequiredinmorallyresponsibleriskcommunication.Inotherwords,it ismorethanjustimplementingamechanicalprocessthatimposesunwantedconsensusondisparategroups andindividuals.SeeSandelforanargumentthatpastethicalcontroversiessuchasslaveryhadtobe settledbymeansofsubstantivedebatesratherthanproceduralmaneuvers.Ethicsisimportanttorisk becausescienticriskassessmentisvalue-laden.Valuespermeatedecisionssuchaschoiceofmethodaswell asdecisionsonhowtodistributetheburdenimpliedbytheuncertaintyinvolvedinriskassessmentand management.Thissectionwillintroduceyoutobasicmoralconceptsinvolvedinriskandoerinformation onhowriskisassessed,managed,perceived,andcommunicated. ResponsibleRiskManagement:AssociatedBasicMoralConcepts 1. Right :Acapacityofactionthatothersareobligedtorecognizeandrespect.Akeyrightinthecontext ofriskisfreeandinformedconsent.Seebelow 2. Duty :Theobligationtorecognizeandrespecttheessentialcapacitiesofactionsofothers.Dutiesare correlativetorights.Forexample,thedutytoavoidpaternalisminthemanagementandcommunicationofriskiscorrelativetotherightoffreeandinformedconsent. 3. Virtue :Responsibleriskmanagementcanalsobeformulatedasavirtue.Virtuesaretraitsthatextend "deepdown"intoanindividual'scharacter.Theyincludeanorientationtowardexcellenceindecision andexecution,perceptualsensitivitiesthathelptouncovermoralrelevance,andemotions/attitudes thathelpmotivatedecisionsandactionsorientedtowardachievingexcellence.Forexample,aresponsibleriskcommunicatorhascuriositythatdrivesunderstandingandappreciatingrisk,aconcernfor thewellbeingoftheriskbearer,andastrongdesiretocommunicateriskinformationtruthfullyand clearly. 4. Justice :Justicecanbegenerallydenedasgivingeachhisorherdue.Distributivejustice,in thecontextofrisk,prescribesafairdistributionofthebenetsandharmsassociatedwithtaking acertainrisk.Idealpatternapproachesarguethatdistributionshouldconformtoapatternsuch as equality equalsharestoeveryone, need greatestsharetothosewiththegreatestneeds,and merit greatestsharetothosewhodemonstratesuperiormerit. Idealpatternapproaches require continualredistributionbygovernmentthroughmeasuressuchasaprogressiveincometax. Historical processapproaches prefermaintainingcurrentpatternsofdistributionprovidedthehistoricalprocess leadingtothemhasbeenfreeofforceorfraud.Justiceinthecontextofriskliesindetermininghow thebenetsandharmsassociatedwithriskaredistributed,andhowtheuncertaintythatpermeates theriskassessmentandmanagementprocessisdistributedamongthoseinvolved. 5. Responsibility :HerbertFingarettedenesresponsibilityinthecontextofcriminalinsanityas moralresponsetomoralrelevance.Dierentsensesofresponsibilityincludecausal,legalvs. moral,role,capacity,andblame.Responsibilitycanbereactivewhenitfocusesonthepastandthe assigningofpraiseandblame;oritcanbeproactivewhenitturnstopreventingharmminimizing riskandrealizingvalue. 6. Trust :Theexpectationofmoralbehavioronthepartofothers.Trustisbuiltoutofthesocialcapital accumulatedthroughsuccessfulinteractionswithothers.Itisconsumedorunderminedbythosewho choosetofreerideonsocialcooperation,i.e.,competewhileothersarecooperating.Theprisoner's dilemmaseelinkaboveprovidesasimpliedmodeltoshowthefragilityoftrustm17367. KeyTermsinRiskPractices 1. Safety :"Athingissafeif,wereitsrisksfullyknown,thoseriskswouldbejudgedacceptableinlight ofsettledvalueprinciples."IEE108 2. Risk :"Ariskisthepotentialthatsomethingunwantedandharmfulmayoccur."IEE108 3. NIMBY :Thisacronymstandsfor"Notinmybackyard."Citizensoftenndtherisksassociated withaprojectorproductacceptableonlyifthesearelocatedsomewhereelse,i.e.,inanotherperson's

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85 backyard.NIMBYhasmadeitnexttoimpossiblefortheU.S.DOEDepartmentofEnergytond anacceptablepermanentstoragefacilityfornuclearwaste. 4. FreeandInformedConsent :Therighttodecideifariskisacceptablebasedonaccesstopertinent informationandabsenceofcompulsion.The BelmontReport denesinformedconsentinthefollowingway:"[that]subjects,tothedegreethattheyarecapable,begiventheopportunitytochoose whatshallorshallnothappentothem.Thisopportunityisprovidedwhenadequatestandardsfor informedconsentaresatised."TheOnlineEthicsCenterspellsoutconditionsnecessaryforfullling informedconsent:a disclosure ofinformationtothepatient/subject;b comprehension by thepatient/subjectoftheinformationbeingdisclosed;c voluntariness ofthepatient/subjectin makinghis/herchoice;d competence ofthepatient/subjecttomakeadecision;ande consent bythepatient/subject. 5. Paternalism :Oftenexpertsaretemptedtoactasoverlyconcernedparentsandtakeoverthedecisionmakingperogativesofthepublicbecausetheytheexperts"knowbetter."Paternalism,whilewell motivated,isbasedonthemisconceptionthatthepublicdoesn'tunderstandriskbecauseitoften reachesdierentconclusionsontheacceptabilityofagivenriskthantheexpert.Butthepublic oftenappreciatesriskfromabroader,richerstandpoint,especiallyiftheexperthasproperlyand clearlycommunicatedit.Aswillbeseenbelow,thepublicperceptionofriskisrationalbecauseitis predictable. DimensionsofRisk RiskAssessment :Theprocessofdeterminingthedegreeofriskassociatedwithacertainproduct orprocessusingscienticmethodssuchasepidemologicalstudyoranimalbioassay.Whileusing scienticprocedurestogainameasureofexactness,riskassessmentstillbringswithitaremainderof uncertaintythatcannotbeeliminated.Ariskassessmentissuesintotwouncertainties,theuncertainty astowhethertheharmwilloccurandtheuncertaintyastowhooutofthemanyexposedwillbe harmed.Ethicsentersintothepictureasstakeholdersnegotiatehowtodealwithanddistributethis uncertainty.Responsibleriskpracticerequiresintegratingtheconictingvaluesandinterestsofthe involvedstakeholdersinassessing,communicating,perceiving,andmanagingrisk.Italsorequiresa basisoftrustthatisdiculttobuildupgiventhediverseplayersthatmakeuptherisktakingand bearingsituation. RiskManagement :Thepolitical/social/ethicalprocessofdeterminingifariskofacertaindegree isacceptablegiventhesettledvalueprinciplesgenerallyheldinthecommunityoftheriskbearers. Responsibleriskmanagementrequiresaassessingharmthroughtheresponsibleexerciseofscientic methodandbcommunicatingtheassessedrisktothoselikelytobearit.Responsibleriskmanagement ihonorsrightssuchasfreeandinformedconsentanddueprocess,iiavoidsconictsofinterestsin determiningandcommunicatingrisk,iiiconscientiouslyworkstowardajustdistributionofrisksand benets,andivavoidspaternalism. RiskPerception :Howpeopleperceiveriskdiersfromthestrict,scienticallydetermineddegreeof risk.Forexample,riskperceptionfactorsinvoluntariness,control,expectedbenets,lackofknowledge, anddreadofadverseconsequencesinworkingtowardajudgmentontheacceptabilityofagivenrisk bythecommunityofriskbearers.Becausethepublicperceivesriskoverthisbroadbackground ofscientic,social,political,andethicalfactors,itfrequentlyarrivesatconclusionsatoddswith judgmentsreachedusingstrictlyscienticmethods.Thosetakingapaternalisticattitudetowardthe publictakethisdierenceasevidenceoftheirrationalityofthepublicandtheneedfortheexpertsto takenthingsintotheirownhands.However,thepublicattitudetowardriskisintelligibleandrational whenthisbroader,riskperceptionperspectiveistakenintoaccount. RiskCommunication :Thisdimensionfocusesonhowtocommunicateriskinformationtorisk bearersinordertofacilitatedistributivejustice,freeandinformedconsent,anddueprocess.Responsibleriskcommunicationrequirestranslatingscienticallydeterminedinformationintoanon-technical vocabulary.Analogiesandcomparisonshelpasdoestheuseofconcretelanguageandcommonlyunderstoodimages.Butimproperuseofcomparisionsandanalogiesconfusesthepublicandundermines

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86 CHAPTER3.CSRCORPORATESOCIALRESPONSIBILITY trust. Public :thosepersonswhoselackofinformation,technicalknowledge,ortimefordeliberationrenders themmoreorlessvulnerabletothepowersanengineerwieldsonbehalfofhisclientoremployerDavis AssessingRisk EpidemiologicalStudies :Weareconstantlyexposedtodierentrisksthathavebecomeinherent inoursocio-technicalcircumstances.Theseongoing,unintentionalexperimentsareexploitedthrough epidemiologicalstudieswhicharedesignedtomeasurethecorrelationbetweenexposuretoriskfactors andtheoccurrenceofharm.Forexample,arethoselivingclosetoEMFselectro-magneticelds generatedbytechnologieslikeelectricalpowerlinessusceptibletocertainharmslikeleukemia?An epidemiologicalstudywouldcompareincidentsofthisdiseaseoccurringinapopulationexposedto EMFswithincidentsofthisdiseaseoccurringinapopulation,unexposedtoEMSs.Iftherewerea signicantriskratiousuallysetatthreetimestheincidentsoftheharmintheunexposed,control groupthenthisprovidesevidencethatexposuretoEMFssomehowcausesleukemia.Furtherstudy wouldberequiredtoconrmthishypothesisanduncoverthecausalmechanismbywhichexposure producestheharm.Epidemiologicalstudiesarediculttocarryoutandarealwaysaccompanied byuncertaintyduetothelimitationsofthemethodsemployed.Typically,theharmmaytakeyears tobecomemanifestafterexposure.Findingapopulationstableenoughtodeterminetheeectsof longtermexposureisdicultbecauseindividualsfrequentlymovefromplacetoplace.Suchnatural experimentsalsobringwiththemagreatdealof"noise";factorsotherthanEMFscouldbecausing leukemiaorEMFscouldbeinteractingwithotherelementsintheenvironmenttocausetheharm. Finally,thereistheTuskegeefactor.InthenotoriousTuskegeeexperiment,doctorsrefusedtotreat AfricanAmericansforsyphilisinordertostudythelongtermprogressionofthedisease.Exposing apopulationtoariskfactorwithoutinformingthemofthepotentialharminordertogainscientic informationviolatestherightoffreeandinformedconsentandthedutynottoharm. AnimalBioassays :Riskinformationcanoftenbeobtainedbyexposinganimalstotheriskfactor andcheckingforemergingharms.Whileuseful,animalbioassaysaresubjecttoseveralproblems. Experimentingonanimalsraisesmanyofthesameethicalconcernsasexperimentingonhumans. Utilitariansarguethatanimalsmeritmoralconsiderationbecausetheyaresentientandcansuer. AnimalexperimentsarethussubjecttothethreeRs:reduce,rene,andavoidreplication.See BernardRollinsSecond,theseexperimentscreatetwokindsofuncertainty.aProjectionsfrom animaltohumanphysiologycanleadresearchersastraybecauseofthedierencesbetweenthetwo; forexample,animalsaremoresensitivetocertainharmsthanhumans.bProjectingtheresultsfrom intensiveshorttermanimalexposureintothelongtermcanalsointroduceerrorsanduncertainty. Thus,aswithepidemiologicalstudies,thereareuncertaintiesinherentinanimalbioassays. Riskassessment,whileuseful,isburdenedwithuncertaintyduetothelimitsofwhatweknow,what wecanknow,andwhatweareabletolearnwithintheethicalparametersofhumanandanimal experimentation.Crucialethicalissuesariseaswedecidehowtodistributethisuncertainty.Dowe placeitsburdenontherisktakerbycontinuingwithaprojectuntilitisprovenunsafeandharmful? Ordowesuspendtheactivityuntilitisprovensafeandharm-free.Therstgivesprioritytoadvancing riskyactivities.Thesecondgivesprioritytopublicsafetyandhealth,eventothepointofsuspending thenewactivitiesunderquestion. RiskPerception Theframeworkfromwhichthepublicperceivesriskisbroaderandricherthanthatofriskassessment. Thefollowingvefactorsinuencehowthepublicjudgestheacceptabilityofariskassessedatagiven magnitude. Voluntariness :Ariskthatisvoluntarilytakenismoreacceptablethanariskofthesamemagnitude thattakeninvoluntarily.Thus,drivingone'scartoapublichearingontherisksofaproposednuclear powerplantmayberiskierthanlivingnexttotheplant.Butdrivingtothepublichearingsisdone

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87 voluntarilywhilelivingnexttotheplantissueredinvoluntarily.Accordingtostudies,avoluntary riskisasmuchas1000timesmoreacceptablethananinvoluntaryriskofthesamemagnitude. Control :Closelyrelatedtovoluntarinessiscontrol.Ariskunderone'scontrolorunderthecontrol ofsomeonetrustedismoreacceptablethanariskofthesamemagnitudethatisnotundercontrol. CharlesPerrow,in NormalAccidents arguesagainstnuclearenergytechnologybecauseitsdesign allowsforcomponentsthataretightlycoupledandinteractwithnonlinearpatternsofcausality.These twocharacteristicsmakeitpossibleforsmalleventstostartchainreactionsthatissueintolargescale disasters.Becausethesesmalleventscannotbeisolatedtheyaretightlycoupledandbecausethey interactunpredictablytheydisplaynonlinearcausality,theyescapecontrolandleadtounacceptable risks. Perceived/ExpectedBenets :Ariskofagivenmagnitudeismoreacceptableifitcomesaccompaniedwithsubstantialexpectedbenets.Onetakestheriskofdrivingtothehearingsontheproposed nuclearplantbecausethebenetsofgettingcrucialinformationonthisprojectoutweightherisksof havingacaraccident.Ridingamotorcycleisariskyventure.Butthebenetsreceivedfromthis activityintheformofenjoymentmaketheriskmoreacceptablethanariskofthesamemagnitude accompaniedwithlessbenets. UnknownFactors :Ariskthatisnotunderstoodislessacceptablethanonethatiswellunderstood. Ridingabicycleisariskyventurebut,becauseitsrisksarewellknown,itismoreacceptablethan otheractivitiesaccompaniedbyrisksofsimilarmagnitudes.ThisfactorishighlypertinenttoEMFs electro-magneticelds.WhileEMFsareassociatedwithcertainillnesseslikeleukemia,theireects arenotwellknownandarenotunderstoodbythepublic.Thisunknownelementmakeslivingnear EMFproducingtechnologieslessacceptable. DreadFactors :Ariskmaybeknownanditscausalrelationtocertainillnesseswellunderstood. Neverthelessitmaybelessacceptablebecausetheconditionitcausesisonethatishighlydreaded. EMFs,becausetheyhavebeenassociatedwithleukemiainchildren,aremuchlessacceptablebecause ofthis"dreadfactor."Thecausesofradiationsicknessarewellknownasarethestagesoftheillness. Butbecausethiskindofillnessishighlydreaded,accompanyingrisksarelessacceptablethanother risksofthesamemagnitudewithlessofthedreadfactor.Again,comparecrashingonabicyclewith comingdownwithcancertogetanideaofhowdreadpermeatestheperceptionofrisk. AgainstPaternalism :Considerthepossibilitythatpredictabilityisonecomponentofrationality. Thentestthishypothesisinthecasespresentedatthebeginningofthismodule.Cantherisksposedby eachprojectbeexaminedintermsvoluntariness,susceptibilitytocontrol,expectedbenets,unknown factors,anddreadfactors?Ifso,thenthepublicperceptionofthisriskisrationalbecauseitcanbe predictedandunderstood.Thus,eventhoughmembersofthepublicmightndotherrisksofthe sameorevengreatermagnitudemoreacceptable,theseperceptualfactorswouldrenderthepublic's judgmentintelligibleandpredictable.Ifallofthisissoandyouwillbetestingthishypothesisinthe exercisesbelowthenpaternalismonthepartoftheexpertwouldnotbejustied.Furthermore,these insightsintohowriskisperceivedbythepublicshouldprovideyouwithvaluableinsightintohowto communicaterisktothepublic. ResponsibleRiskCommunication TellingtheTruth :Certainly,responsibleriskcommunicationshouldstartwiththecommitmentto tellthetruth.Butthevirtueoftruthfulnessismorecomplicatedthanitmightseematarstglance. Forexample,wereanexperttotellnonexpertsthewholetruththismightconfusethem,especiallyif theaccountisloadedwithcomplextechnicalexplanationsandjargon.Truthfulnessmightrequiresome simplicationholdingsomethingsbackorputtingthemindierentterms, judicious comparisons, andtheuseofconcreteimages.Thus,thevirtueoftruthfulnessrequiresaunderstandingtheaudience andboutliningtheirperceptions,concerns,feelings,andneeds.Withthisinmind,herearesome factorsthatareusefulincommunicatingriskresponsiblyandtruthfully. Knowtheaudience :Whatistheirlevelofunderstanding,theirneeds,andtheirperceptions.For example,dotheyperceivetheriskasvoluntary,undercontrol,accompaniedwithsubstantialbenets,

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88 CHAPTER3.CSRCORPORATESOCIALRESPONSIBILITY accompaniedbyeectsthatarewellknown,andofalowdreadfactor?Theriskperceptionframework describedabovewillhelpyoutocommunicateriskinahelpfulandresponsiblemanner. Takemeasurestoavoiddeceivingtheaudience :Thegapbetweentheexpertthoseintheknow andthepublicissometimesquitelarge.Thiscreatesthetemptationtollthatgapwithlessthen truthfulcontent.Avoidingdeceptionrequiresmorethanjustrefrainingfromtellingoutrightlies.It alsorequirestakingmeasurestoavoidsubtlemanipulationandunintentionaldeception. Guardagainstunintentionaldeception :aBecarefulwhenusingrhetoricaldevises.bUserisk comparisonsandanalogiestoprovidethepublicwithbenchmarks,nottopersuadethemthatbecause theyacceptriskXtheyshouldacceptriskY.cBesuretopointoutthelimitsofcomparisons andanalogies.Drivingtothepublichearingisariskofagreatermagnitudethanlivingnextto anuclearplantbutthisdoesnotincludekeyfactorssuchasvoluntariness,control,andexpected benets.dAvoidconictsofinterest.Inexerciseonebelow,youwillbelookingatanexampleof riskcommunicationtakenfromthemovie Silkwood .Thinkaboutwhetherthiscommunicationis reponsibleandhonest.Dotheinterestsoftheriskcommunicatorscoincidewiththoseoftheaudience? Dotheinterestsofthecommunicatorsbiasthecontentofthecommunicationinanyway?Forexample, doestheupcomingvotetokeeptheunionplayaroleinthisriskcommunicationact? 3.5.3Whatyouwilldo... Inthissection,youwillpracticemanagingandcommunicatingriskinformation.Inmanagingriskinformation,youwillpracticehowtoempower,inform,andinvolvetherisk-bearingpublic.Incommunicatingrisk, youwillpracticedierentwaysofhelpingthepublictodeliberateontheacceptabilityofcertainrisks. ExerciseOne Listentothedoctorscommunicatingtherisksassociatedtoexposuretoplutoniumwhileworkingin theKerr-McGeeplantinthemovie,Silkwood.Howeectiveisthiscommunicativeact?Explain yourassertion.Howtruthfulisthiscommunicativeact?Istruthaboutriskvalue-freescientic informationordovaluesplayacrucialroleinourdeliberationsonrisk?Whatkindofvaluesareat stakehere? ListentoCharlieBloom'spresentationtotheMilagrocitizens'meetingontheeconomicandsocialrisks associatedwiththeDevineRecreationalCenter.Describeindetailtheaudience'sreaction.Analyze boththecontentandstyleofBloom'sshortspeech.Doeshefacilitateorimpedetheprocessand substanceofdeliberationoverrisk?RewriteBloom'sspeechanddeliveritbeforetheclassasifthey werecitizensofMilagro. PaulSlovicpicturesapartoftheriskperceptionprocessintermsofunknownanddreadfactors.In general,thehigherthedreadandunknownfactors,thelessacceptabletherisk.Otherfactorsthat enterintothepublicperceptionofriskarevoluntariness,control,expectedbenets,andthefairness ofthedistributionofrisksandbenets.Giventhisdepictingofthepublic'sperceptionofrisk,howdo youexpecttheKerrMcGeeemployeestoreacttotheriskinformationbeingpresentedbythedoctors? HowwillthecitizensofMilagroreacttotheriskinformationtheyarereceivingontheethical,social, andeconomicimpactsoftheDevineRecreationalProject?. ExerciseTwo:RiskPerception ChooseoneofthecasespresentedaboveintheIntroductiontothismodule. Describethosewhofallintothepublicstakeholdergroupinthiscase.Seetheabovedenitionof "public" Identifythekeyrisksposedinyourcase.. Describehowthepublicislikelytoperceivethisriskintermsofthefollowing:voluntariness,perceived benets,control,unknownfactorsanddreadfactors. Giventhisperceptionoftherisk,isthepubliclikelytonditacceptable?

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89 ExerciseThree:RiskCommunication Youarearepresentativefromoneoftheprivatebusinessinvolvedintheabovecase Yourjobistocommunicatetothepublicwhoseriskperceptionyoustudiedinexercisetwotherisk assessmentdatayouhavecollectedontheprojectinquestion Developastrategyofcommunicationthatisbasedonalegitimateriskcomparisonsandanalogies,b thatisnon-paternalistic,cthatrespondstothemannerinwhichthepublicislikelytoperceivethe risksinquestion,anddisopentocompromisebasedonlegitimatepublicinterestsandconcerns. ExerciseFouroptional Carryoutexercisestwoandthreeusingeitherthe MilagroBeaneldWar townmeetingorthe unionmeetingfrom Silkwood PretendyouareCharlieBloomandarechargedwithoutliningthevariousrisksthataccompanythe DevineRecreationalFacility.Therestoftheclass,youraudience,willplaytheroleofthedierentstakeholders.ThesecouldincludethetownspeopleownersoflocalbusinessessuchasRuby Archuleta'scarbodyshopandthegeneralstoreowner,NickReal,farmerssuchasJoeMondragon,localandstatelawenforcementocerssuchasBernabeMontoyaandKyrilMontona, LaddDevineRecreationCenteremployeessuchasHorsethiefShortywholeadstheconstruction crew,localgovernmentocialssuchasmayorSammyCantuandstategovernmentocials includingthegovernor,andLaddDevinehimself. Giveashortpresentation.Thenrespondtoquestionsandcommentariesfromyourclassmateswhoare workingwiththedierentrolesoutlinedabove. TakeavoteonwhethertogoaheadwiththeLaddDevineproject. 3.5.4Whatdidyoulearn? BusinessandRisk YouareaCorporateEthicsComplianceOcerdevelopinganethicsprogramforyourorganization.How shouldyourprogramrespondtotheethicsofriskissuesdiscussedinthismodule?Howshouldyourcorporationgoaboutidentifyingandcommunicatingriskfactorstoemployees?Howshouldyourcorporationgo aboutidentifyingandcommunicatingriskfactorstootherstakeholderssuchascustomers,localcommunity, andgovernmentagencies? 3.5.5Appendix Bibliography 1.Covello,V.T.,Sandman,P.M.andSlovic,P.1991"GuidelinesforCommunicatingInformationAbout ChemicalRisksEectivelyandResponsibly,"in AcceptableEvidence :66-92. 2.Cranor,C.F. RegulatingToxicSubstances:APhilosophyofScienceandtheLaw OxfordUniversityPress:London. 3.Fingarette,H. CriminalInsanity .UniversityofCaliforniaPress,Berkeley,CA:171. 4.Mayo,D.G.,Hollander,R.D.,Editors. AcceptableEvidence:ScienceandValuesinRisk Management .OxfordUniversityPress:London. 5.Mayo,D.G.1991"SociologicalVersusMetascienticViewsofRiskAssessment,"in Acceptable Evidence .OxfordUniversityPress:London:249-280. 6.Slovic,P."BeyondNumbers:ABroaderPerspectiveonRiskPerceptionandRiskCommunication,"in AcceptableEvidence :48-65. 7.Perrow,C. NormalAccidents:Livingwithhigh-risktechnologies .BasicBooks,NY,NY. 8.Reason,J./1999 HumanError CambridgeUniversityPress:London. 9.Sago,M. Risk-BenetAnalysisinDecisionsConcerningPublicSafetyandHealth Kendall/Hunt:Dubuque,Iowa.

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90 CHAPTER3.CSRCORPORATESOCIALRESPONSIBILITY 10.Sago,M. TheEconomyoftheEarth:Philosophy,Law,andtheEnvironment .Cambridge UniversityPress:London. 11.Sandel,M.J./1998 LiberalismandtheLimitsofJustice,2ndEd .CambridgeUniversity Press,London. 12.Shrader-Frechette."ReductionistApproachestoRisk,"in AcceptableRisk .218-248. 13.Thompson,P.B.,"TheEthicsofTruth-TellingandtheProblemofRisk." ScienceandEngineeringEthics 5:489-510. 14."Glossary"OnlineEthicsCenterforEngineering1/31/20066:57:46PMNationalAcademyofEngineeringAccessed:Saturday,December27,2008www.onlineethics.org/CMS/glossary.aspx Thisoptionalsectioncontainsadditionalorsupplementaryinformationrelatedtothismodule.Itcould include:assessment,backgroundsuchassupportingethicaltheoriesandframeworks,technicalinformation, disciplinespecicinformation,andreferencesorlinks. 3.5.6EACToolKitProject 3.5.6.1ThismoduleisaWORK-IN-PROGRESS;theauthorsmayupdatethecontentas needed.Othersarewelcometousethismoduleorcreateanewderivedmodule.Youcan COLLABORATEtoimprovethismodulebyprovidingsuggestionsand/orfeedbackonyour experienceswiththismodule. PleaseseetheCreativeCommonsLicense 9 regardingpermissiontoreusethismaterial. 3.5.6.2FundedbytheNationalScienceFoundation:"CollaborativeDevelopmentofEthics AcrosstheCurriculumResourcesandSharingofBestPractices,"NSF-SES-0551779 9 http://creativecommons.org/licenses/by/2.0/

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Chapter4 CGCorporateGovernance 4.1DierentApproachestoCorporateGovernance 1 -ThefirstlinkreferstoanewsstoryonDunn'sresignationfromtheHewlett-Packardboard. ItistakenfromPBS'sOnlineNewsHourinareportdeliveredbyMargaretWarneronSeptember22,2006. -ThesecondlinkprovidesbackgroundinformationontheHughesAircraftcaseprofiledjustbelow. note: ArthurAndersen Onceahighlyrespectedcompany,ArthurAndersennolongerexistshavinggonebankruptinthewakeofthe Enrondisaster.ArthurAndersenprovidedEnronwithconsultingandaccountingservices.Theconsulting divisionwasmoresuccessfulbuttheaccountingdivision,withitslongtraditionofoutstandingethicalservice, wasthecorporation'sbackbone.ArthurAndersensignedoonEnron'suseofmark-to-marketaccounting whichallowedEnrontoprojectoptimisticearningsfromtheirdealsandthenreporttheseasactualprots yearsbeforetheywouldmaterializeifatall.TheyalsosignedoonEnron'sdeceptiveuseofspecial purposeentitiesSPEtohidedebtbyshiftingitfromonectionalcompanytoanother.WithArthur Andersen'sblessing,Enroncreatedtheillusionofaprotablecompanytokeepstockvaluehigh.When investorsnallysawthroughtheillusion,stockpricesplummeted.Tohidetheircomplicity,ArthurAndersen shreddedincriminatingdocuments.Forfederalprosecutorsthiswasthelaststraw.TheJusticeDepartment indictedtheonceproudaccountingrmconvincedthatthisandpreviousethicallapsesSunbeamandWaste Managementshowedapatternofunabatedwrongdoing.ArthurAndersenwasconctedofobstructing justiceonJune15,2002andcloseditsdoorsshortlyafter. AATimelineTakenfromSmartestGuysintheRoom 1913FoundedbyArthurAndersen:"thinkstraight,talkstraight" StooduptoRailroadcompanyinearlyyears.Whenaskedtochangeaccountingstandards,Andersen said,"ThereisnotenoughmoneyinthecityofChicago[tomakeAAgiveintoclientdemands]" 1947-1963LeonardSpacekbecamepresidentofAAsucceedingArthurAndersen. SpacekhelpedmotivatetheformationoftheFinancialAccountingStandardsBoard.AAalsoserved asconscienceofaccountingprofessioncriticizingtheprofessionandtheSECSecuritiesandExchange Commissionfor"failingtosquareitsso-calledprincipleswithitsprofessionalresponsibilitytothe public." 1963-1989Slowerosionofstandardsanddevelopmentofcompetitionbetweenaccountingandconsultingdivisions.Consultingdivisionwasdevelopedtotakeadvantageofaprotabledirectioninthe nancialinduistry. 1 Thiscontentisavailableonlineat. 91

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92 CHAPTER4.CGCORPORATEGOVERNANCE 1989Consultantsachieverelativeautonomyas"separatebusinessunit."McLean:144 1997Consultantsbreakfromrm. 1988-1991ArthurAndersenreceives54millioninfeesfromEnron 2000EnronpaysAA52million.Thelionshareofthiswasforconsultingfees. June15,2002AAfoundguiltyofobstructionofjustice."Today'sverdictiswrong....Therealityhere isthatthisverdictrepresentsonlyatechnicalconction."McLean:406 HughesAircraft HowardHughesfoundedthiscompanyatthebeginningofthetwentiethcentury.Hughesbecamearegular supplierofmilitaryhardwaretotheU.S.military.Inthe1980'sthisincludedpartsforsurfacetoairmisiles andghteraircraft.Onedivisionspecializedincomputerchipsdesignedtoconvertanalogueinformationto digitalforuseinguidancesystemsanddecisionsupportsystems.Forexample,thesechipsinteractedwith radartohelppilotsofghteraircraftavoidenemymissilesandalsoservedasanessentialcomponentfor missileguidancesystems,theso-calledsmartbombs.Hugheshadwonthecompetitivebidsforthesehighly protablemilitaryprojectsbuttheyhadalsocommittedthemselvestotightdeliveryscheduleswithinexible deadlines.Andontopofthis,theU.S.Airforcedemandedthatthesecomputerchipsandthesystemsthat integratedthemberigorouslytestedtoshowthattheycouldwithstandthesevereenvironmentalstresses ofbattle.Hughessoonfellbehindonthedeliveryofthesecomputerchipscausingachainreactionofother delaysbothwithinthecompanyandbetweenthecompanyandotherlinksinthemilitarysupplychain. TheenvironmentaltestscarriedoutbyqualitycontrolunderthesupervisionofFrankSaiahadworked hardtocompletethetime-consumingtestsandstillremainonschedulewithdeliveries;hotpartsparts inhighdemandwerepulledtothefrontofthetestinglinetokeepthingsrunningbutsooneventhis wasn'tenoughtopreventdelaysandcustomercomplaints.Givingwaytothesepressures,someHughes supervisorspushedemployeestopasschipswithouttestingandeventopasschipsthathadfailedtests. MargaretGooderalandRuthIbarraresignedfromthecompanyandblewthewhistleontheseandother ethicalfailingsthathadbecomerampantinHughes.Sothecorporatesocialresponsibilityquestionbecomes howtochangethiscultureofdishonestyandrestorecorporateintegritytothisonceinnovativeandleading company.BackgroundinformationonHughescanbefoundatcomputingcases.org. PatriciaDunnv.TomPerkinsonCorporateGovernance WhenPatriciaDunnbecamea"non-executive"chairmanofHewlett-Packard'sboardonFebruary7,2005, shebroughtwithheranoutstandingreputationincorporategovernance.Hertopprioritiesweretooversee theelectionofanewCEOaftertheringofCarlyFiorinawhosemanagementoftherecentacquisitionof CompaqhadlosthertheHPboard'ssupport.Dunnalsowasdeterminedtostopleakstothepressfrom high-levelHPocials.Sheviewedthelattertaskasafundamentcomponentofthepost-Enroncorporate governanceapproachshefeltwasneededasHewlett-Packardmovedintothe21stcentury.Butherformal takeonCGwasatoddswithpowerfulboardmemberandsuccessfulventurecapitalist,TomPerkins.Inhis opinion,toostrictanapproachtoCGstoodinthewayofHPcultureandtookfocusawayfromcompeting withDellandIBMaswellasstayingonthecuttingedgeinthedevelopmentofnewtechnology.Astheleaks continued,Dunn'sinvestigationintotheirsourcemostlikelyadiscontentedHPboardmemberbecame moreactiveandrigorous.AndthedisagreementsbetweenherandboardmemberPerkinsdeepened;their incompatibleviewsonCGandotherdisagreementsledtoPerkins'sresignationfromtheHPboard.Things becamecriticalwhenPerkinsreceivedaletterfromA.T.andT.informinghimthatanaccounthadbeen establishedinhisnamebutwithouthisknowledgeorconsentusingthelast4digitsofhissocialsecurity numberandhisprivatephonenumber.DuringtheHP-ledinvestigationintothepressleaks,aprivate investigationrmusedanillegaltechniqueknownas"pretexting"toobtaincondentialinformationabout HPboardmembersandnewsreportersincludingprivatephoneandsocialsecuritynumbers.Perkinsreported thistotheSEC,andPatriciaDunn,aschairmananddefactoheadoftheleakinvestigation,wasindicted onfourcriminalchargesincludingidentitytheft. Dunnfocusedonincompatibleviewsofcorporategovernanceasoneofthecausesoftheriftthathad developedbetweenherandPerkins's: "Tom'smodelofgovernancemaybeappropriateinthe worldofventurecapital,butitisoutmodedandinappropriateintheworldofpubliccompany governance." Stewart,165Shealsomadeclearherstrongviewsonboardmembersleakingcondential

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93 informationsharedduringboardmeetingstothepress: "Themostfundamentaldutiesofadirector thedutiesofdeliberationandcandorrelyentirelyupontheabsolutetrustthateachdirector musthaveinoneanother'scondentiality.Thisistruefortrivialaswellasinmportant matters,becauseeventrivialinformationthatndsitswayfromtheboardroomtothepress corrodestrustamongdirectors.Itisevenmorecriticalwhendiscussionscanaectstock prices....Leaking"good"informationisasunacceptableasleaking"bad"informationnoone canforetellhowsuchinformationmayadvantageordisadvantageoneinvestorrelativeto another." Stewart,156 Questions Howcansuccessfulcorporategovernanceprogramsbeintegratedintocompanieswithfree-wheeling,innovativecultureswithoutdampeningcreativeandimaginativeinitiatives?Howdoesonemakesenseofthe fundamentalironyofthiscase,thataconscientiouspursuitofcorporategovernanceattackingviolationsof boardcondentialitycanturnintoviolationofcorporategovernanceviolationoftheprivacyandpersons ofinnocentboardmembers? WordVersionofthisTemplate Thisisanunsupportedmediatype.Toview,pleaseseehttp://cnx.org/content/m17367/latest/EACTK STDTEMPLATE.doc Figure4.1: Thisisanexampleofanembeddedlink.Goto"Files"tabtodeletethisleandreplace itwithyourownles. 4.1.1Introduction JamesB.Stewart,ina NewYorker articleaboutPatriciaDunnandHewlett-Packard,describescorporate governanceas"atermthattechnicallyreferstoallaspectsofrunningacorporationbutinrecentyears hascometoemphasizeissuesoffairness,transparency,andaccountability."Thismodulelooksatcorporate governancefromthemacroperspective,examiningthemanagementstrategiesadoptedbyarmto ensurecomplianceandpursueexcellenceandfromthestandpointofgovernmentasitseekstominimize unethicalcorporatebehaviorandtomaximizethecorporation'scontributiontosocialwelfare. 4.1.2Whatyouneedtoknow ::: 4.1.2.1Prisoner'sDilemma:CooperationorCompetition? Scholarlydebatesoncorporategovernancehaveturnedontheadvocacyofdierentapproaches,manyof whichcanbemodeledmathematically.Twoapproachesarebasedontheconceptsofagencyandstewardship. SeeDaviset.al.inClarke2004Toenterintothisdebate,youwillreenactthe"Prisoner'sDilemma." Imaginethattwopatrioticspies,AandB,havejustbeencapturedbytheenemy.Bothareplacedinseparate interrogationcellsandarebeingpressuredtoconfessandprovidedetailsabouttheirspyingactivities.Aand Bwouldliketocoordinatetheiractionsbuttheenemyhaskeptthemaparttopreventthis.Theirobjective istopitAagainstBanotherinordertogetthedesiredinformation.Todothis,theyhavesetforththe followingsystemsofmotivations,i.e.,punishmentsandrewards. OptionsforthePrisoners

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94 CHAPTER4.CGCORPORATEGOVERNANCE IfbothAandBconfess .AandBareputinjailforveyearseach.Thenetlossinthisscenario is10.Thisistheleastdesirablealternativefromthecollectivestandpoint. Ifoneconfessesandtheotherdoesnot .Theconfessorisreleasedimmediatelywhilethenonconfessorgetssevenyearsinprison.Thismaximizestheconfessor'sselfinterestbutseveralypunishes thepatriotic,non-confessor.Netlossis7. Ifbothdonotconfess .Aftersixmonthsofhalf-heartedinterrogationmostofthistimeisfor processingtheprisoners'release,botharesetfreeforlackofevidence.Whilenotmaximizingself interestthisliesinconfessingwhiletheotherremainssilentthisdoesmaximizesoverallwelfareby producinganetlossofonly1. PrisonerDillemaOptionsSummarized PrisonerA/PrisonerB Confess NotConfess Confess Bothgotojailfor5yearsNet lossis10 Agoestojailfor7years.Bis released.Netlossis7 NotConfess Bgoestojailfor7years.Ais releasedNetlossis7 Bothheldforsixmonths,thenreleased.Netlosis1.0 Table4.1 AssumptionsinthePrisonerDilemma Cooperationproducesthebestcollectiveoptionandthesecondbestindividualoption.This,inturn, assumesthatcooperationproducesmoresocialwelfarethancompetition. Freeridingcompetingonthecooperationofothersproducesthemostindividualgainsforthefree riderbutthesecondworstcollectiveresults.Societysuerslosesfromtheharmdonetothetrusting, non-confessorandfromtheoveralllossoftrustcausedbyunpunishedfree-riding. Unlimited,purecompetitionbothprisonersconfessproducestheworstcollectiveresultsandthe secondworstindividualresults. Multipleiterationsoftheprisoner'sdilemmaeventuallyleadtocooperativebehavior.Butwhatcauses this?Thetrustthatemergesastheprisoners,throughrepeatediterations,cometorelyonone another?Orthefearof"tit-for-tat"responses,i.e,thatfreeridingonthepartofoneplayerwill bepunishedbyfreeridingonthepartoftheotherinfutureiterations? DoesthePrisoner'sDilemmaassumethateachplayerisarational,self-interestmaximizer?Arethe playersnecessarilyselshinthattheywillseektomaximizeselfinterestevenattheexpenseofthe otherplayersunlessrewardsandpunishmentsareimposedontotheplayingsituationfromtheoutside? ThePrisoner'sDilemmaisdesignedtomodeltherealityofcorporategovernancewherethedirectors/owners ofacorporationdelegateresponsibilityforthecorporation'soperationstomanagerswhoarechargedwith pursuing,nottheirowninterests,butthoseoftheirdirectors.Theproblemofcorporategovernanceishow thiscooperativearrangementisinstitutionalized.Canmanagersbeleftaloneandtrustedtopursuethebest interestsofthecorporation?Thisisimpliedinstewardshiptheory.Orisitnecessarytodesignasystem ofcontrolstokeepthemanagersfromdivertingtheoperationsofthecorporationtowardtheirexclusive, self-interests?Thisistheapproachtakeninagencytheory.Modelingthisintermsofrepeatediterations oftheprisoner'sdilemma,doescooperationemergeasthemostreliablestrategyinthelongrun?Ordoes itneedtobemanufacturedbyintroducingasystemofincentivessuchasfearoftit-for-tatstrategies?The Prisoner'sDilemmamodelsthecentralproblemsofcorporategovernancebyaskingwhethercooperation naturallyemergesbetweenmanagersanddirectorsorwhetheritneedstobemanufacturedthroughasystem ofpunishmentsandrewards.

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95 4.1.2.2AShortFootnoteonHumanNature Oneimportantmeansforclassifyingdierentapproachestocorporategovernanceistoreectonthe associatedaccountofhumannature.Thisisaverycomplexissuebut,fortunately,politicalphilosophy providesuswithsomeusefulinsights. ThomasHobbesinthe Leviathan presentsacomprehensivepsychologicalanalysisofhumannature basedonseventeenthcenturyphysics.Thefocalpointofthisanalysisisthehumanindividual's unlimitedpursuitofdesire.Withoutexternalchecksprimarilythethreatofpunishmentimposed byapowerfulsovereignthe StateofNature wherehumanindividualspursueselfinterestwithout externalchecksisidenticaltoa StateofWar .Thiswarofallagainstallis "solitary,poore,nasty, brutish,andshort." Hobbes'sviewhasbeencharacterizedbyC.B.Macphearsonas"possessiveindividualism"whichportraystheselfasthepossessorofitsownattributesincludingthepropertyacquiredthroughitsactions. Thisleadstoaviewcalledatomicindividualismwhichisbasedontheclaimthattheselfhasits characteristicsanddeterminatestructurepriortoandindependentlyofanysocialinteraction. Jean-JacquesRousseauoersabrilliantlyoriginalcriticismofHobbes'conceptionofhumannature inhisSecondDiscourse,the DiscourseontheOriginofInequality .Accordingtohim,Hobbes's characterizationofhumannatureintheStateofNatureisactuallyadescriptionofthehumancorrupted bysocietyandtheacquisitionofproperty. "Therstpersonwho,havingenclosedaplotof land,tookitintohisheadtosaythisismineandfoundpeoplesimpleenoughtobelieve him,wasthetruefounderofcivilsociety.Whatcrimes,wars,murders,whatmiseries andhorrorswouldthehumanracehavebeenspared,hadsomeonepulledupthestakes orlledintheditchandcriedouttohisfellowmen:"Donotlistentothisimposter."" Rousseauarguesthatbeforethenotionofproperty,thehuman'sdesiretopreserveselfwasbalanced bythesocialfeelingofpitybroughtforthbythesueringofothers.Onlytheuncheckedpursuitof propertyseenintermsofexclusivepossessionwouldbringthemotiveofself-interestintoconict withnaturalpity. InoppositiontoHobbes'satomicandindividualisticself,agroupofpoliticalphilosophers,beginning withAristotle,seetheselfasprimarilysocial.Aristotlecharacterizesthehumanasapoliticalanimal abeingwhonaturallyconstructsasocialorganismcalledthe"polus".Sandeldescribesa"thickself" constructedoutoffamilial,socialandpoliticalcontent;thiscontentisintegratedintothecoreofthe self.Werhane'sdescriptionofthis"socialanimal"isworthquotinginfull: "Inthatsocialization process,wedevelopanumberofinterests,roles,memberships,commitments,andvalues suchthateachindividualisanhistorical,cultural,andsocialproduct,apluralisticbundle ofoverlappingspheresoffoci,athickselforselves....[T]hereisnoselfasprecritical, transcendentalsubject,totallyidealspectatorordispossessedsubject. Thusaseriesofviewsofhumannatureemergethatareinstrumentalinformingdierentapproachesto corporategovernance.Hobbes'satomisticindividualismwillfavorthecomplianceapproachmandated byagencytheoryasdirectorssetupexternalcheckstoself-servingmanagers.Rousseau'smorenuanced viewwouldrequirestructurestoholdthepursuitofself-interestincheckwhilestrengtheningtheequally naturalimpulsestowardsocializabilityandcooperation.Thesocialconceptionoftheselfwouldtreat thecorporationasanenvironmentwheremanagers,asstewards,recruitemployeeswhowillquickly committothecentralcorporatevaluesandthendevelopsupportingstructuresandprocedurestohelp theircolleaguesndmeaningfulworkwhilefulllingsocial,corporateobjectives. 4.1.2.3ApproachestoCorporateGovernance SummaryTable

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96 CHAPTER4.CGCORPORATEGOVERNANCE ,1 Description ,2 Theoryof HumanNature ,3 Owner Role ,4 Manager Role ,5 Corporate EthicsFocus ,6 AgencyTheory ,1 Managersact asagentsof thecorporationfullling thegoalsestablishedby theowners/ directors,2 Managersare rational,but self-interested beingswho mustbe controlled fromthe outside,3 Ownersare principals, thatis,they originatethe actionand bearprimary moralresponsibility.,4 Managersare agents,that is,responsible foractingin theinterest oftheprincipalswhohire them.Faithfulagency impliesavoidingconicts ofinterests andmaintainingcondences.,5 Compliance focususes rule-based codes, systemsof monitoring, andpunishmentsand rewardsto motivatecompliancefrom outside.,6 Stockholder Approach ,1 Corporation ispropertyof stockholders whodisposeof itastheysee t.,2 Stockholders pursueself interest.They arerational instrumental,economic self-interest maximizers.,3 Ownersinvest incorporation andseeka returnprot ontheirinvestment.,4 Managersare responsible forensuring thatowners getmaximum returnoninvestment.,5 Stockholders directcompliancetoward manager controland externalconformityto laws.,6 Stakeholder Approach ,1 Ownersdrop outofcenter focus.Corporationisrun forthesakeof itsstakeholders.,2 Groupshave specialinterestsbut recognizethe needtointegratethese. Humanspossesscapacity forprocedural reasoning.,3 Ownersdrop tooneofa groupofequal stakeholders. Stilladvocate theirnancialinterests butnotto exclusionof otherstakeholders.,4 Managers aremetastakeholders. Theytreat stakeholders andstakes equallyand integrate thesetothe fullestextent possible.,5 ,6 continuedonnextpage

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97 Stewardship Model ,1 Managersact asstewardsfor absenteeowners;oversee theoperations ofcorporation andexercise careoverthem. Emotioncare playsanequal rolewithinstrumentalrationality.,2 Desireand selfinterest arebalanced outbysocial motivessuch asRousseau's pityand Aristotle's virtues.,3 Ownersstill setcardinal objectivesbut theyalsoare responsible forproviding managerswith ameaningful workenvironment.,4 Managersare stewardsexercisingcareover thepropertyof theownersin theirabsence. Stewardship isbasedon internallygeneratedand self-imposed motivestoward care.,5 Value-based: identify andformulatecommon standardsof excellence, develop trainingprogramstofoster pursuitof theseexcellences,and develop supportstructurestohelp reducevalue "gaps.",6 Table4.2 AgencyTheory 1.Inagencytheory,theowners/directorssetthecentralobjectivesofthecorporation.Managers,inturn, areresponsibleforexecutingtheseobjectivesinthecorporation'sday-to-dayoperations.Corporate governanceconsistsofdesigningstructuresandprocedurestocontrolmanagement,i.e.,tokeeptheir actionsinlinewithdirector-establishedobjectives. 2.Managerscannotbetrustedtoremainfaithfulagents,i.e.,tostayfaithfultotheinterestsandgoals oftheowners/directors.Thispresupposesaparticularviewofhumannature.Humansarerational, egoists.Theyhavedesiresandusereasontodevisemeanstorealizethem.Sinceonedesirecanbe checkedonlybyanotherdesire,thisegoismispotentiallywithoutlimit.Agencytheoryassumesthat managerswilldivertcorporateresourcestopursuetheirownselshendsunlesscheckedbysomesystem ofexternalcontrols.Thus,anotherkeyelementofcorporategovernanceunderagencytheoryistond themostecientsystemsofcontrolstokeepmanageregoismincheck. 3.Theowners/directorsplaytheroleofprincipalinagencytheory.Theprincipaloriginatestheaction andbearsprimarymoralandlegalresponsibilityforit.Mostofthetimetheprincipalofanactionis alsoitsexecutor.Buttherearetimeswhentheprincipallackstheknowledgeandskillnecessaryfor executingtheobjectivesheorsheoriginates.Inthiscase,theprincipalcontractswithanagent.The principalauthorizestheagenttoactonhisorherbehalf.Thisrequiresthattheagentremainfaithful tothegoalsandinterestsoftheprincipal.SeeHobbes's Leviathan ,Chapter16foranimportant historicalaccountoftheagent-principalrelation. 4.Managersareagents.Theirprimaryresponsibilityistoserveasfaithfulexecutorsofthegoalsand interestsoftheprincipals.Thisrequires,rst,that,managersareresponsibleforexercisingtheirprofessionaljudgmentinacompetentway.Managersarealsoresponsibleforremainingfaithfultothe interestsoftheirprincipals.Todothistheymustavoidconictsofinterestsandmaintaincondentialitiesi.e.,keepsecrets.Agentcanalsorangefrombeingfreeunguidedbyprincipalstobound tightlymonitoredandcontrolledbyprincipals. 5.Howdoesethicsenterintocorporategovernanceunderagencytheory?Primaryemphasisisplaced oncompliance,i.e.,enforcedconformitytorulesthatconstituteminimumthresholdsofacceptable behavior.Complianceapproachesdeveloprulebasedcodes,systemsofmonitoringtodetect violations,andpunishmentsandrewardstodeternon-complianceandrewardcompliance.Trevino andWeaverprovideanempiricalanalysistothegoalsachievedthroughcomplianceethics:"[4]the perceptionthatbetterdecisionsaremadebecauseoftheethicsprogram[5]ethicaladviceseeking,[6]

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98 CHAPTER4.CGCORPORATEGOVERNANCE decreasedunethicalbehaviorintheorganization...[7]ethicalawareness."WeaverandTrevino,1999: 333. StockholderTheory 1.Thestockholderapproachisquitesimilartothatsetforthinagencytheory.Thedierenceisthatit viewsthecorporationasthepropertyofitsownersstockholderswhomaydisposeofitastheysee t.Mostofthetimethisinvolvesusingittoreceivemaximumreturnoninvestment. 2.Stockholdersareorientedtowardself-interest,sostockholdertheory,alongwithagencytheory,takes anegoistic/Hobbesianviewofhumannature.Humansarerational,self-interestmaximizers.Owners shouldexpectthisfromthecorporation'smanagersandemployees.Theyshouldintegrateprocedures andcontrolsthatchannelthecorporationanditsmembersinthedirectionoftheirownersselfinterest. 3.Theownersinvestinthecorporationandseekareturnprotonthisinvestment.Butthisnarrow rolehasbeenexpandedintooverseeingtheoperationsofthecorporationsanditsmanagerstoensure thatthecorporationisincompliancewithethicalandlegalstandardssetbythegovernment.Justas themaster,undertortlaw,wasresponsibleforinjurybroughtaboutbythenegligenceofaservant,so alsoaredirectorsresponsibleforharmbroughtaboutbytheirproperty,thecorporation. 4.Managersarerole-responsibleforensuringthatinvestorsgetmaximumreturnontheirinvestment. Thisincludesexercisinggoodbusinessjudgmentandavoidingconictsofinterestsandviolationsof condences. 5.Likecorporationsoperatingwithinagencytheory,stockholdercorporationsfocusoncompliancestrategiestomonitormanagersandmakesuretheyremainfaithfulagents.However,directorsunderthe stockholderapproachalsotakeseriouslyoversightresponsibilitywhichincludeensuringcorporatecompliancewithlawssuchasSarbanes-OxleyandtheFederalSentencingGuidelines. StakeholderTheory 1.Ownersdropoutofthecenterofattentioninthisapproachtobecomeoneofseveral,equalstakeholders. Astakeholderisanygrouporindividualthathasavitalinterest,right,good,orvalueinplayorat risk.Agambler'sstakeisthemoneyonthetableinplayastheroulettewheelturns.Depending ontheoutcomeofthesituation,thegamblereitherkeepsorlosesthestake.Examplesofcorporate stakeholdersincludestockholders,employees,customers,suppliers,localcommunity,andgovernment. Thecorporationonthisviewexistsforthesakeofitsstakeholders,notstockholders. 2.Thestakeholderviewcanbecloselytiedtoegoismifitisassumedthatthedierentstakeholdergroups existtomaximizetheirselshinterests.Butthestakeholderapproachtocorporategovernancegoes beyondtheegoisticaccountofhumannature.Thecorporationanditsmanagersbecomeresponsible formediatingbetweenthesedierent,oftenconicting,stakeholderinterests,alwayskeepinginmind thatallstakeholdersdeserveequalrespect.Ifstakeholdershaveanysolidaritywithoneanother,it isbecausetheinterestsetofeachincludestheinterestsoftheothers.ThisishowFeinbergdenes solidarity.Theabilitytoenvisiontheinterestsofeachstakeholderandtoworktowardintegrating thesemustbebuiltonaviewofhumannaturethatisasaltruisticasegoistic.Whilenotembracingthe socialviewofhumannatureoutlinedabove,thestakeholderviewassumesthatstakeholdersarecapable andwillingtonegotiateandbargainwithoneanother.Itbegins,inotherwords,withenlightenedand longtermselfinterest. 3.Therstfeatureoftheownerroleisthereductionincentralitymentionedjustabove.Theyadvocate theirinterestsinthesamearenaastheotherstakeholders,buttheyalsomustworktomaketheir interestscompatiblewiththeotherstakeholders.Thisrequiresintegratinginterestswhenpossibleand drawingintegrity-preservingcompromiseswhennecessary.SeeBenjamin1990. 4.Managersplayanimportantmeta-rolehere.Theyarefaithfulagentsbutofallstakeholders,notjust stockholders.Thus,theybecomesrefereesortoswitchmetaphorsbrokersbetweenstakeholders.They overseethegenerationofexpansivecorporatevaluescapableofabsorbingandintegratingnarrower stakeholderinterests.

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99 5.Stakeholderapproachescombinecomplianceandvalue-basedapproaches.Incompliance,corporate ocersdeneamoralandlegalminimum;thisconsistsoftheminimumsetofrulesnecessaryfor stakeholdercoexistence.Beyondthis,value-basedapproachesseektocreatecommon,broaderobjectives,aspirationsthatcanunitethedierentstakeholdersinthepursuitofexcellence.Stakeholder approachesneedboth;thecomplianceapproachgetsthingsstartedandthevalues-basedapproachsets themonthepathtoexcellence. StewardshipTheory Managersandemployeescanbetrustedtoactasstewardsorguardiansofthecorporation.Thismeans thatwhiletheydonotownthecorporation'sresources,theywillsafeguardthesefortheowners.A stewardisacaretakerwholooksaftertheowner'spropertyandinterestswhentheownerisabsent Thisapproachdenitelymakesuseofthesocialapproachtohumannature.Humans,naturallyand spontaneously,realizetheirinnermostnaturesbyformingsocialunions.Thecorporation,underthis view,issuchanorganization.Whiletakingonthecharacteristicsofasocialcontractwiththeother approaches,especiallyagencytheory,thecorporationunderthestewardshipviewismoreofacooperative,collaborativeenterprise.Humanscanactandndmeaningininterestsandconcernswellbeyond theconnesoftheego.Infact,toorganizethecorporationaroundegoisticassumptionsdoesharmto thosecapableofactiononaltruisticmotives.Theemphasishereisonbuildingtrustandsocialcapital tostrengthenthesocialpotentialitiesofhumannature. Ownersstillestablishthecardinalobjectivesforthesakeofwhichthecorporationexists.Buttheyare alsoresponsibleforprovidingmanagerswithanenvironmentsuitabledevelopinghumanpotentialities offormingsocietiestocollaborateinmeaningfulwork. Managersactasstewardsorcaretakers;theyactasiftheywereownersintermsofthecareand concernexpressedforworkratherthanmerelyexecutorsoftheinterestsofothers.Inotherwords,the alienationimpliedinagencytheoryactingnotoutofselfbutforanother,disappearsasthemanagers andemployeesofthecorporationreabsorbtheagentfunction. Stewardshipapproachesareprimarilyvalue-based.Theyidentifyandformulatecommonaspirationsorvaluesasstandardsofexcellence,developtrainingprogramsconducivetothepursuitof excellence,andrespondtovalues"gaps"byprovidingmoralsupport. 4.1.2.4ExternalControls:Fining,StockDilution,ChangingInternalGovernance,CourtOrderedAdversePublicity,andCommunityService ClassicationsofCorporatePunishments Description Example Targetof Punishment Deterrence Trap Avoided? Nonnancial Values Addressed? Responsive Adjustment Interference with Corporate Black Box continuedonnextpage

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100 CHAPTER4.CGCORPORATEGOVERNANCE Monetary Exaction Fines Pentagon Procurement Scandals Harmsinnocent Failsto Escape Fewor None Targeted None Nointerference StockDilution Dilute Stockand awardto victim Stockholders Notnecessarily guilty Escapes byattackingfuture earnings Fewor None Limited Nointerference Probation Court orders internal changes special board appointments SECVoluntary Disclosure Program Corporation andits Members Escapes sinceit mandates organizational changes Focuseson managementand subgroup values Passive adjustmentsince imposed from outside Substantial entryinto andinterference withcorporate blackbox Court Ordered Adverse Publicity Court orders corporationto publicize crime English Bread ActsHesterPrynne shamein Scarlet Letter Targets corporate image Escapes although adverse publicity indirectly attacks nancial values Lossof prestige/ Corporate shame/ Lossof Face/Honor Activeadjustment triggered byshame Nodirect interference corporation motived torestore itself Community Service Orders Corporation performs services mandated bycourt Allied chemical James River Pollution Representative groups/individuals fromcorporation Escapes since targets nonnancial values Adds valueto community Passive ornoadjustment: sometimes public doesrecognize thatcsis punishment None Table4.3 RequirementsofSarbanes-OxleyFromDyrud:37 Provideincreasedprotectionforwhistle-blowers Adheretoanestablishedcodeofethicsorexplainreasonsfornon-compliance Engagein"full,fair,timelyandunderstandabledisclosure" Maintain"honestandethical"behavior. Reportethicsviolationspromptly Complywith"applicablegovernmentallaws,rules,andregulations" Dyurdcites:ELT, EthicsandCodeofConduct ,n.d.;http://www.elt-inc.com/solution/ethics _and_code_of_conduct_training_obligations.html AmmendedFederalSentencingGuidelinesDyrud37 Establishingstandardsandprocedurestopreventanddetectcriminalconduct

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101 Promotingresponsibilityatalllevelsoftheprogram,togetherwithadequateprogramresourcesand authorityforitsmanagers Exercisingduediligenceinhiringandassigningpersonneltopositionswithsubstantialauthority Communicatingstandardsandprocedures,includingaspecicrequirementfortrainingatalllevels Monitoring,auditing,andnon-internalguidance/reportingsystems Promitingandenforcingofcomplianceandethicalconduct Takingreasonablestepstorespondappropriatelyandpreventfurthermisconductindetectingaviolation 4.1.3Whatyouwilldo... ModuleActivities StudythePrisoner'sDilemmatohelpyouformulatethecentralchallengesofcorporategovernance. Studyfourdierentapproachestocorporategovernance,agencytheory,thestockholderapproach,thestakeholderapproach,andstewardshiptheory. Examinecorporategovernancefromthemacrolevelbylookingatthestructuralchangesacompany canmaketocomplywithlegalandethicalstandardsandexaminingthebalancesthatgovernment mustmaketocontrolcorporatebehaviorandyetpreserveeconomicfreedom. Designacorporategovernanceprogramforanactualcompanythatyouandyourgroupchoose.It shouldbeacompanytowhichyouhaveopenaccess.Youwillalsoberequiredtotakestepstogain theconsentofthiscompanyforyourstudy. Reectonhowtointegratethismodule'smacrodescriptionofcorporategovernancewiththemicro perspectivepresentedinthemoduleonmoralecologiesandcorporategovernance. CorporateGovernancePlans Acorporatecodeofethicsthatrespondstothespecicethicalproblemsuncoveredbyyourproleof thecorporationyouarestudying. Acorporateethicstrainingprogramdesignedtoacquaintemployees,owners,andmanagerswiththe company'svalueaspirationsandcomplianceobjectives. ACorporateEthicsAuditdesignedtoidentifyandminimizeethicalrisks. AcomprehensiveethicscomplianceprogramthatrespondstotherequirementssetforthinSarbanes andOxleyaswellastheFederalSentencingGuidelines. Aprogramincorporateexcellencedesignedtoarticulateandrealizethecorevaluesthatdeneyour company'sidentityandintegrity. 4.1.4Whatdidyoulearn? Thismaterialwillbeaddedlater.Studentswillbegivenanopportunitytoassessdierentstagesofthis moduleaswellasthemoduleasawhole. 4.1.5Appendix Bibliography 1.Benjamin,M. Splittingthedierence:CompromiseandIntegrityinEthicsandPolitics .Lawrence,KS:UniversityofKansasPress. 2.Carol,A.B.,"SocialResponsibility,"inWerhane,P.,andFreeman,R.E.,eds.,1998 Blackwell EncyclopedicDictionaryofBusinessEthics .Oxford,UK:BlackwellPublishers,INC:593-595.

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102 CHAPTER4.CGCORPORATEGOVERNANCE 3.Clarke,T."Introduction:TheoriesofGovernanceReconceptualizingCorporateGovernance TheoryAftertheEnronExperience,"in TheoriesofCorporateGovernance:ThePhilosophical FoundationsofCorporateGovernance ,ed.ThomasClarke.NewYork:Routledge:1-30. 4.Davis,J.H.,Schoorman,D.,andDonaldson,L."TowardaStewardshipTheoryofManagement,"in TheoriesofCorporateGovernance:ThePhilosophicalFoundationsofCorporateGovernance ,ed.ThomasClarke.NewYork:Routledge:1-30. 5.Dyrud,M.A."Ethics,Gaming,andIndustrialTraining,"in IEEETechnologyandSociety Magazine .Winter2007:36-44. 6.Feinberg,J."CollectiveResponsibility"in DoingandDeserving:EssaysintheTheory ofResponsibility .Princeton,NJ:PrincetonUniversityPress:234. 7.Fisse,B.andFrench,P.A.,eds. CorrigibleCorporationsandUnrulyLaw .SanAntonio, TX:TrinityUniversityPress. 8.French,P.A. CollectiveandCorporateResponsibility .NewYork:ColumbiaUniversity Press.. 9.Hobbes,T.,1968 Leviathan .Middlesex,England:PenguinBooks:186. 10.Macpherson,C.B. ThePoliticalTheoryofPossessiveIndividualism:HobbestoLocke London,UK:OxfordUniversityPress:3. 11.May,L. TheMoralityofGroups:CollectiveResponsibility,Group-BasedHarm,and CorporateRights .NotreDame,IN:UniversityofNotreDamePress. 12.McLean,B.,andElkind,P. TheSmartestGuysintheRoom:TheAmazingRiseand ScandalousFallofEnron .NewYork:Portfolio:141-149. 13.Paine,L.S."ManagingforOrganizationalIntegrity,"in HarvardBusinessReview March/April1994. 14.Rousseau,J.J. Jean-JacquesRousseau:TheBasicPoliticalWritings Translatedby DonaldA.Cress.Indianapolis,IN:HackettPublishingCompany:60. 15.Stewart,J.B."TheKonaFiles:HowanobsessionwithleaksbroughtscandaltoHewlettPackard,"in TheNewYorker ,February19and26,2007:152-167. 16.Stone,C.D. WheretheLawEnds:TheSocialControlofCorporateBehavior ProspectrHeights,IL:WavelandPress,INC:1-30. 17.Swartz,M.,Watkins,S. PowerFailure:TheInsideStoryofthecollapseofEnron .New York:Doubleday:356. 18.Weaver,G.R.andTrevino,L.K."Integratedanddecoupledsocialperformance:Management commitments,externalpressures,andcorporateethicspractices." TheacademyofManagement Journal ,42:539-552. 19.Werhane,P.H. MoralImaginationandManagementDecisionMaking .Oxford,UK: OxfordUniversityPress:39. 20.Werhane,P.H."MentalModels:MoralImaginationandSystemThinkingintheAgeofGlobalization,"in JournalofBusinessEthics ,78:463. 21.Werhane,P."CorporateSocialResponsibility/CorporateMoralResponsibility:IsTherea DierenceandtheDierenceItMakes,"ineds.,May,S.,Cheney,G.,andRoper,J., TheDebate overCorporateSocialResponsibility .Oxford,UK:OxfordUniversityPress:459-474. 4.1.6EACToolKitProject 4.1.6.1ThismoduleisaWORK-IN-PROGRESS;theauthorsmayupdatethecontentas needed.Othersarewelcometousethismoduleorcreateanewderivedmodule.Youcan COLLABORATEtoimprovethismodulebyprovidingsuggestionsand/orfeedbackonyour experienceswiththismodule. PleaseseetheCreativeCommonsLicense 2 regardingpermissiontoreusethismaterial. 2 http://creativecommons.org/licenses/by/2.0/

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103 4.1.6.2FundedbytheNationalScienceFoundation:"CollaborativeDevelopmentofEthics AcrosstheCurriculumResourcesandSharingofBestPractices,"NSF-SES-0551779 4.2DevelopingaStatementofValues 3 4.2.1ModuleIntroduction Codesofethicsevokeoppositereactionsfrompeoplewhoteach,doresearchin,orarepractitionersof occupationalandprofessionalethics.Someholdthatteachingcodesofethicsisessentialtopreparingstudents fortheirfuturecareers.Corporations,forexample,havecometoviewcodesasthecornerstoneofasuccessful complianceprogram.Professionalsocieties,suchasthe PuertoRicoStateSocietyofProfessional EngineersandLandSurveyors ,alsomakethedrafting,revising,anddisseminatingprofessionalcodes ofethicsacentralpartofpracticingprofessionalengineeringethics.Butmanystronglyoppposecodes becausetheypromotethewrongsortsofattitudesinthosewhowouldbeinuencedbythem.Asyouwill seebelow,philosophicalethicistsraiseobjectionstocodesbecausetheyunderminemoralautonomy,leadto uncriticalacceptanceofauthority,andreplacemoralmotiveswithfearofpunishment.Thesepolarstances aregroundedintheverydierentperspectivesfromwhichdierentgroupsapproachcodes.Buttheyare alsogroundedinthefactthatcodestakemanydierentformsandservedistinctfunctions.Forexample, considertheintroductoryconsiderationspresentedinthefollowing: Codes:IntroductoryConsiderations Managersandadministratorshaveusedthemtomaintainpositionsofcontrolandauthority. Professionalsocietiesusecodestocommunicateandenforceminimumstandardsofacceptablebehavior. Codescanbeusedtosupportthosewhowouldbeethicalinthefaceofdiculties.Forexample, codesthatupholdpublicwelfarecanbeusedas"clearmandatesofpublicpolicy"inalegaldefense createdtosupportthosewhosuerorganizationalretaliationforrefusingtocarryoutillegalorimmoral directives. Thisleadstoanimportantfactaboutcodesofethics:theyserveseveraldierentfunctionssuch aseducating,fosteringdialogue,discipliningunethicalbehavior,encouragingandsupportingethical behavior,articulatingvaluesandaspirations,andevenpresentingagroupinafavorablewaytothe generalpublic. Thismodulehasbeendesignedtogetyoutorecognizethesedierentfunctionsatplayincodesof ethics. DicultiesWithCodes Thefollowingobjectionsleadmanytoomitteachingcodesinpracticalandprofessionalethicsclasses. Codescan underminemoralautonomy byhabituatingustoactfrommotiveslikedeferenceto externalauthorityandfearofpunishment. Codestakeonmorethantheycanhandlewhentheypurporttoprovideusguidanceforcomplexsituations.Theineliminablegapbetween rules whicharegeneralandabstractand action-situations whichareparticularandconcreteleadstoserious applicationproblems Codes failtoprovideguidance incomplexsituationsthatpresentnewandunexpectedchallenges. Arguingthatcodesshouldprovideaction-recipiesforallsituationsneglectsthefactthateectivemoral actionrequiresmorethanjustblindobediencetorules. Codesofethicscan encouragealegalisticattitude thatturnsusawayfromthepursuitofmoral excellencetowardjustgettingbyorstayingoutoftrouble.Compliancecodesaremosteectivewhen theyestablishminimumstandardsofacceptablebehavior.Theybreakdownwhentheyturntomore elevatedstandardsthatreectaspirationsratherthanminimumthresholds.Thus,compliancecodes habituateindividualstotheideathatmoralitycanbereducedtocarryingoutminimalstandardsof moraldecency. 3 Thiscontentisavailableonlineat.

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104 CHAPTER4.CGCORPORATEGOVERNANCE Thismoduleisdesignedtosteeryouthroughthesecomplexissuesbyhavingyoudrafta Statementof Values forstudentsatyouruniversity.AsyouworkthroughyourStatementofValues,youwilllearnthat codeshavestrengthsandweaknesses,servedierentfunctions,andembodyvalues.Togetyoustartedin thisprocess,youwillstudyadefectivecode,thePirateCredo.Aquickglanceisallthatisneededtosee thatcodesare"alltoohuman"andneedtobeapproachedcritically.Inasecondactivityyouwillidentify thevaluesembeddedinprofessional,corporate,andacademiccodes.Workingwiththesevalues,youwill developalistuponwhichyourgroupwillbuilditsownStatementofValuesinathirdactivity.Finally,you willconstructvalueprolesthatincludeageneraldescription,sampleprovisions,value-basedchallenges, andvalueprinciples.Thesewillallcontributetomotivatingthoseinyourcommunitytocommittoand workinconcerttorealizethesevalues. 4.2.2AFailureandaSuccessStory ACautionaryTale ThefacultyoftheArtsandSciencesCollegeofUniversityXdecidedtoformacommitteetowriteacode ofethics.Thiscommitteemetseveraltimesduringthecourseofanacademicsemestertopreparetherst draft.Whentheynished,theycirculatedcopiesthroughoutthecollege.Thentheyheldaseriesofpubic hearingswhereinterestedmembersoftheCollegecouldcriticizethecodedraft.Thesewerelightlyattended andthoseattendinghadonlyafewsuggestionsforminorchanges.However,whenthecodewasplaced beforethefacultyforapproval,considerableoppositionemerged.Forexample,aprovisiondiscouraging facultyfromgossipingwascharacteizedbyopponentsasanattemptbyahostileCollegeadministration, workingthroughthecommittee,toeliminatefacultyfreespeech.Severalopponentsexpressedoppositionto theveryideaofacodeofethics."Doestheadministrationthinkthatourfacultyissocorrupt,"theyaked, "thattheonlyhopeforimprovementistoimposeuponthemasetofrulestobemindlesslyfollowedand ruthlesslyenforced?"Attheendofthisdebate,thefacultyoverwhelminglyrejectedthecode. Reectionson"ACautionaryTale" Whydoyouthinkthisuniversityfacultyfailedtoadopt,orevenconsider,thedraftcode? Whatleadsdierentmembersofagrouptoviewthesamecodeprovisionsindierent,andeven opposed,ways?Whatconsiderationsguideindividualsastheyinterpretcodesofethics? Cancodesofethicsbeusedbythoseinpositionsofpowertostrengthenthatpowerandextendcontrol?. ASuccessStory Threeyearslateratthesameuniversity,anotherfacultygroupsetouttoconstructacodeofethicsin ordertorespondtoaccreditationrequirements.Theybeganwiththeideaofconstructingastakeholder code. First,theyidentiedthestakeholdersofthecollege'sactivities,thatis,groupsorindividualswhohad avitalinterestinthatcommunity'sactions,decisionsandpolicies. Second,theyidentiedthegoodsheldbyeachofthesestakeholderswhichcouldbevitallyimpacted bytheactionsofthecollege.Forexample,educationrepresentedthekeygoodheldbystudentsthat couldbevitallyimpactedbytheactivitiesanddecisionsoftheCollege. Workingfromeachstakeholderrelationandthegoodthatcharacterizedthatrelation,membersofthe collegebegancraftingcodeprovisions.Somesetforthfacultydutiessuchaskeepingregularoce hours,gradingfairly,andkeepinguptodateinteachingandresearch.Othersemphasizedstudent dutiessuchasworkingresponsiblyandeectivelyinworkteams,adheringtostandardsofacademic honesty,andattendingclassesregularly. Becausestakeholdercodesembodyacommunity'svalues,theindividualsinchargeofdraftingthecode decidedthatamoredirectapproachwouldbetoidentifytheembodiedvaluesandrenethemintoa StatementofValues.Thisformalstatementcouldlaterbedevelopedindierentdirectionsincludingamore detailedcompliancecode.

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105 TurningtheireortstowardpreparingaStatementofValueProcess,theBusinessAdministrationcommunitywentthroughthefollowingsteps: 1.Theydiscussedaaweddocument,thePirateCredo.Thisbroughtaboutthreepositiveresults: participantscametoseehowcodesembodyvalues,thatcodesservedierentfunctions,andthatcodes clarifyrelationsbetweentheinsidersandoutsidersofacommunity. 2.Participantsexamined"bonade"codesofethicssuchasacademiccodes,codesofhonor,corporate codes,andprofessionalcodes.Sincecodesembodyvalues,theydevelopedlistsofthevaluesthese codesembodied. 3.Thesampleprovisionscraftedintheearlierstakeholdercodeeortwerepresentedsothatparticipants couldidentifythevaluestheseembodied.Previouseortsindevelopingastakeholdercodecouldbe benchmarkedagainstthecodesstudiedinthepreviousstep.Convergencesanddivergenceswerenoted andusedtofurthercharacterizethecollege'scommunityintermsofitssimilaritiesanddierences withothercommunities. 4.Inthisstep,facultymemberswereaskedtoreducethevalueslisttoamanageablenumberofveto seven.Thisledtothemostcontentiouspartoftheprocess.Participantsdisagreedontheconception ofvalue,themeaningofparticularvalueslikejustice,andonwhetherrightscouldbetreatedasvalues. 5.Toresolvethisdisagreement,discussionleadersproposedusingballotstoallowparticipantstovote onvalues.Thisprocesswasmorethanasimpleupordownvote.Participantsalsorankedthevalues underconsideration. 6.Afterthetopvevalueswereidentied,eortsweremade,indescribingeachoftheremainingvalues, tondplacestoincludeatleastcomponentsofthevaluesleftout.Forexample,whilecondentiality wasnotincludedinthenalvaluelist,itwasreintegratedasacomponentofthemoregeneralvalue ofrespect.Thus,thenalvalueslistcouldbemademorecomprehensiveandmoreacceptabletothe facultycommunitybyreintegratingsomevaluesaspartsofother,moregeneralvalues.Anotherway ofpickingupvaluesleftbehindinthevotingprocesswastocombinevaluesthatsharedsignicant content.Valuesthatdidnotmakeitintothenallistwerestillnotedwiththeprovisionthatthey couldbeintegratedintosubsequentdraftsoftheStatementofValues. 7.Acommitteewasformedtotakeeachvaluethroughavaluetemplate.Afterdescribingthevalue, theyformulatedaprinciplesummarizingtheethicalobligationsitentailed,craftedsampleprovisions applyingthevalue,andposeddierentchallengesthevaluepresentedtohelpguideaprocessof continuousimprovement. 8.ThecommitteepresenteditsresultstothefacultywhoapprovedthisrstdraftStatementofValues 9.ThefacultythendevelopedaschedulewherebytheStatementofValueswouldberevisited,expanded, revised,andimproved. 4.2.3Textbox1:RespondingtotheFederalSentencingGuidelines Recenteortstodevelopethicscodesintheacademiccontextforbothstudentsandfacultymay,inpart, stemfromthesuccessofethicscomplianceprogramsdevelopedinbusinessandindustryinresponseto theFederalSentencingGuidelines.Organizationalcodesofethicshavebeenintegratedalongsideother compliancestructureandactivitiestopreventcriminalbehavior,todetectcriminalbehavior,andtoensure promptandeectiveorganizationalresponseoncesuchbehaviorhasbeendetected. ThefollowingsectioncontainsshortexerptsfromtheFederalSentencingGuidelines.Formore detailsconsultthematerialsreferencedinnote5below. "Thehallmarkofaneectiveprogramtopreventanddetectviolationsoflawisthattheorganization exercisedduediligenceinseekingtopreventanddetectcriminalconductbyitsemployeesandother agents.Duegiligencerequiresataminimumthattheorganizationmusthavetakenthefollowingtypes ofsteps: Theorganizationmusthaveestablishedcompliancestandardsandprocedurestobefollowedbyite employeesandotheragentsthatarereasonablycapableofreducingtheprospectofcriminalconduct.

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106 CHAPTER4.CGCORPORATEGOVERNANCE Specicindividualswithinhighlevelpersonneloftheorganizationmusthavebeenassignedoverall responsibilitytooverseecompliancewithsuchstandardsandprocedures. Theorganizationmusthaveusedduecarenottodelegatesubstantialdiscretionaryauthoritytoindividualswhomtheorganizationknew,orshouldhaveknownthroughtheexerciseofduediligence,had apropensitytoengageinillegalactivities. Theorganizationmusthavetakenstepstocommunicateeectivelyitsstandardsandprocedurestoall employeesandotheragents,e.g.,byrequiringparticipationintrainingprogramsorbydisseminating publicationsthatexplaininapracticalmannerwhatisrequired. Theorganizationmusthavetakenreasonablestepstoachievecompliancewithitsstandards,e.g., byutilizingmonitoringandauditingsystemsreasonablydesignedtodetectcriminalconductbyits empoyeesandotheragentsandbyhavinginplaceandpublicizingareportingsystemwherebyemployeesandotheragentscouldreportcriminalconductbyotherswithintheorganizationwithoutfear ofretribution. RecommendationsbytheFederalSentencingGuidelinesforanEectiveComplianceProgram Appointingindividualstoserveasethicsorcomplianceocers Developingcorporatecredosandcodesofethicsthateectivelycommunicateanorganization'sethical standardsandexpectationstoemployees. Designingethicstrainingprogramsforallemployees Designingandimplementingmonitoringandauditingsystems Designingandimplementinganeectivesystemofpunishmentsandsanctions.Thesemustbeaccompaniedbyinvestigativeproceduresthatrespectemployeedueprocessrights. 4.2.4Textbox2:ComplianceOrientedCodesandProgramsVersusValuesOrientedCodesandPrograms ComplianceStrategy 1.TheinitialandstillprobablythemostprevalentmethodforrespondingtotheFederalSentencing Guidelinesisthecompliancestrategy.Thisstrategyisbasedonthreeinterrelatedcomponents: 2. Rules :Compliancestrategiesarecenteredaroundstrictcodesofethicscomposedofrulesthatset forthminimumthresholdsofacceptablebehavior.Theuseofrulestostructureemployeeactiondoes runintoproblemsduetothegapbetweenruleandapplication,theappearanceofnovelsituations,and theimpressionthatitgivestoemployeesthatobedienceisbasedonconformitytoauthority. 3. Monitoring :Thesecondcomponentconsistsofmonitoringactivitiesdesignedtoensurethatemployeesareconformingtorulesandtoidentifyinstancesofnon-compliance.Monitoringiscertainly eectivebutitrequiresthattheorganiztionexpendtime,money,andenergy.Monitoringalsoplaces stressuponemployeesinthattheyareawareofconstantlybeingwatched.Thoseunderobservation tendeithertorebelortoautomaticallyadoptbehaviorstheybelievethosedoingthemonitoringwant. Thisconsiderablydampenscreativity,legitimatecriticism,andinnovation. 4. DiscipliningMisconduct :Thelastkeycomponenttoacompliancestrategyispunishment.Punishmentcanbeeectiveespeciallywhenestablishingandenforcingconductthatremainsabovethe criminallevel.Butrelianceonpunishmentforcontroltendstoimposesolidarityonanorganization ratherthanelicitit.Employeesconformbecausetheyfearsanction.Organizationsbasedonthisfear areneverreallyfreetopursueexcellence. ValuesOrientation 1. DevelopmentofSharedValues :Usingaprocesssimilartotheonedescribedabove,acompany developsaStatementofSharedValues.Theseprovideguidelinesthatreplacethehardandfastrulesof

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107 acompliancecode.Statementsinvalues-orientedcodesplayadierentlogicalfunctionthatstatements incompliancecodes."PrinciplesofProfessional/OrganizationalConduct"incompliancecodesspecify circumstancesofcompliance:time,agent,place,purpose,manner,etc.Thesecircumstancesprovide sucientcontenttosetforthprinciplesofprofessionalconductasrulesthatcanbeviolated.This,in turn,allowsthemtobebackedbypunishmentforviolation."IdealsoftheProfession/Organization stateacommunity'ssharedaspirations.Theysetforthlevelsofbehaviorwellbeyondtheminimum. Andtheychartoutdirectionsforcontinuousimprovement. 2. SupportforEmployees :SinceStatementsofValuessetforthexcellencesoraspirations,theroleof theorganizationchangesfrommonitoringandthenpunishingmisbehaviortondingwaysofopening avenuesforemployeestorealizekeyvaluesintheirdaytodayactivity.Inotherwords,theroleofthe organizationchangesfromthepunitivetothesupportive. 3. EthicalAspirations :Insummary,valuesorientationssetforthhigherstandardsforbehavior.Going wellbeyondthemoralorlegalminimum,thesevalues,clariedinanorganization'sstatementofvalues, serveasaspirations.Avaluesorientationrequiresthatanorganizationndwaystoreinterpretbasic valuesasexcellences.Hence,itismostcompatiblewithavirtueorientationandvirtueethicaltheory. 4.2.5Exercise1:EvaluatingthePirateCredo ReadthePirateCredo.Thenanswerthefollowingquestionsindividually WhatisgoodaboutthePirateCredo? WhatisbadaboutthePirateCredo? WhatisthepurposeservedbythePirateCredo?ForthePirateCommunity?Fornon-members? 4.2.6Exercise2:EvaluatingBonaFideCodesofEthics Formsmallworkteamsoffourtoveindividuals.Carryoutthefollowingfoursstepsand reportyourresultstotherestofthegroup. 1. Review afewsamplecodesperteam. 2. List thevaluesyouidentifyinthecodes.Expresseachvalueasawordorinasfewwordsaspossible. 3. Identify anyrecurringvalues. 4. Record andpostthelistofvalues. 4.2.7Exercise3:DoaStatementofValuesforStudentsatYourUniversity Inthisthirdexercise,workwithyourgrouptodeveloparenedlistofvetosevenvalues. Youcanreneyourlistbyintegratingorsynthesizingvalues,groupingspecicvaluesunder moregeneralones,andintegratingvaluesintoothersasparts.Doyourbesttomakeyourlist comprehensiveandrepresentative. 1. Brainstorm :listthevaluesforyourgroup.Keepinmindthatvaluesaremulti-dimensional.For example,intheacademiccontext,thevalueswillbreakdownintodimensionscorrespondingtostakeholder:faculty,students,administration,andotheracademicstakeholders. 2. Rene :reduceyourlisttoamanageablesize-7.Dothisbyrewording,synthesizing,combining, andeliminating. 3. Post :shareyourlistwiththeentiregroup. 4. Revise :makeanylastminutechanges. 5. Combine :amoderatorwillorganizethelistsintoaballot 6. Vote :Eachpersonranksthetopvevalues

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108 CHAPTER4.CGCORPORATEGOVERNANCE 4.2.8Exercise4ConveyingOurValues:CraftingaValues-BasedCode EachvalueinyourStatementofValuesneedstobeaccompaniedbyaValueProle.Givea descriptionofthevalueineveryday,non-technicalterms.Thinkconcretely.Forexample,those whoexemplifyyourvaluebehaveinacertainfashion,exhibitcertaincommitments,pursue certainprojects,andshowcertainattitudesandemotions.Trytothinkofgeneralguidelinesto keepinmindwhenworkingtorealizeyourvalue.Finally,valueschallengeusbecauseportray ouraspirations.Thinkofspecicwaysvalueschallengeus.Forexample,studentsmaysetfor themselvesthechallengeofworkingresponsiblyinteams.Theycanfurtherspelloutwhat kindsofactionsandattitudesthismightrequire.Facultymembersmightsetforthemselves thechallengeofgradingmorefairly.Thiscouldrequireactionslikedevelopingrubricsand reningexamstomakethemclearer.Thepurposeofthisfourthexerciseistoprovidecontent toyourstatementofvaluesandbeginitsimplementationinyourcommunity.Thefollowing stepsennumeratedbelowwillhelp. 1. Value :Responsibility 2. Description :aresponsiblepersonisapersonwho... 3. Principle :Thefaculty,students,andstaofthecollegeofbusinessAdministrationwill... 4. Commitments :Keepocehours,doyourfairshareinworkteams,divideworkintoclearand coordinatedtasks,tec. 4.2.9Exercise5:CreatingAwarenessoftheUPRMCollegeofBusinessAdministrationStatementofValues ThisexerciseprovidesyouanopportunitytostudyanddiscusstheUPRMCollegeofBusinessAdministration StatementofValuesavailableviathePREREQUISITELINKS.Yourtaskconsistsofthefollowingtasks: ReadtheentireUPRMCBAStatementofValuesindividually Discusstheparticularsection/valueassignedtoyourgroupandbrieydescribewhatcommitmentsor challengesdoesthisvaluepresentforthestudents,facultyand/orstaoftheCBA Listthemostimportantcommitmentsorchallengesaspreciseandconciseprinciples 4.2.10Exercise6:AssessingtheUPRMCollegeofBusinessAdministration StatementofValues Thisexerciseoersfourscenariosinacademicintegrity.Yourjobistodiscusseachscenariointermsof thevalueslistedintheUPRMCollegeofBusinessAdministrationStatementofValuesavailableviathe PREREQUISITELINKS. MartaAcevedo,abusinessadministrationstudent,hasareportduetomorrow.Shehasbeen overwhelmedforthelastfewweekswithassignmentsfromotherclassesanddoesn'treally havetimetocompletethisexercise.Shediscoversthatherroommatetookthissameclass theprevioussemesterandhasacompletereportondisk.Sheconsidersusingherroommate's report.Shouldshe?Whatwouldyoudoifyouwereher? IsMartathreateninganyofthevalueslistedintheADEMSOV?Whichones? Whatcanbedonepreventthiskindofproblemfromarisingintherstplace?ShouldMartahave plannedhercourseloadbetterwhenregistering?Canteacherscoordinatetopreventoverloading studentswiththesamedeadlines?Whosefaultisthis?Thestudents?Theteachers?Thesystem? CanthisproblembeposedasaconictbetweenADEMvaluesandothervaluesheldbystudentsand teachers?Ifso,whatarevaluesthatareinconict?Howcantheseconictsbeaddressed? DoyouthinktheADEMSOVadequatelyaddressesthisproblem?Ifnot,howcanitbeimproved?

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109 Youareheadofyourdepartment.Arecentstudyhasrevealedthatplagiarism,whichisa university-wideproblem,isespeciallybadinyourdepartment.Imagineyourreliefwhena memberofyourfacultybringsyouhislatestsoftwareproject,asuper-eectiveandcomprehensiveanti-plagiarismsoftwareprogram.Thisprogramdoeseverything.Itdetectssubtle changesinstyleinstudentpapers.Itsnewsearchenginequicklyconnectstoexistingonline paperdatabases,greatlyexpandingtheabilityofaprofessortodetectthesourcesfromwhich theirstudentshavecopied.Furthermore,itallowsprofessorstouploadpapersandprojects frompastsemestersandprovidesfastandexibleindexingtohelpthemidentifyrecycledstudentwork.Professorscanzeroinonstudentsusingrecycledpapers,andtheformerstudents whohavebecometheirsuppliers.FollowingtherecentleadofOhioStateUniversity,youcan nowrevokethedegreesofpaststudentswhoparticipateinthisversionofacademicdishonesty. Inshort,thisnewandexcitingsoftwarepackageallowsyoutomonitortheworkofpresent andpaststudentstoadegreethoughtimpossibleevenintherecentpast.Plagiarism,your colleaguetellsyou,willnowbecomeathingofthepast. Doesthisanti-plagiarismprogramthreatenanyofthevaluesintheADEMSOV?Ifso,whichvalues? Isthedepartmentchairpersontreatingstudentsdisrespectfullybyadoptingandimplementingtheantiplagiarismsoftware?Canfacultytreatstudentsdisrespectfullyas"justiable"retaliationforstudent cheatingandplagiaring?Dotwowrongsmakearight? Whatisthecauseofplagiarism?Dostudentsdoitoutofignoranceofstandardsandpracticesof documentationandachnowledgment?Dotheydoitbecausetheyprocrastinateuntiltheydonothave timetodotheassignmentproperly?Dostudentsresorttoplagiarismbecausetheyhavetoomany conictingobligationssuchasfamily,job,largecourseloads,etc.? YouteachanadvancedcourseinEngineeringEconomicsthathasbothgraduateandundergraduatestudents.Attheendofthesemesterthestudentsturninagroupprojectthat comprises40%oftheirgrade.Oneofthegroupscomplainstoyouthatonly4outofthe5 membershavedoneanywork.Thefthstudent,theonewhoallegedlyhasdonenowork,is anundergraduate.Theothersaregraduatestudents.Youtalkwiththeundergraduatewho claimedthatshetriedtoinvolveherselfinthegroupactivitiesbutwasexcludedbecauseshe wasanundergraduate.Whatshouldyoudo? ADEMfacultyhaveidentiedstudentsnotworkingtogethereectivelyingroupsasamajorconcern. Doyoundthisaproblem?Whatdoyouthinkarethecausesofstudentsnotparticipatingeectively inworkgroups? AssumethattheteacherinthiscaseiscommittedtoimplementingtheADEMSOV.Whichvaluesare atplayinthiscase?Designanactionfortheteacherthatrealizesthesevalues? Assumeyouareamemberofthisstudentworkgroup.Whatcangroupsdotoensurethateverymember isabletoparticipatefully?Whatdogroupmembersdotoexcludeindividualsfromparticipating? Youarestudyingfranticallyforyourexaminacomputerengineeringcourse.Itwillbevery dicult.Butyourroommate,whoisalsotakingthecourseandhastheexamtomorrow,seems unconcerned.Whenyouaskwhy,hetellsyouthathehasacopyoftheexam.Apparently, agroupofstudentsintheclassfoundouthowtohackintotheprofessor'scomputerand downloadtheexam.TheyinstalledaTrojanhorsecalledSub-Sevenintotheprofessor's computerwhichallowsunauthorizedaccess;thentheysearchedthroughtheprofessor'sles, foundtheexamanddownloadedit.Yourroommatehastheexaminhishandandasksyou ifyouwouldliketolookatit.Whatshouldyoudo? Agroupofstudentsinacomputerethicsclasscreatedasurveythataskedstudentsiftheywould availthemselvesofexamsobtainedthroughmeanssuchasthatdescribedinthescenarioabove.Sixty percentoftherespondentssaidthattheywould.Comparethistothevaluecommitmentsexpressedin theADEMSOV?Isthereagapbetweenaspirationandbehavior?Whatcanbedonetoreducethis gap?

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110 CHAPTER4.CGCORPORATEGOVERNANCE Supposeyoutooktheexam.Wouldthishaveanylongtermeectsonyourcharacter?Wouldacting dishonestlythistimemakeiteasiertodosointhefuture? Supposeyouwishtoupholdstandardsofacademicintegrityinthiscaseandnottaketheexam.Should youturnyourroommateintotheteacher?Wouldkeepingthisexamtheftasecretundermineanyof theUPRMADEMvalues?Ifso,whichones? YouhavenowdiscussedsomeoralloftheabovecasesintermsoftheADEMStatementofValues.Whatdo youthinkarethestrengthsofthisdocument?Whatareitsweaknesses?Doyourecommendanychanges? Whatarethese? SourcesforCases Case1hasbeendevelopedbyWilliamFrey,ChuckHu,andJosCruzfortheirbook,GoodComputing:AVirtueApproachtoComputerEthics.Thisbookiscurrentlyindraftstageandisunder contractwithJonesandBartlettPublishingCompany. Cases2and3weredevelopedbyUPRMfacultyteamsfromtheCollegeofEngineeringduringworkshopsheldfortheABET2001SteeringCommitteeandtheDepartmentofIndustrialEngineering. TheseworkshopstookplaceApril6,2001andMay14,2001. Case4hasbeenmodiedfromThePlagiarismDetectorwrittenbyMosheKam.Itcanbefound atthebeginningoftheethicschapterinPracticalEngineeringDesign,editedbyMajaBystromand BruceEisenstein.MosheKam.ThePlagiarismDetector,inPracticalEngineeringDesign,editedby MajaBystromandBruceEisenstein.BocaRaton,FLA:CFCPress,2005:27-28. 4.2.11AssessmentTools EthicsAcrosstheCurriculumMatrix Thisisanunsupportedmediatype.Toview,pleasesee http://cnx.org/content/m14319/latest/EACMatrix_Template_ADEM_Feb_17.doc Figure4.2: ThistablewillhelpyoudocumentyourclassdiscussionoftheADEMStatementofValues. MuddyPointExercise Thisisanunsupportedmediatype.Toview,pleaseseehttp://cnx.org/content/m14319/latest/MP.doc Figure4.3: ClickingonthismedialewillopenawordformatfortheMuddiestPointExercise. StudentsareinvitedtodiscussthestrongestandweakestfacetsoftheADEMStatementofValues.

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111 ModuleAssessmentForm Thisisanunsupportedmediatype.Toview,pleaseseehttp://cnx.org/content/m14319/latest/MAP.doc Figure4.4: ClickingonthismedialewillopenageneralmoduleassessmentformtakenfromMichael Davis'IITEACworkshop.ThisformwillhelpyouassesstheSOVactivityaswellasotherEACmodules. 4.2.12Bibliography 1.LynnSharpPaine"ManagingforOrganizationalIntegrity,"inHarvardbusinessreview,MarchApril:106-117 2.GaryR.WeaverandLindaKlebeTrevino"ComplianceandValuesOrientedEthicsPrograms: InuencesonEmployees'AttitudesandBehavior,"inBusinessEthicsEthicsQuarterly9:315-335 3.StuartC.Gilman"GovernmentEthics:IfOnlyAngelsWeretoGovern,"inProfessioinalEthics, editedbyNeilR.LuebkeinPhKappaPhiForum,Spring2003:29-33. 4.StephenH.UngerControllingTechnology:EthicsandtheResponsibleEngineer,2ndEdition. NewYork:JohnWileyandSons:106-135. 5."FederalSentencingGuidelinesSentencingofOrganizations,"inEthicalTheoryandBusiness,5th Edition,editedbyTomLBeauchampandNormanE.Bowie,NewJersey:PrenticeHall:182-187. ThisarticlewasreprintedwithpermissionfromTheUnitedStatesLawWeek,Vol.50pp.4226-29 March26,1991BureauofNationalAfairs,Inc. 4.3PirateCodeforEngineeringEthics 4 4.3.1StatementsofValue/CodesofEthics WilliamJ.Frey CenterforEthicsintheProfessions UniversityofPuertoRicoatMayaguez 4.3.2ModuleIntroduction Inthismodule,youwilllearnaboutprofessionalandoccupationalcodesofethicsbylookingatabadcode, writingyourowncode,andthencriticallyexamineaprofessionalcodeofethics,theengineeringcodefor theColegiodeIngenierosyAgrimensoresdePuertoRico.Threeexerciseswilltakeyouthroughtheprocess ofexaminingthePirateCreed,writingyourowncode,andexaminingtheColegio'scode.Textboxeswill providehelpfulbackgroundinformationonpurposesservedbyprofessionalcodes,philosophicalobjections, andaframeworkforworkingyourwaythroughastakeholder-basedcodelikethatoftheCIAPRorthe NationalSocietyofProfessionalEngineers.ThismoduleprovidesaSpanishtranslationofthePirateCreed preparedbyDr.DanaLivingstonCollinsoftheDepartmentofHumanitiesintheUniversityofPuertoRico atMayag u ez. 4 Thiscontentisavailableonlineat.

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112 CHAPTER4.CGCORPORATEGOVERNANCE Concludingthismodulearetwoworddocumentsuploadedasmediales.Oneprovidestheexercises thatarepresentedinthismoduleinXMLformat.Theotherprovidesthebackgroundinformationthathas beenpresentedinthismoduleasTextboxes. 4.3.3ModuleActivities 1.YouwillanalyzethePirateCreedintermsofaitsdierentfunctions,bthecommunityvaluesit embodies,andchowitstandstowardnonmembersofthepiratecommunityaswellasmembers. 2.Youwillwriteacodeofethicsforanoccupationalorprofessionalareasuchasbusinessorengineering. 3.Youwilldebrieftherestoftheclassonyourgroup'scode,clarifyitsfunctionsandvalues,anddefend itifnecessary. 4.ThismodulewillconcludewithalookatthecodeofethicsofthePuertoRicoStateSocietyof ProfessionalEngineersandLandsurveyorsor ColegiodeIngenierosyAgrimensoresdePuerto Rico 4.3.4PiratesCreedofEthicstranslatedintoSpanishbyDanaCollins 1.Elcapitntendrcomandototalduranteunabatallaytendrlaautoridadparadirigirelbarco.El quenosiguaalcapitnpodrsercastigadoselatripulacinnovotaencontradelcastigo. 2.Sielbarconaufraga,latripulacinpermanecerunidoshastaelcapitnconsigueotranave.Silanave espropiedadcomndelatripulacin,laprimeranavecapturadaperteneceralcapitnconuna partedebotn. 3.Elcirujanodelbarcorecibirdoscientascoronasparaelmantenimientodesuequipomdicoy recibirunapartedelbotn. 4.Losotrosocialesrecibirnunapartecadauno,ysisedistinguen,latripulacindeterminar cuantorecibirncomorecompensa. 5.Elbotndeunanavecapturadaserdistribuidoenpartesiguales. 6.Elprimeroquesealelaaparicindeunbarcoqueseacapturadorecibirciencoronas. 7.Elquepierdaunojo,unamano,ounapiernamientrasestenservicio,recibirhastaseisesclavoso seiscientascoronas. 8.Lossuministrosyracionesserncompartidosporigual. 9.Lapenalidadportraerunamujerdisfrazadaabordoeslamuerte. 10.Siunhermanorobadeotro,perdersunarizuorejas.Sepecadenuevo,seledarnunmosquete, municiones,plomoyunabotelladeaguayserabandonadoenunaisla. 11.Sihaydudaenunadisputaentrehermanos,unacortedehonordeterminarelveredicto.Siun hermanoesencontradoculpable,laprimeravezserperdonado,peroalofenderdenuevo,seratado auncanyrecibirunlatigazodecadamiembrodelatripulacin.Elmismocastigoserdadoa todos,incluyendoociales,quienesseemborrachenalpuntodeperdersussentidosmientrasestnen elbarco. 12.Elqueseduermamientrasesttrabajandocomocentinela,recibirnlatigazosportodoslosmiembros delatripulacin.Serepiteelcrimen,sucabezaserrajada. 13.Atodosquienesconspirenparadesertar,oloquehayandesertadoyseancapturados,suscabezassern rajadas. 14.Pelasentrevarioshermanosmientrasestnabordoserresueltosentierraconpistolasyespadas.El quesaqueprimerasangreserelvencedor.Nopuedengolpearaotromientrasestnabordodela nave. 4.3.5Exercise1:PirateCreed WhatisgoodaboutthePirateCreedofEthics?

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113 whatisbadaboutthePirateCreedofEthics? WhatisthepurposeoftheCreedforthePirateCommunity? WhatvaluesareembeddedinthePirateCreed HowdoesthePirateCreeddealwithnonmembers? 4.3.6Exercise2:WritingaCodeofEthicsforEngineers StepOne: Identifythepurposebehindyourengineeringcodeofethics.Forexample,isittopunish wrongfulbehavior,provideasetofguidelines,educatethecommunity,supportethicalbehavior,or createanethicsdialogue? StepTwo: Identifythecontributionsthatengineeringmakestosociety. StepThree: Identifythestakeholdersoftheengineeringprofession.Astakeholderisanygroupor individualwithavitaloressentialinteresttiedtowhatengineersdo.alongwiththesestakeholders, identifytheirstakes,thatis,thegoods,rights,interestsorvaluesthataremaintained,promoted,or diminishedbywhatengineersdo? StepFour: Enumeratetheobligationsordutiesthatengineershavetowardeachofthesestakeholders. Inotherwords,whatcanengineersdotomaintain,promote,ordiminishthestakesofeachstakeholder? StepFive: Identifytheconictingobligationsthatarisefromthefactthatengineershavedierent stakeholderswhoholdconictingstakes?Doanyofthesestakeholdersorstakeshaveobviouspriority overtheothers? StepSix: Stepbackandreectonwhatyouhavewritten.Forexample,lookfordierentkindsof provisions.Doesyourcodeuse idealsoftheprofession whichsetforththeprofession'scentralor cardinalobjectives?Doesyourcodecontain principlesofprofessionalconduct whichsetforth minimallevelsofbehaviorandprerscribesanctionsandpunishmentsforcompliancefailures?Inthe CIAPR ColegiodeIngenierosyAgrimensoresdePuertoRico codeofethics,thefundamental principlesandbasiccanonssetforththeidealsoftheprofession.Theprinciplesofprofessionalconduct fallinthesectiononpracticalnorms. StepSeven: TheFinalAudit.Submityourcodetoanoverallaudittoseeifanythinghasbeen leftout.Haveyouincludedallthestakeholdersandtheirstakes?Haveyouleftoutanyethical considerationssuchasrightsandduties?Compareyourcodetothelaw.Areyourcode'sprovisions legal?Dotheyoverlapwithexistinglaw?Dotheyimplycriticismsofexistinglaws?Iftheyimply punishmentsorsanctions,whatmeasuresdoesyourcodeprescribetoadministerjustlyandproperly thesesanctions?Finally,besuretoguardagainsttheequalbutoppositesinsofover-specicityand toomuchgenerality.Overlyspeciccodestrytoprovidearuleforeverypossiblesituation.Because thisisimpossible,thesecodestendtowardrigidity,inexibility,andirrelevance.Codesthataretoo generalfailbecausetheycanbeinterpretedtorationalizeanykindofclaimand,thus,maskimmoral actionsandintentions. 4.3.7Exercise3:StudyingthecodeofEthicsoftheColegiodeIngenierosy AgrimensoresdePuertoRico Identifytheprovisionsthattouchupontherelationoftheengineertothepublic.Whatgoodsareat stakeinthisrelation?Whatcanengineersdotopreserveorpromotethesegoods? Identifyprovisionsthattouchupontherelationoftheengineertotheclient.Whatgoodsareatstake inthisrelation?Whatcanengineersdotopreserveorpromotethesegoods? IdentifyprovisionsthattouchupontherelationoftheengineertotheCIAPRprofessionalengineering societyWhatgoodsareatstakeinthisrelation?whatcanengineersdotopreserveorpromotethese goods?. Finally,identifyprovisionsthattouchupontherelationoftheengineertootherengineerspeerrelations.Whatgoodsareatstakeinthisrelation?Whatcanengineersdotopreserveorpromotethese goods?

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114 CHAPTER4.CGCORPORATEGOVERNANCE 4.3.8Textbox1:CodeofEthicsofColegiodeIngenierosyAgrimensoresde PuertoRicoPuertoRicoStatesocietyofProfessionalEng TheCIAPRcodeofethicshasthreeparts: PartOne:ThreeFundamentalPrincipleswhichexpresscardinalobjectivesforengineeringpracticein PuertoRico PartTwo:TenCanonswhichsetforthgeneralrulesforethicalengineeringpractice PartThree:Eachcanonisrepeatedfollowedbyseveralpracticalnorms.bysettingforthdetailedrules, practicalnormsspecifyandinterpretthebasiccanons.Theyalsosetforthspecicandconcreterules forprofessionalandethicalconduct TheCIAPRcodeofethicsisastakeholdercode.Thismeansitidentiesengineeringstakeholders,the goodstheydependupon,andthedutiesengineershaveinprotectingorpromotingthesegoods. KeyEngineerRelations Therelationbetweenengineerand public isfoundedonthegoodsofhealth,safetyandwelfare. Therelationbetweenengineerand client isfoundedonthegoodoffaithfulagencytrust. Therelationbetweentheindividualengineerandthe profession isfoundedontheengineerworking tomaintainthegoodreputationandintegrityoftheprofession. The peer relationbetweenpracticingengineersisfoundedonthegoodofcollegiality. EngineerandPublic Dutiesarisinginthisrelationaretiedtomaintainingorpromotingthegoodsofhealth,safety,and welfare.Theyincludeminimizingharm,avoidingpaternalismmakingdecisionsforotherswhohave therightandabilitytomaketheseforthemselves,freeandinformedconsenttherightofthosetaking arisktoconsenttothatrisk. FP1:Debernconsiderarsuprincipalfuncincomoprofesionalesladeserviralahumanidad.Su relacincomoprofessionalycliente,ycomoprofessionalypatrono,deberestarsujetaasufuncin fundamentaldepromoverelbienestardelahumanidadyladeprotegerelinterspblico. Canon1:Velarporsobretodaotraconsideracinporlaseguridad,elambiente,lasaludyelbienestar delacomunidadenlaejecucindesusresponsabilidadesprofesionales. PracticalNorm1d:Cuandotenganconocimientoosucienteraznparacreerqueotroingeniero oagrimensorviolalasdisposicionesdeesteCdigo,oqueunapersonaormaponeenpeligrola seguridad,elambiente,lasaludoelbienestardelacomunidad,presentarntalinformacinporescrito alasautoridadesconcernidasycooperarncondichasautoridadesproveyendoaquellainformacino asistenciaquelessearequerida. EngineertoClient Dutiesstemmingfromthisrelationariseoutoffaithfulagency,thatis,theresponsibilityofanengineer toremaintruetotheclient'sinterests.Positivelythisincludesexercisingduecarefortheclientby carryingouttheclient'sintereststhroughtheexerciseofsound,competentengineeringprofessional judgment.Negativelythisentailsavoidingconictsofinterestandrevealingtheclient'scondential information. FaithfulAgency :Canon4Actuarenasuntosprofesionalesparacadapatronooclientecomoagentes elesoduciarios,yevitarconictosdeinteresesolameraaparienciadestos,manteniendosiempre laindependenciadecriteriocomobasedelprofesionalismo. ConictofInterest :4aEvitarntodoconictodeinteresesconocidoopotencialconsuspatronos oclienteseinformarnconprontitudasuspatronosoclientessobrecualquierrelacindenegocios, interesesocircunstanciasquepudieraninuenciarsujuicioolacalidaddesusservicios. Condentiality :4iTratarntodainformacin,quelesllegueenelcursodesusencomiendasprofesionales,comocondencialynousarntalinformacincomomedioparalograrbeneciopersonalsi

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115 talaccinesadversaalosinteresesdesusclientes,desuspatronos,delascomisionesojuntasalas quepudierapertenecerodelpblico. EngineertoProfession Thisincludesworkingtopromotetheprofession's autonomyandindependence aswellasmaintainingits goodreputation .Moreoveritrequiresthatengineersparticipateintheirprofessional society,worktoadvanceengineering,beobjectiveandimpartialintheirwork,andassociateonlywith personsof goodreputation Canon3 :Emitirdeclaracionespblicasnicamenteenunaformaverazyobjetiva. PracticalNorm3a :Sernobjetivosyveraceseninformesprofesionales,declaracionesotestimonios. Incluirntodalainformacinrelevanteypertinenteentalesinformes,declaracionesotestimonios. EngineertoEngineer Thisrelationisbasedonthegoodof Collegiality .Itrequiresthatengineersworktomaintainfriendly andcollaborativerelationswithotherengineersbyavoidingdisloyalcompetitionandcomparative advertisingandbyalwaysgivingpeersduecreditfortheircontributionstoengineeringprojectsand designs. PracticalNorm4l :Antesderealizartrabajosparaotros,enloscualespuedanhacermejoras,planos, diseos,inventos,uotrosregistros,quepuedanjusticarlaobtencindederechosdeautoropatentes, llegarnaunacuerdoenrelacinconlosderechosdelasrespectivaspartes.Giveduecreditto colleaguesfortheirwork. Canon5 :Edicarsureputacinprofesionalenelmritodesusserviciosynocompetirdeslealmente conotros. Avoiddisloyalcompetition PracticalNorm6b :Anunciarnsusserviciosprofesionalessinauto-alabanzaysinlenguajeengaosoydeunamaneraenquenosemenoscabeladignidaddesusprofesiones. Non-comparative advertising PracticalNorm5h :Notratarndesuplantar,nisuplantarnotroingenierooagrimensor,despusde queunagestinprofesionallehayasidoofrecidaoconadaaste,nitampococompetirinjustamente conl. Avoiddisloyalcompetition 4.3.9ProfessionalCodesasSocialContracts Whatsomehavesaidaboutdeningethicscouldalsobeappliedtodeningaprofession:it'sabit like"nailingjellotoatree."Nevertheless,wecanmaketoreasonableclaimsaboutprofessions:tye canbetreatedassocialcontracts,andtheyhavesometingtodowithspecializedknowledge.Ifthese twoclaimshold,thenathirdclaimcanbemade,namely,thatprofessionshaveanineliminableethical dimension. Alegitimatecontractbetweentwopartiesrequiresa quidproquo amutuallybenecialexchange and freeconsent consentthatincludesfullinformationandexcludesforceordeception.Thesocial contractbetweenengineeringandsocietycanbepicturedinthefollowingway: ProfessionasSocialContract SocietygrantstoProfession ProfessiongrantstoSociety Autonomy Self-Regulation Prestige Primacyofpublichealth,safety,andwelfare Monopoly Developingandenforcingethicalandprofessionalstandards Table4.4

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116 CHAPTER4.CGCORPORATEGOVERNANCE Societygrantsautonomy,prestige,andmonopolycontroltotheprofessionofengineering. 1.Autonomyincludesfreedomfromregulationandcontrolfromtheoutsidethroughcumbersomelaws, regulations,andstatutes. 2.Prestigeincludeshighsocialstatusandgenerouspay. 3.Monopolystatusimpliesthattheprofessionofengineeringitselfdetermineswhocanpracticeengineeringandhowitshouldbepracticed. 4.Theprofessionpromisestouseitsautonomyresponsiblybyregulatingitself.itdoesthisbydeveloping andenforcingprofessionalandethicalstandards.Bygrantingprestigetotheprofession,societyhas removedtheneedfortheprofessiontocollectivelybargainforitsself-interest. 5.Nothavingtoworryaboutitscollectiveself-interest,theprofessionisnowfreetoholdparamountthe health,safety,andwelfareofthepublic. 6.Thiscontractexplainswhyprofessionsdevelopcodesofethics.Codesdocumenttothepublicthe profession'scommitmenttocarryoutitssideofthesocialcontract,namely,toholdparamountpublic welfare.Theycandothisbecausesocietywillhonoritssideofthecontract,namely,toremovefrom theprofessiontheneedtoghtforitsself-interest Thissocialcontractismoresymbolicandexplanatorythanreal. Codesallowtheprofessiontodocumenttosocietythatithasdevelopedproperstandardsandintends toenforcethem.Theyexpresstheprofession'strustinsocietytokeepitssideofthebargainby grantingautonomy,prestige,andmonopoly.Ofcoursethiscontracthasneverbeenexplicitlyenacted atapointinhistoricaltime.Butthenotionofasocialcontractwithamutuallybenecialexchange aquidproquoprovidesausefuldeviceformodelingtherelationthathasactuallyevolvedbetween societyanditsprofessions. ProfessionsandResponsibility Professionshavebeencreatedtoexercisestewardshipoverknowledgeandskilldomains. ExercisingstewardshipoverXgenerallymeanswatchingover,preserving,protecting,andevenimprovingX.Stewardshipisaforward-lookingkindofresponsibilitysimilartotheresponsibilitythata parentexercisestowardhisorherchildren.Thestewardisatrustedservantoragentofthelandowner whoactsintheowner'splacewhilethelaterisabsentorincapacitated. "Stewardship,"thus,referstotheprofession'sresponsibilitytosafeguarditsspecicdomainofknowledgeandskill.Thisdomainisessentialtosocietyinsomewayitprovidessocietywithabasic,common goodandsocietydelegatesresponsibilityforthisdomaintoitsmemberswhoarespeciallysuitedto exerciseit. So,generallyspeaking,professionscanbecharacterizedintermsofepistemologicalandethicalresponsibilities. Theepistemologicalresponsibilityreferstostewardshipovertheknowledgeandskillsthatcharacterizes theprofession.Theprofessionpreserves,transmit,andadvancesthisdomainofknowledgeandskill. Epistemology=studyofknowledge. Theethicaldimensionreferstotheresponsibilityoftheprofessiontosafeguardknowledgeandskill forthegoodofsociety.Societytruststheprofessiontodothisforthesakeofthecomnmongood. Societyalsotruststheprofessiontoregulateitsownactivitiesbydevelopingandenforcingethicaland professionalstandards. 4.3.10ObjectionstoandMischievousSideEectsofCodesofEthics TheseobjectionsaretakenfromJohnLadd,"TheQuestforaCodeofProfessionalEthics:An IntellectualandMoralConfusion."ThisarticlecanbefoundinDeborahG.Johnson,editor, EthicalIssuesinEngineering,NewJersey:PrenticeHall:130-136.Theauthorofthis modulehastakensomelibertiesinthispresentation.

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117 Codes"confuseethicswithlaw-making" Ladd,130.Ethicsisdeliberativeandargumentative whilelaw-makingfocusesonactivitiessuchasmakingandenforcingrulesandpolicies. Acodeofethicsisanoxymoron. Ethicsrequiresautonomyoftheindividualwhileacodeassumes thelegitimacyofanexternalauthorityimposingruleandorderonthatindividual. Obediencetomorallawforautonomousindividualsismotivatedbyrespectforthemoral law.Ontheotherhand,obediencetocivillawismotivatedbyfearofpunishment. Thus,Laddinformsusthatwhenoneattaches"discipinaryprocedures,methodsofadjudicationand sanctions,formalandinformal,totheprinciplesthatonecalls'ethical'oneautomaticallyconvertsthem intolegalrulesorsomeotherkindofauthoritativerulesofconduct...."Ladd131Accompanyingcode provisionswithpunishmentsreplacesobediencebasedonrespectforthemorallawwithconformity basedonfearofpunishment. Codesleadtothedangeroustendencytoreducetheethicaltothelegal. Ethicalprinciples canbeusedtojudgeorevaluateadisciplinaryorlegalcode.Butthereverseisnottrue;existinglaws cannottrumpethicalprinciplesindebatesoverethicalissuesandethicaldecisions.AsLaddputsit, "Thatisnottosaythatethicshasnorelevanceforprojectsinvolvingthecreation,certicationand enforcementofrulesofconductformembersofcertaingroups....[I]ts[ethics's]roleinconnectionwith theseprojectsistoappraise,criticizeandperhapsevendefendorcondemntheprojectsthemselves, therules,regulationsandprocedurestheyprescribe,andthesocialandpoliticalgoalsandinstitutions theyrepresent."Ladd130 Codeshavebeenusedtojustifyimmoralactions .Professionalcodeshavebeenmisuedby individualstojustifyactionsthatgoagainstcommonmorality.Forexample,lawyersmayusethefact thatthelawisanadversarialsystemtojustifylying.Laddrespondsinthefollowingwaytothisdodge: "{T}hereisnospecialethicsbelongingtoprofessionals.Professionalsarenot,simplybecausethey areprofessionals,exemptfromthecommonobligations,dutiesandresponsibilitiesthatarebindingon ordinarypeople.Theydonothaveaspecialmoralstatusthatallowsthemtodothingsthatnoone elsecan."Ladd131 MischievousSide-EectsofCodesfromJohnLadd Codesmakeprofessionalscomplacent .Ladd135First,theyreducetheethicaltotheminimally acceptable.Second,theycoverupwrongfulactionsorpoliciesbycallingthemwithinthecontext ofthecode"ethical".Forexample,theNSPEcodeofethicsusedtoprohibitcompetitivebidding. Enshriningitintheircodeofethicsgaveittheappearanceofbeingethicalwheninfactitwasmotivated primarilybyselfinterest.Thisprovisionwasremovedwhenitwasdeclaredunconstitutionalbythe U.S.SupremeCourtforviolatingtheAnti-Trustlaw. Becausecodesfocusonmicro-ethicalproblems, "theytendtodivertattentionfrommacroethicalproblemsofaprofession." Ladd135Forexample,inPuertoRico,theactionsofthe DisciplinaryTribunaloftheColegiodeIngenierosyAgrimensoresdePuertoRicotendtofocuson individualengineerswhoviolatecodeprovisionsconcernedwithindividualactsofcorruption;these includeconictsofinterest,failingtoserveasfaithfulagentsortrustees,andparticipatingincorrupt actionssuchastakingorgivingbribes.Ontheotherhand,theCIAPRdoesnotplaceequalattention onmacro-ethicalproblemssuchas"thesocialresponsibilitiesofprofessionalsasagroup"Ladd132, theroleoftheprofessionanditsmembersinsocietyLadd135,andthe"roleprofessionsplayin determiningtheuseoftechnology,itsdevelopmentandexpansion,andthedistributionofthecosts." Ladd135 4.3.11Exercise:QuestionsforReection 1.WhichofLadd'scriticismsapplytothePirateCreed? 2.Howdoesyourgroup'scodeofethicsstandinrelationtoLadd'scriticisms? 3.DoLadd'sobjectionsapplyttheABET,NSPE,orCIAPRcodes?

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118 CHAPTER4.CGCORPORATEGOVERNANCE WORDFILE Thisisanunsupportedmediatype.Toview,pleasesee http://cnx.org/content/m13849/latest/Code_EX_Bx_1.doc Figure4.5: ModuleExercises. 4.4CorporateEthicsComplianceOcerReport 5 note: Thismodulehasbeendesignedtobringtogetherthefollowingmodulesrespondingto theAACSBfourethicsthemes,corporateleadership,ethicaldecision-making,corporatesocial responsibility,andcorporategovernance.ThelinksinthismoduletieitdirectlytoEACToolkit modulesthatwillhelpinpreparationoftheCECOreport.Theincludethefollowing: -Typeorpastethecontentdirectlyintotheappropriatesection -Socio-TechnicalSystemsinProfessionalDecisionMakingm14025 -DevelopingaStatementofValuesm14319 -PirateCodeforEngineeringEthicsm13849 -MoralEcologiesinCorporateGovernancem17353 -ThreeViewsofCorporateSocialResponsibilitym17318 -DifferentApproachestoCorporateGovernancem17367 Thesemoduleshavelinksoftheirownthatwillproveinvaluableforthisactivity.Anexample istheLeedsSchoolofBusinessattheUniversityofColorado;thislinkconnectstoasearch engineforfindingcodesofethicsandcorporatesocialresponsibilityprograms. Themediafilebelowprovidesagenericposterpresentationtemplategearedtowardthisassignment. 5 Thiscontentisavailableonlineat.

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119 TemplateforCECOPosterPresentation Thisisanunsupportedmediatype.Toview,pleaseseehttp://cnx.org/content/m18646/latest/Corporate GovernancePresentation.pptx Figure4.6: ThismedialeprovidesatemplateoftheposterpresentationrequiredforADME3405, thecourse"CorporateLeadershipandSocialResponsibility."Thedierentsectionscanbelledinby preparingPowerPointslides,pressingcontrol+PrintScreenwheninpresentationviewingmode,and copy-pastingintoappropriatepartofpostertemplateslide. 4.4.1Introduction YouaretheCECOofyourcompany.BeingfamiliarwiththerequirementsofSarbanes-OxleyandtheFederal SentencingGuidelines,youhavebeenchargedwithdevelopingacomprehensiveethicsprogramthatincludes asocio-technicalsystemstudy,acorporatecodeofethics,anethicstrainingprogramfornewand ongoingemployees,anethicshotlineorsomeotherreportingmechanism,aCSRcorporatesocial responsibilitychallenge,andrecruitmentandleadershipstrategiesforimplementingethics.Yourreport willbeginwithanexecutivesummaryandendwithaconcludingsectionthatdiscussesimplementation issuesandneeds. 4.4.2Whatyouneedtoknow ::: SectionsofCECOCorporateEthicsReport 1.ExecutiveSummarypage 2.Socio-TechnicalSystemTablepluswrittenexplanation.-5pages 3.CorporateCodeofEthicsthatprovidescorevalues,adescriptionofeachvalue,andhowyouplanto disseminateandimplementyourcode.-5 4.CSRCorporateSocialResponsibilityChallenge 5.DescriptionofEthicsTrainingProgramincludingactivitiesandrequiredresources-5pages 6.RecruitmentandLeadershipStrategiesforImplementingEthicsintoyourorganization-5pages 7.AConclusionthatincludesasummaryofthereport,atimeframeforimplementingyourethics program,andaninventoryofprogramneedsandresourcespage 4.4.3Whatyouwilldo... ExecutiveSummary Theexecutivesummaryshouldbenomorethanonepage.Expecttowritethisseveraltimesbecauseit needstobetheclearestandbestwrittensection.WrittenforyourCEO,itshouldprovideaquicktwo minutesummaryofyourethicsplan.Writeitinactivevoice,useordinarylanguage,andmakereferences throughoutthesummarytothesectionsofthereportthatprovidemorein-depthanalysisoftheissueat hand.Inthissectionyouwilltellyourreaderwhatyouaregoingtosayinthereport. Socio-TechnicalSystem

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120 CHAPTER4.CGCORPORATEGOVERNANCE Thissectionwillprovidebothatableandwrittendescriptiontohelpyourreaderunderstandthesociotechnicalsysteminwhichyourcompanyworksandwhichprovidestheethicalandsocialchallengesto whichyourprogramwillrespond. ForinformationonhowtocomposeaSTStableandthedierentframescoveredrefertomodule m14025,Socio-TechnicalSystemsinProfessionalDecision-Making.ThetableforBurgerManprovides framesthatwillbemostrelevanttothismodulebuttherearealsootherSTStablesadoptedforuse inpowerengineeringandengineeringpracticeinPuertoRico. YourwrittenanalysisshouldsummarizeandexploreinmoredetailtheSTSissuesthatyouareaddressinginyourcorporateethicsplan.Thesewouldincludecomplianceissuesaswellaseldsinwhich yourcorporation'saspirationscouldberealized. CorporateCodeofEthics Yourjobhereistowriteacodeofethicsforyourcorporationemphasizingthekeyvalueaspirations andCSRchallengesthatyouraretargetinginyourethicsprogram.Yourcodeshouldinclude... Thevaluesthatformyourcorporation'shighestandcentralcommitments. Adescriptionorproleofeachvalue.SeetheDevelopingaStatementofValuesmoduleformoreon this. Howyourvaluesapplytoboththecorporation'sstakeholdersandtoitskeyCSRchallenges. Youshouldbeclearaboutthefunctionyourcodeisplayingbothwithinyourethicsplanandwithin thecorporateorganization.Sixkeyfunctionsaretoeducate,tofosteranethicaldialogue,to disciplineemployees,tosupportemployeesintheireortstorealizethecorporation'scorecommitments/values,tocommunicatethesecommitments/valuestoemployeesandotherstakeholders,and toserveasapublictestamentofthekeyethicalandvaluecommitmentsthatdenetheintegrity ofyourorganization. EthicsTrainingProgram Thissectiondetailshowyoueducateemployeesonthekeycomponentsofyourethicsprogramincluding thecoreethicalandvaluecommitments.Itshouldalsoprovidemeansforgettingemployeebuy-infor theethicsprogramaswellascomponentsthathelpemployeeswithspecialethicalchallenges.Itshould includethefollowing: Howyouplantoeducateemployeesonthecompany'scodeofethics. Howthecompany'scoreethicalvaluesandprinciplesshouldbeintegratedinthecompany'skey operationsincludingsettingpolicy,strategicplanninganddecision-making. Howyourethicsprogramaddressesyourcompany'smoralecology.Isitnance-,customer-,orquality driven?Howdoemployeesdevelopsuccessfulmoralcareersandmodesofethicaladvocacywithineach ofthesecompanies?Howdoesyourethicstrainingprogramsupportthisprocess? CSRChallenges SeveralcompanieshavespecialchallengesinCSR.Forexample,CocaColawhenoperatinginIndia ndsitselfsharingscarcewaterresourceswithlocal,subsistencefarmers.Whataretheirresponsibilities inthiscontext?RelateyourCSRchallengetotheSTSdescriptioninthesecondsection. DeveloparesponsetothisCSRchallenge.Howdoesthisrealizeyourcompany'skeymoralvalues? Contextualizeyourcompany'sCSRresponsewithinageneralCSRperspective:shareholder,stakeholder,alliance. RecruitmentandLeadershipStrategiesforImplementingEthics Inthissectionyouwilldescribehowyouwillrealizeyourcoreobjectivesinrecruitingnewemployees andindevelopingaleadershipstyle.

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121 Consider,forexample,howyouwillintegratevaluesintothedierentcomponentsofyourcorporation's recruitingmechanism.Justiceinthejobdescription.Communicatingtonewemployeestheirjoband moralresponsibilities.Recruitingemployeeswhowillbeabletodevelopsuccessfulmoralcareersin themoralecologyofyourcompany. Recognizingandrespondingtoethicalriskssuchasmaintainingprivacyandproperty. Conclusion Intheexecutivesummary,youhavetoldyourreaderwhatyouaregoingtosayinthisreport.Themain bodyofthereportcontainswhatyouneedtosay.Thisnalsectiontellsthereaderwhatyouhavesaidby recapitulatingandsummarizingthereport'shighpoints.Includeatimeframeforimplementingyourethics programaswellasadescriptionoftheprogram'sneeds. 4.4.4Whatdidyoulearn? CheckList Eachgroupwillturninthischecklist,fullylledoutandsigned.Checkingsigniesthatyourgroup hascompletedandturnedintheitemchecked.Failuretosubmitthisformwillcostyourgroup20 points _____ExecutiveSummary _____Socio-TechnicalSystemTableandWrittenExplanation _____CodeofEthics _____EthicsTrainingProgram _____CorporateSocialResponsibilityChallengeandResponse _____RecruitmentandLeadershipStrategiesforImplementingEthics _____Conclusion GroupSelfEvaluationRequirements GroupSelf-EvaluationFormincluding... ____alistofthegoalsyourgroupsetforitself ____acarefullyprepared,justied,anddocumentedassessmentofyourgroup'ssuccessinreaching thesegoals ____acarefulassessmentofwhatyoudidanddidnotlearninthisactivity ____adiscussionofobstaclesyouencounteredandthemeasuresyourgrouptooktoovercomethese ____adiscussionofmemberparticipationandcontributionincludingthemembercontriutionforms ____ageneraldiscussionofwhatworkedandwhatdidnotworkforyouandyourgroupinthis activity _____EachmemberwillturninalledoutaTeamMemberEvaluationForm.Thisformcanbe accessedthroughthemedialelistedabove.Itissuggestedthatyoudothisanonomouslybyturning inyourTeamMemberEvaluationForminasealedenvelopwiththerestofthesematerials.Youare toevaluateyourselfalongwithyourteammatesonthecriteriamentionedintheform.Usethescale suggestedintheform.Yourrstitemhere

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122 CHAPTER4.CGCORPORATEGOVERNANCE TeamMemberEvaluationForm Thisisanunsupportedmediatype.Toview,pleaseseehttp://cnx.org/content/m18646/latest/TEAM MEMBERRATINGSHEET.docx Figure4.7: ThisTeamMemberEvaluationFormmustbelledoutbyeachteammember.Evaluate yourselfandeachmemberintermsofthecriteria.Itispreferableifyoudothisanonymously. GroupPledge Icertifythatthesematerialshavebeenpreparedbythosewhohavesignedbelow,andnooneelse. Icertifythattheaboveitemshavebeencheckedandthatthoseitemswithcheckmarksindicate materialsthatwehaveturnedin.Ialsocertifythatwehavenotplagiarizedanymaterialbuthave givendueacknowledgmenttoallsourcesused.Allwhosignbelowandwhosenamesareincludedon thetitlepageofthisreporthaveparticipatedfullyinthepreparationofthisprojectandareequally andfullyresponsibleforitsresults. Membersignaturehere__________________________ Membersignaturehere__________________________ Membersignaturehere__________________________ Membersignaturehere__________________________ Membersignaturehere__________________________ Membersignaturehere__________________________ 4.4.5Appendix 4.4.6EACToolKitProject 4.4.6.1ThismoduleisaWORK-IN-PROGRESS;theauthorsmayupdatethecontentas needed.Othersarewelcometousethismoduleorcreateanewderivedmodule.Youcan COLLABORATEtoimprovethismodulebyprovidingsuggestionsand/orfeedbackonyour experienceswiththismodule. PleaseseetheCreativeCommonsLicense 6 regardingpermissiontoreusethismaterial. 4.4.6.2FundedbytheNationalScienceFoundation:"CollaborativeDevelopmentofEthics AcrosstheCurriculumResourcesandSharingofBestPractices,"NSF-SES-0551779 4.5BeinganEthicalJobCandidate 7 4.5.1ModuleIntroduction Chancesarethatyouareeitheractivelyinvolvedinaneorttondworkorsoonwillbe.Basedonstoriesthat comefromthejob-huntingexperiencesofUPRMstudentsinPracticalandProfessionalethicsclasses,this modulepresentstheemploymentguidelinesputoutbytheIEEE,challengestheseguidelineswithrealistic casesandscenarios,andprovidesyouwithdecision-makingtoolstotackletheseethicalcomplexities.This 6 http://creativecommons.org/licenses/by/2.0/ 7 Thiscontentisavailableonlineat.

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123 modulewasdevelopedforandrecentlypresentedinMechanicalEngineeringCapstoneDesigncourses.It formsapartoftheEACToolkitfundedbytheNationalScienceFoundation,SES0551779. ThedetailsoftheIEEEProfessionalEmploymentGuidelinesforEngineersandScientistshavebeen reprintedbyStephenUngerinhisbook,ControllingTechnology:EthicsandtheResponsibleEngineer,2nd Ed.NY,NY:JohnWileyandSons,Inc.:315-329.Wecondensetheseguidelinestoafewconcepts.Each conceptwillbepresentedandfollowedbyoneormorecasesdesignedtotesttheconceptinitsapplication. 4.5.2SincereInterest Jobcandidatesareobligedtoapplyonlyforthosepositionsinwhichtheyaresincerelyandseriously interested. "Sincereinterest"hasseveralmeaningsbuttwostandouthere.First,theyshouldnotagreetoan interviewafterhavingacceptedajoboerfromanothercompany.Second,theyshouldbequalied accordingtotherequirementslistedinthejobapplication. Thefollowingscenariostestthisconceptindierentways."BringYourFriends"raisestheissueof whethernotbeingseriouslyinterestedinajobisokiftheinterviewerknowsthisandinitiatesthe interviewforotherreasons."WorkingforMegaWeapons"askswhethermoralorconscience-based conictscancelout"sincereinterest." 1.BringYourFriends: Maria,atalentedstudentinmechanicalengineeringhasacceptedanoertoworkforaprestigiousrm. ThenshereceivesacallforaninterviewwithrmX.Shetellsthemthatshehasalreadyacceptedanoer fromY,butthecallersaysthatdoesn'tmatter.Wewanttointerviewyouanywaysothatwecandocument armativeactioncompliance.Infact,ifyouhaveanyfriendswhoaresimilarlysituated[i.e.,womenwho comefromminoritygroups]pleasegiveustheirnames.Wewillyallofyoutoourcentralheadquartersfor interviewsatourexpense.Itwillbeagoodvacation. WhatwouldyoudoifyouwereinMaria'splace? Accepttheinterviewoerbutnottrytorecruitanyofyourfriends. Accepttheinterviewoerandtrytorecruitsomeofyourfriendstogoalong. Refusetoaccepttheinterviewonmoralgrounds. RefusetoaccepttheinterviewbecauseitwouldinterferewiththeclassinPracticalandProfessional Ethicsthatyouarecurrentlytaking. Reportthiscompanytotheappropriategovernmentalagencysincetheyareclearlydistinguishing againstcandidatesfromso-calledminoritygroups Yoursolution.... 2.WorkingforMegaWeapons Jorgeisanunemployedcomputingprofessional.Heisalsoapacist.Antonio,afriend,hasajobprospect. MegaWeaponsislookingforsomeonewithJorge'sexpertise.Yes,hewillbespendingtimedevelopingthe guidancesystemsforsmartbombs.Buttheaccurate,smartbombswillbelesslikelytogoastrayand killinnocentcivilians.Jorge,however,remainsunimpressedbythis.They'restillbombs,hesays,and theirprimarypurposeistokillhumanbeings.Besides,Iwouldcompromisemyselfbyevenacceptingan interview.Whatiftheyaskmeaboutmyviewsonwar?Iwouldhavetotellthemthetruthandthen theywoulddismissmeasacandidate.Jorgetellshiswifeaboutthejobprospect.Whileshesupports hispacism,shetellshimthatshecan'tcontinueindenitelyasawaitress;herjobispreventingherfrom completinghercollegedegreeandkeepsherawayfromthechildren.SheasksJorgeifthereisanywayhe canreconcilethisjobwithhispacism.WhatshouldJorgedo? WhatshouldJorgedoishereceivesarequesttointerviewwithMegaWeapons? Jorgeshouldnotgototheinterviewbecauseheisnot"sincerelyinterested"inthisposition.His pacismcancelsoutanypossibilityof"sincereinterest".

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124 CHAPTER4.CGCORPORATEGOVERNANCE Jorgeshouldacceptthisinterviewrequestbecausehisobligationstohisfamilyoutweighmattersof personalmoralityandpersonalconsciencesuchashispacism. Jorgeshouldacceptthisinterviewandajoboer,ifonefollows,preciselybecauseofhispacism.If herefusesthenMegaWeaponswillndawarmongerwhowilldoallkindsofharm.Bytakingthe jobandusinghisskillstominimizeharminweaponsdevelopmentJorgeisdoinghisbesttorealize thepacistagenda. Jorgeshouldsetasidehispacismandusehisengineeringskillstocarryoutpoliticallysanctioned weaponsprojectsjustasadoctorshouldsetasidepersonallikesordislikesofapatientandexercise hisorherskillsdispassionatelyandprofessionally. Yoursolution... 4.5.3FullandHonestDisclosure Thejobcandidateisrequiredtoprovidefullinformationrelativetothejobdescriptionasadvertised. Thiswouldincludeelementssuchas: EducationalExperience Priorworkexperience Otherjobrelevantskillsandknowledge Doreligion,sexualpreference,maritalstatus,politicalviewpoints,andrecreationalpracticesconstitute jobrelevantmatters?Inotherwords,arethesemattersprivatetothejobcandidateorarethere occasionswhentheprospectiveemployerhasarighttoaccessthisinformation? Distinguishbetweeninformationtowhichaninterviewerhasarightandthemeanstheinterviewer hastherighttousetouncoverthisinformation.Dointerviewershavetherighttorequirethatjob candidatestakepolygraphexaminations,undergodrugtests,takepsychologicalproling exams,besubjectedto"stagedcrises"tondouthowacandidatewouldhandlesuchanevent? Thesemayconstituteinformationareastowhichtheprospectiveemployerhasaright,butdoesthe intervieweralsohavearighttousethesemeanstoobtainthisinformation? Thefollowingscenarioexamineswhetherfulldisclosurerequiresthatonemakeknownone's personalmoralconvictions. 3.AreYouaBleeding-HeartPacist? Jorgeisapacist.Heisalsoanunemployedcomputingprofessional.Againsthisbetterjudgment,hiswife andfriend,Antonio,havetalkedhimintointerviewingwithMegaWeaponsforanewopeningworkingonthe guidancesystemsofnon-nuclearmissiles.Duringtheinterview,theemployerremarksthatMegaWeapons hashadtroubleinthepastwithemployeeswhohavemoralqualmsaboutworkingonweaponsprojects.He thenturnstoJorgeandasks,You'renotoneofthosebleeding-heartpacistsareyou?HowshouldJorge answerthisquestion? Jorgeshouldnotrevealhispacism.ItisobviousthatthiswouldprejudiceMegaWeaponsagainst hiringhim.Hemusttrytogetthejobatallcosts. Jorgeshouldtakethetimetoexplainhispacism,andhowheseeshimselfttingintodierent militaryprojects.Forexample,hecouldemphasizehisconcernandexpertiseinmakingweapons guidancesystemsasaccurateaspossibletominimize"collatoral"damageduringuse.Hecoulduse thisinterviewtonegotiateguidelinesforprojectsthathewouldndcompatiblewithhisconvictions. Jorgeshouldimmediatelyexittheinterview.ItisobviousthatMegaWeaponswouldexhibitno sympathyorsupportforhispacism. Yoursolution.

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125 4.5.4MoralConictsandFullandHonestDisclosure ConsiderthisAnalogy YouareaphysicianoncallforSaturdaynightinaremotecountryhospital.Youreceiveanemergencycallto comeimmediatelyandperform,life-savingsurgeryonapatientincriticalcondition.Thesurgeryisroutine forsomeoneofyourskillsbutthesituationforthepatientiscritical.Youcansavehislifeifyouactquickly. Youspeedtothehospital,scrub,suitupandwalkintotheoperatingroom.Therelyingunconsciouson theoperatingtableisyourworstenemy.Thisisapersonwhoseentirelifehasbeendevotedtomakingyou miserable.Youhavenodoubtthatifyousavehislifehewillcontinuetoinictevenmoresueringonyou. Youhesitate.Youcouldbotchtheoperationandprobablygetawaywithit.Butnooneelsecanperform thesurgery.Yousuccessfullyexecutetheoperationandsavethepatient'slife.Afterall,asaphysicianyou havetheobligationtosetasidepersonalissuesandfeelingsanddoyourdutyasaprofessionaltothebest ofyourabilities. Thegeneralconsensusisthatthedoctorismorally,professionally,andevenlegallyobligatedtoperform theoperation.Professionalism,mostargue,requiresthatwesetasidepersonalissuesandpersonalmorality anddoourdutiesasprofessionals.SamuelFlormanarguesthatengineersasprofessionalshavethesame dutybyanalogy.Ifsocietyasksanengineertocarryoutataskthatissociallysanctionedandpolitically validated,thentheengineerhasthedutytosetasidewhatevermoralorconscience-basedobjectionsheor shemayhaveandcarryouttheengineeringactivity.Soeventhosewhoarepacistsandobjecttoweapons projectsmayhave,undertherightconditions,theobligationordutytosetasidepersonalmoralityand workontheproject.DoyouthinkFlorman'sanalogyholds?PutyourselfintothepositionofJorge?Does hehavetheobligationtosetasidehispacismasamerelypersonalbeliefandcarryouthisordersasan engineer? HereisthecentralpartofFlorman'sargumentfromanalogyquotedfromhisarticle,"Moral Blueprints"Harper's,October1978,pp.0-33: Ifeachpersonisentitledtomedicalcareandlegalrepresentation,isitnotequallyimportantthateach legitimatebusinessentity,governmentagency,andcitizens'groupshouldhaveaccesstoexpertengineering advice?Ifso,thenitfollowsthatengineerswithinthelimitsofconsciencewillsometimeslaboronbehalf ofcausesinwhichtheydonotbelieve.Suchatolerantviewalsomakesiteasierforengineerstomakea living. WhatdoyouthinkFlormanmeansby"withinthelimitsofconscience"? NathanielBorensteinawidelyrespectedexpertonintelligentsystemsfoundhimselfunderjustthiskind ofsituation.Acommittedpacist,heassiduouslyavoidedgettinginvolvedinmilitaryprojects,evenwhen askedrepeatedlybyrepresentivesofthemilitary.Butsomethingsaidtohimbyoneofthesemilitary representativesledhimtoreassesshisposition.Borensteinwasaskedtodevelopatrainingsimulationto teachindividualshowtoworkwiththenuclearmissilelaunchingsystem.Whenhefoundthatitinvolved "embeddedtraining"hebecameveryconcerned.Toappreciatethefullextentofhisconcernandthereasons thatpersuadedhimtogetinvolvedin this project,itisbesttoturntohisownwords: BorensteinonEmbeddedTraining Embeddedtraining,inparticular,struckmeasaverypooridea.Trainingbycomputersimulationhasbeen aroundforalongtime.Embeddedtrainingtakesthisonestepfurther:itdoesthesimulationandtraining ontheactualcommandandcontrolcomputer.Toexaggerateslightly,whetherornotanyoneactuallydies whenyoupressthe"launchmissiles"buttondependsonwhetherornotthereisalittlelineatthetopof thescreenthatsays"SIMULATION." Borensteincontinues Suchasystemseemsalmostdesignedtopromoteanaccidentalnuclearwar,andthisthoughtwaswhat persuadedmetoattendtheworkshopintherstplace.Onecanalltooeasilyimaginehumanerror"Icould have sworn itwasinthe'simulation'modeaswellasfrighteningtechnicalpossibilities.Perhaps,dueto someminorprogrammingbug,theword"SIMULATION"mightfailtodisappearwhenitwassupposedto. Someoneapproachingthecomputerwouldgetthewrongideaofwhatitwassafetotype.

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126 CHAPTER4.CGCORPORATEGOVERNANCE Thesequotesaretakenfrom:NathanielS.Borenstein,"MylifeasaNATOcollaborator"in theBulletinoftheAtomicScientists,April1989:13-20. AThoughtExercise ThinkofBorenstein'sconcernsandeventualactionsinlightofFlorman'sanalogy. DoesBorensteinhavetheobligationtosetasidehispacismtoworkoncorrectingthistraining problem? DoesFlorman'sanalogyprovidethejusticationforthis?OrisBorensteinactingonthebasisofa verydierentsetofarguments? Assumethatyouareacommittedpacist.WasBorensteinrighttosetasidehisbeliefstoworkon thisproject?Didhereallysetasidehisbeliefs? 4.5.5HonoringCondentialityAgreementsandWaivingEmploymentRights Moreandmore,prospectivejobcandidatesarebeingrequiredtosign"non-disclosureagreements"as apartoftheiremploymentcontract.Theseagreementscommitengineersandprofessionals,notonly tonon-disclosureofcompanysecrets,buttonotseekingemploymentwithcompetitorsforthreetove yearsafterleavingthecompany. Non-disclosureagreementsaredesignedtobalanceanemployer'sconcernforprotectingcondential informationwithanemployee'srighttojobmobilitybasedonfreedomofassociation.Butanewand vitalconcerntoengineersandprofessionalsonthepointofemploymentisjustwhattheyarecommiting themselvestowhentheyagreetosuchcontractualprovisions. Theprospectiveemployee'sresponsibilitytohonorcondentialityagreementsisgroundedintheemployer'sobligationtofulldisclosureofthetermsofemployment.Balancingtheseisdicultinthe interviewingandhiringprocessesasthefollowingcasesdemonstrate. Newemployeesarealsobeingaskedtosignagreementswaivingtheirrighttosuethecompanyshould theybered.Inlieuoftherighttosueforwrongfuldismissal,companiesaskthatemployeesagree tobindingarbitrationcarriedoutbyanoutsidearbitrator.Bindingarbitrationis...binding,thatis,it obligatesbothofthedisputingpartiestoadecisiondecideduponbyanoutsider.Andthecompany reservestherighttonamethearbitrator.Companieshavedonethistoprotectthemselvesagainstthe erosionofthedoctrineof"employmentatwill"towardthenotionof"justcause."Butthescenarios belowinvitesyoutothinkabouthowmuchjobcandidatesarebeingaskedtogiveupwhentheywaive theirrighttosueforwrongfuldismissal. 4.WeProtectOurProperty PedrohasajoboerfromZ-Corp,amanufacturerofcomputerchips.Z-Corphasrecentlyhadproblems withitscompetitorswhohavetriedtohireawayitsemployeestogetinformationabouttheirchipproduction process.Inresponse,Z-Corpnowincludesaclausenon-disclosureagreementinitsemploymentcontract thatprohibitsemployeesfromworkingwithcompetitorsforuptoveyears.ShouldPedrobeconcerned aboutthis?Whatshouldhedo? WhatshouldPedrodo? Heshouldrefusetosignsuchanagreementevenifitcostshimthejob. Heshouldsigntheagreementwithoutcomplaint.It'sanastyworldoutthere,andheisluckytohave thisjob. Pedroshouldaskthecompanytobemoreexplicitaboutthecondentialityconcernstheyaretrying toprotect.Heshouldalsoaskwhetheritisnecessarytorestricthisfutureemploymentoptionstosuch anextent. Yoursolution.... 5.YouCan'tSueUs Marta,astudentatanHispanicuniversityhasjustacceptedajobwithamajorU.S.corporation.The jobseemsideal.However,shenoticesthatheremploymentcontractincludesaclausetotheeectthatshe

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127 cannotsuethecorporationforwrongfuldismissalshouldsheberedorlaido.Instead,thedisputewould beresolvedbyanoutsidearbitrator.Thearbitrator'sdecisionwouldbebindingonbothparties.Moreover, thearbitratorwouldbechosenbythecompany.Martasuspectsthatthisagreementrepresentsahardline stancethatthecompanyhastakenonwrongfuldismissalsuits.Whatshouldshedo? WhatshouldMartado? Sheshouldrefusetoagreetowaivinganyofherlegalrights.Nottodosowouldleavehervulnerable tobeingredbythecompanyforanyreasonwhatsoever,evenmorallyquestionablereasons. Sheshouldaskformoretimetostudytheemploymentcontractbeforesigning.Thensheshouldexamineverycarefullythecompany'spastemploymentissues.Maybethecompany'srecordisquestionable andthishasledthemtotakesuchastancetowardwrongfuldismissalsuits. Martashouldaskformoretimetothinkabouttheemploymentoerandthecontractualterms.Then sheshouldtrytondanotherpositionandonlyifshefailsinthiseortshouldsheaccepttheoeras thebestthingshecando. Yoursolution.... 6.CanIusewhatIhavealreadylearned? MegaWeapons,Inc.MWhasbeenawardedalucrativecontractwiththeU.S.militarytodevelopguided, non-nuclearmissiles.ThiscontractisbasedonMW'sconsiderablesuccessindevelopinghighlyaccurate computerguidancesystems.WhileworkingwithMW,youhavehadaccesstothedetailsoftheseguidance systems,includinginformationownedbyMWandprotectedbythelaw.Recently,youhavereceivedajob oerfromAmacoArms,Inc.AA.Thisoercameaboutthroughanunsolicitedrecommendationbya formerclassmateofyours;henowworksforAmaco,isfamiliarwithyourexperienceandexpertise,and suggestedtohissupervisorsatAmacothattheytrytohireyouawayfromMegaWeapons.Youwillbe helpingthemdevelopguidancesystemsformissilesandwillbedoingworksimilartotheworkyouaredoing withMegaWeapons.AAcompetesdirectlywithMEformilitaryweaponscontracts.Itismorethanlikely thatprotectedinformationyouhavehadaccesstowhileworkingwithMegaWeaponswouldbeusefulfor whatyouwouldbedoingwithAmaco. Whatwouldyoudoifyouwereinthisposition > Youshouldacceptthenewjob.Afterall,yourclassmatehasdoneyouafavor.It'salotmoremoney, andyouarecertainlyinapositiontohelpAA. YoushouldnotacceptthisjoboersinceitisclearthatyourformerclassmateandAAareonly interestedintheproprietaryandcondentialinformationyouhaveaboutMW. Youshouldacceptthejobbutonlyafteryouhavedonetwothings.First,youneedtoconsultwith MWtodenepreciselytheboundariesofyourcondentialityobligations.Thenyoushouldmakethese boundariescleartoAAandonlyiftheyaccepttheseboundariesshouldyouagreetoworkforthem. Yoursolution.... 7.YouCan'tTakeItWithYou YouareleavingComputingSystems,Inc.toworkforCompware,Inc,.acompetitor.Beforeyouleave ComputingSystems,youaredebriefedbythePersonnelOceandacompanylawyerontheproprietary informationyouhavehadaccesstowhileworkingwithComputingSystems.TheyhaveitemizedtheinformationthatyoucannotdivulgetooruseinyourworkwithCompware.Itisyourprofessionaljudgment thattheyareincludinginformationthatisgeneralknowledgeandshouldnotbeconsideredcondentialor proprietary.Itisalsoinformationthatwouldbeusefulevenessentialforwhatyouwillbedoinginyour newjob.Youfeelthatthiscondentialityagreementisoverlyrestrictiveandwouldhandicapyouinyour newjob.Whatshouldyoudo? HowshouldyourespondtoCSI'srestrictionsonwhatyoucanandcannotdiscloseinyour newworkwithCompware? 1.Youshouldassertyourrightstomakeuseofalltheinformationthatyourtraininghasprovidedyou. ThisincludesespeciallytheinnovationsyouintroducedtoCSI.Becausethisistheresultofyourhard workyoushouldbeabletotakeitwithyoutoyournewjob.

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128 CHAPTER4.CGCORPORATEGOVERNANCE 2.EventhoughCSI'scondentialityboundariesare,inyouropinion,restrictive,youhavenochoicebut toacceptthem.MaketheseboundariescleartoCompwareandhopethattheystillwantyourservices. 3.Youneedtoconsultalawyerhere.ClearlyCSIistramplingonyourlegalrightsbutyouwillneed experthelptoassertthem. 4.Yoursolution.... 4.5.6MoreonFullandHonestDisclosure:TermsofInterview FullDisclosurealsopertainstoprovidingfulldisclosureofthetermsoftheinterviewaswell asfulldisclosureofthetermsofemploymentshouldthesearchreachthispoint. Fulldisclosurewouldincludeprovidingthejobcandidatewithadetaileditineraryoftheinterview process.Aswewillseeinthecasebelow,someinterviewersdeliberatelyleaveocertainitemsto createsurprises. Fulldisclosureofthenatureofthejobshouldincludeadetaileddescriptionofroutineactivitiesaswell asnon-routinepossibilities.Anexampleofasignicantnon-routinetaskwouldbethatoccasionsmay arisewhereanemployeemayatsomepointbecalledupontoworkonaweaponsproject. Inshort,thejobcandidateshouldbegiven,duringtheinterview,anorientationonworkresponsibilities, placesinwhichtheworkwillbecarriedout,andthecolleagueswithwhomheorshewillbeworking. 8.Oh,bytheway... Pedro,whowillgraduateattheendofthecurrentsemester,isastudentatawellknownHispanicserving university.HeandtwoofhisclassmatesareownbyComp-Orgforaninterviewatcompanyheadquarters. Duringaphoneconversationwiththecompanyrepresentativesettinguptheinterview,heasksifthere isanythingheshoulddotopreparefortheinterview.Thecompanyrepresentativeanswers,"No."Pedro receivesafaxeditineraryoftheinterviewitlooksroutine.SoPedroandhisclassmatesboardtheplaneand arriveattheirdestination,thecompanyheadquarters.Thecompanyocialwhomeetsthemattheairport tellsthemthattherstitemontheinterviewagendaisadrugtest.WhenPedroobjects"Whyweren'twe toldaboutthisbeforeweagreedtotheinterview?"heistoldthatifthisisunacceptabletohim,hecanget rightbackontheplanebecausetheinterviewisoverforhim. WhatshouldPedrodo? Heshouldgetontheplane.Thisactonthepartoftheinterviewerviolateshisrightofpriordisclosure ofthetermsoftheinterview. Heshouldsubmittothedrugtest.Afterall,heshouldhavereasonablyexpectedthatthecompany woulddosomethinglikethis.Sincewhetherornothehasadrughabitishighlyjobrelevant,the companyhasarighttothisinformation. HeshouldleagrievanceagainstthecompanyfordiscriminatingagainstHispanics. Yoursolution.... Employersshouldalsotreatinformationaboutjobcandidatesandemployeesascondential Inthefollowingcase,examinewhetherinformationaboutwhyaformeremployeewithyourcompanyhad beenredisorisnotcondentialandshouldorshouldnotbeincludedinanyrecommendationyouwrite forthatemployee. 9.TheRecommendation Aworkerunderyoursupervisionhasrecentlybeenredforincompetenceandrepeatedviolationsofcondentiality.Severalweekslater,theworkerreturnstoaskyouforaletterofrecommendation.Hesaysyou oweittohim;youredhimandhehasnotbeenabletondanyworkandhasafamilytosupport. Whatshouldyoudo? 1.Writetheletterandwithholdinformationabouttheemployeebeingred.Whilehemaybeaslacker, youshouldhelphimasameansofhelpinghisfamily.

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129 2.Writetheletterbutincludetheinformationabouttheemployeebeingred.Ifyouframeitproperly, maybehewillgetajobandbeabletosupporthisfamily. 3.Refusetowritealetter.Ifyouleaveoutwhattheprospectiveemployerconsiderscrucialinformation youmaybeliableforanyharmthisslackercauses.Andyouwouldn'tbedoingtheformeremployee anyfavorinwritingtheletterbecauseyouwouldbewrongtoconcealinformationabouthisbeing red. 4.Yoursolution.... Finally,interviewersandemployershavetheobligationtotreatjobcandidatesandemployees withdignity.Thisincludesrespectingprivacyandrefrainingfromharassment.Thefollowing caseraisesinterestingquestionsaboutjustwhatconstitutesharassmentduringaninterview. ArecentgraduatefromUniversityX,Martahasastrongandsuccessfulinterviewwitharepresentative fromalocal,respectedcompany.Shediscussedherskills,experience,andaskedseveralperceptive questionsaboutworkingconditions,jobresponsibilities,andbenets.Theinterviewer,obviously impressed,askedMartabackforasecondinterviewwithhissupervisor. Thesecondinterviewfollowedadierentcourse.Theinterviewer,anolderman,didnotaskherabout herskillsorexperience.Insteadhereminiscedabouthisdaysasacollegestudent.Hetalkedabouthis childrenwhattheywerestudyingandtheircareerplans.Hementionedhiswifeinpassing.Thenhe toldMartathatthepeoplewhodowellinhiscompanyarehardworkers."Thestrongestperson,"he said,"willdowhateverisnecessarytosurviveinaharsh,competitiveenvironment."Thenhelooked atherhandsandaskedifshewassingleandifshestilllivedwithherparents. HowshouldMartaanswerthesequestions? DothesequestionsinvadeMarta'sprivacy? Dotheinterviewer'squestions,comments,andgesturesconstitutesexualharassment? 4.5.7DecisionMakingExerciseandEthicsTests YourTask Youwillbedividedintogroupsandassignedascenario. Eachscenarioinvolvesadicultywithinterpretingandapplyinganemployeeguidelineconcept. Interpretandapplytheconceptasbestyoucan. Developavalueintegrativesolutionthatresolvesthedecisionpointofyourscenario. Values Value :Avalue"referstoaclaimaboutwhatisworthwhile,whatisgood.Avalueisasingleword orphrasethatidentiessomethingasbeingdesirableforhumanbeings."BrincatandWike,Morality andtheProfessionalLife:ValuesatWork Justice :Justiceasfairnessfocusesongivingeachindividualwhatishisorherdue.Threesensesofjusticearetheproper,fair,andproportionateuseofsanctions,punishmentsanddisciplinarymeasures toenforceethicalstandardsretributivejustice,theobjective,dispassionate,andimpartialdistributionofthebenetsandburdensassociatedwithasystemofsocialcooperationdistributivejustice, anobjectivelydeterminedandfairlyadministeredcompensationforharmsandinjusticessuered byindividualscompensatoryjustice,and4afairandimpartialformulationandadministrationof ruleswithinagivengroup. Respect :Recognizingandworkingnottocircumventtheautonomyinothersandourselves.Autonomyisthecapacitytomakeandexecutedecisionsaswellastosetforthendsandgoals,integrate themintolifeplans,andusethesetoconstituteactiveidentities.Respectinvolvesrecognizingand respectingrightssuchasprivacy,property,freespeech,dueprocess,andfreeandinformedconsent. Disrespectunderminesautonomythroughdeception,force,ormanipulation.

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130 CHAPTER4.CGCORPORATEGOVERNANCE Responsibility :Theabilitytodevelopmoralresponsesappropriatetothemoralissuesandproblems thatariseinone'sday-to-dayexperience.Responsibilityincludesseveralsenses:individualsare capacityresponsiblewhentheycanbecalledupontoanswerforwhattheydo;individualshave roleresponsibilitieswhentheycommittocarryouttasksthatarisefromsocialandprofessionalroles; responsibilityalsoreferstothewayinwhichonecarriesoutone'sobligations.Itcanrangefrom indierenceandnegligencetocareanddiligence.Responsibilityinthissenseturnsintoavirtuethat formulatesdiligenceandcareasexcellencesworthstrivingfor. Honesty Ishonestytellingthetruth,thewholetruth,andnothingbutthetruth?Orisitavirtue thatinvolvesamoredelicatebalancebetweenextremesofexcessanddefect?Toomuchhonestyresults inharmfulbluntnessandtactlessness.Yourchildisahopelessslob.Youshoulddisownhim.The formermaybetruebuttherearegentlerandultimatelymoreproductivewaystocommunicatethis informationtotheconcernedparent.Weareallfamiliarwithtoolittlehonesty,thedishonestythat resultsfromlying,deceiving,manipulating,exaggerating,distorting,etc. Reasonableness -Defusingdisagreementandresolvingconictsthroughintegration.Characteristics includeseekingrelevantinformation,listeningandrespondingthoughtfullytoothers,beingopento newideas,givingreasonsforviewsheld,andacknowledgingmistakesandmisunderstandings.Thus, reasonablenessasavirtueincludesmuchmorethanrationality.FromMichaelPritchard,Reasonable Children Inmakingyourdecision... 1.Trytodesignasolutionthatrealizesasmanyvaluesaspossible. 2.Wike:Althoughvaluescancompete,theydon'tconict.Trytosolvethevaluecompetitionsinyour scenariobyintegratingthecompetingvaluesinasolution. 3.Wike:Novaluenecessarilyoverridesanyother. 4.Wike:Aimtorealizeallvalues,butwherethatisimpossible,enactthemostimportantvaluesand/or thegreatestnumberofvalues. HavingTrouble?Trythis... 1. NoloContendere .Takethepathofleastresistance.Justgoalongwithwhatthedominantperson inthesituationsays. 2. Negotiate .Trytopersuadethoseinthesituationtoacceptavalue-integrativesolution,compromise, ortradeo. 3. Oppose .Someoneistryingtoforceyoutososomethingwrong.Getsomecourage.Opposethe wrongdoer. 4. Exit .Youcan'twininthissituationsondawayofgettingout.Letsomeoneelsedealwithit. 5.Theseoptionscanbeevaluatedandrankedintermsofthevaluestheyrealizeordon'trealizeand howfeasibletheyareinthegivensituation. Trytheseethicstests 1. REVERSIBILITY :WouldIthinkthisagoodchoiceifIwereamongthoseaectedbyit? 2. PUBLICITY :WouldIwantthisactionpublishedinthenewspaper? 3. HARM :Doesthisactiondolessharmthananyavailablealternative? 4. FEASIBILITY :Canthissolutionbeimplementedgiventime,technical,economic,legal,andpolitical constraints? 4.5.8References 1.VictoriaS.Wike,ProfessionalEngineeringEthicalBehavior:AValues-basedApproach. Proceedingsofthe2001AmericanSocietyforEngineeringEducationAnnualConferenceand Exposition, Session2461.

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131 2.MichaelS.Pritchard ReasonableChildren:MoralEducationandMoralLearning Lawrence,KS:UniversityofKansasPress:11. 3.StephenH.Unger ControllingTechnology:EthicsandtheResponsibleEngineer .New York:JohnWileyandSons:315-325ReprintedwithpermissionofIEEE 4.RobertC.Solomon ABetterWaytoThinkAboutBusiness:HowPersonalIntegrity LeadstoCorporateSuccess .Oxford,UK:OxfordUniversityPress:71-114. 5.SeeOnlineethics,www.onlineethics.org,forcaseonwhichOh,BytheWayisbased. 4.5.9Conclusion Whathaveyouachieved? 1.Youhavebecomeawareofhowethicalissuescanariseinthejobcandidacyprocess. 2.Youhaveabetterofyourobligationsandrightsinthejobcandicacyprocess. 3.Youhavepracticeddecisionmakingbyevaluatingandrankingsolutionstoethicscases. 4.Youhaveworkedwithintegratingimportantethicalvaluesintosolutionstoethicalproblems. 4.5.10PresentationofModulebeforeMechanicalEngineeringClass Presentation:BeinganEthicalJobCandidate Thisisanunsupportedmediatype.Toview,pleasesee http://cnx.org/content/m14468/latest/Be_Et_Job_V2.ppt Figure4.8: ThisgurecontainsapowerpointpresentationofthismoduleusedinaMechanicalEngineeringCapstoneDesigncourseduringSpringandFallsemesters,2007. GrayMattersinJobSearches Thisisanunsupportedmediatype.Toview,pleaseseehttp://cnx.org/content/m14468/latest/Gray MattersinJobSearches.doc Figure4.9: ThiswordlepresentsfouroftheabovescenariosinGrayMattersform.Itprovidesa usefulhandoutaswellasanabbreviatedversionofthisactivity.

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Chapter5 BusinessEthicsCaseStudies 5.1BiomatrixCaseExercises-StudentModule 1 note: Writeyourmoduleforastudentaudience.Tocompleteoreditthesectionsbelowerase theprovidedtextualcommentariesthenaddyourowncontentusingoneormoreofthefollowing strategies: -Typeorpastethecontentdirectlyintotheappropriatesection -LinktoapublishedCNXmoduleoranexternalonlineresource usingthe``Links''tabsseeexampleontheright -Linktoadocumentormultimediafilewithinthecontentafter uploadingthefileusingthe``Files''tabseeexamplebelow -Citecontentnotavailableonline WordVersionofthisTemplate Thisisanunsupportedmediatype.Toview,pleaseseehttp://cnx.org/content/m15187/latest/EACTK STDTEMPLATE.doc Figure5.1: Thisisanexampleofanembeddedlink.Goto"Files"tabtodeletethisleandreplace itwithyourownles. 5.1.1Introduction Inthismoduleyouwillstudyarealworldethicalproblem,theBiomatrixcase,andemployframeworksbased onthesoftwaredevelopmentcycleto1specifyethicalandtechnicalproblems,generatesolutionsthat 1 Thiscontentisavailableonlineat. 133

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134 CHAPTER5.BUSINESSETHICSCASESTUDIES integrateethicalvalue,testthesesolutions,andimplementthemoversituation-basedconstraints. Thismodulewillprovideyouwithanopportunitytopracticeintegratingethicalconsiderationsintoreal worlddecision-makingandproblem-solvinginbusinessandcomputing.Thiswholeapproachisbasedonan analogybetweenethicsanddesignWhitbeck. LargerealworldcaseslikeBiomatrixpivotaroundcrucialdecisionpoints.Youwilltakeontheroleofone oftheparticipantsintheBiomatrixcaseandproblem-solveinteamsfromthreedecisionpoints.Problemsolvingintherealworldrequiresperseverance,moralcreativity,moralimagination,andreasonableness; oneappropriatestheseskillsthroughpracticeindierentcontexts.Designingandimplementingsolutions requiresidentifyingconictingvaluesandinterests,balancingthemincreativeanddynamicsolutions,overcomingtechnicallimits,andrespondingcreativelytorealworldconstraints. Eachdecisionpointrequiresthatyoutakeupthepositionofaparticipantinthecaseandworkthrough decision-makingframeworksfromhisorherperspective.Youmaybetemptedtobackoutandadoptan evaluativeposturefromwhichtojudgetheparticipants.Resistthistemptation.Thismoduleisspecically designedtogiveyoupracticeinmakingrealworlddecisions.Theseskillsemergewhenyouroleplayfrom oneofthestandpointswithinthecase.Youwilllearnthatdecision-makingrequirestakingstockofone's situationfromwithinaclearlydenedstandpointandthenacceptingresponsibilityforwhatarisesfrom withinthatstandpoint. CasessuchasBiomatrixarechallengingbecauseofthelargeamountofinformationgatheringandsorting theyrequire.Moralimaginationrespondstothischallengebyprovidingdierentframingsthathelptolter outirrelevantdataandstructurewhatremains.Framingplaysacentralroleinproblemspecication.For example,Biomatrixcouldbeframedastheneedtodevelopquickanddecisiveresponsestocyber-smear.Or itcouldbeframedlegallyasemployinglegaltoolsJohnDoesuitstopierceanonymitythatsetadangerous precedentagainstfreespeech.Yetagain,itcouldbeframedasacautionarytaleonthedangersofthinking thatyouareanonymouswhenyouspeakonline.Whatisimportantatthisstageisthatyouandyourgroup experimentwithmultipleframingsofthecasearoundyourdecisionpoint.Thismakesitpossibletoopen upavenuesofsolutionnotpossibleunderjustoneframing. Tacklinglargecasesinsmallteamsalsohelpsdevelopthecommunicationandcollaborationskillsthat arerequiredforgroupwork.Taketimetodevelopstrategiesfordividingtheworkloadamongyourteam members.Thetrickistodistributeequallybut,atthesametime,toassigntasksaccordingthedierent abilitiesofyourteammembers.Someindividualsarebetteratresearchwhileothersexcelininterviewing orwriting.Also,makesuretosetasidetimewhenyounishforintegratingyourworkwiththatofyour teammates.Startbyquicklyreviewingtheinformationavailableonthecase.Thisiscalledscopingthe case.Thenformulatespecicquestionstofocusfurtherresearchoninformationrelevanttoyourproblem solvingeorts.Thisincludesinformationpertinenttoconstructingasocio-technicalanalysis,identifyingkey embeddedethicalissues,anduncoveringexistingbestandworstpractices. Acasenarrative,STSsocio-technicalsystemdescription,andtwoethicalreectionshavebeenpublished athttp://computingcases.org.Thismodulealsolinkstowebsitesonfreespeechandprivacylaw,adviceto corporateocialsonhowtorespondtocyber-smear,andinformationusefulinunderstandingtheproducts manufacturedbyBiomatrix. BiomatrixAbstract BiomatrixmanufacturesamedicalproductcalledSynvisc,alubricantinjectedintothekneetotakethe placeofnaturallubricantsthatdisappearwithage.FromApril1999toAugust2000,aseriesofmessages some16,000inallhighlycriticalofBiomatrixwerepostedonaYahoobulletinboard.Thesemessages,sent bythreeindividualsoperatingunder23pseudonyms,makeaseriesofdefamatoryclaimsaboutBiomatrix ocials,employees,thecompany'snancialstatus,anditskeyproducts.Biomatrixvigorouslydeniedeach oftheseclaims.Yetthequalityandquantityofthisinformationmayhavehadnegativeeectsonthe nancialwellbeingofthecompany.DuringtheperiodinwhichthemessagesappearedinYahoo,Biomatrix stockdroppedfrom$35pershareto$21.Inresponse,BiomatrixpetitionedthecourttosubpoenaYahooto revealtheidentitiesofthepersonssendingthemessages.YahoocompliedidentifyingRaymondCostanzo, RichardCostanzo,andEphraimMorrisastheauthorsofthemessages.Inasummaryjudgment,allthree werefoundguiltyofdefamation.

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136 CHAPTER5.BUSINESSETHICSCASESTUDIES Date Event Actors April1999throughAugust2000 Postingofanti-Biomatrixmessages RichardCostanzo,Raymond Costanzo,EphraimMorris April1999toJuly2000 BiomatrixSharesdropfrom35to 21 CausedbyBXMPolice? March2000 AnnouncementofGenzyme'sintentiontobuyBiomatrixfor $245,000,000 BiomatrixandGenzymeTop Management June/July2000 InitiationofJohnDoeLawsuit Plaintis:Biomatrix,Balazs, andDenlinger July2000 CourtsubpoenasYahooforidentitiesofmessagepostersBXM Police Plaintis:Biomatrix,Balazs, andDenlinger August3,2000 SummaryJudgmentagainst RaymondCostanzo,Richard Costanzo,andEphraimMorris Plaintis:Biomatrix,Balazs, andDenlinger November7,2000 SECapprovalofGenzymeplan topurchaseBiomatrix GenzymeandBiomatrixTop ManagementplusSEC November7,2000 Biomatrixstockrisesfrom$19to $19.94 January3,2001 Yahooaltersbulletinboardpolicies Table5.1 5.1.2Whatyouneedtoknow ::: 5.1.2.1Whatyouneedtoknowaboutsocio-technicalsystems 1.STShavesevenbroadcomponents:hardware,software,physicalsurroundings,people/groups/roles,procedures,laws,anddata/datastructures. 2.Socio-technicalsystemsembodyvalues Theseincludemoralvalueslikesafety,privacy,property,freespeech,equityandaccess,andsecurity. Non-moralvaluescanalsoberealizedinandthroughSocioTechnicalSystemssuchaseciency,costeectiveness,control,sustainability,reliability,andstability. MoralvaluespresentinSocioTechnicalSystemscanconictwithotherembeddedmoralvalues;for example,privacyoftenconictswithfreespeech.Non-moralvaluescanconictwithmoralvalues; developingasafesystemrequirestimeandmoney.And,non-moralvaluescanconict;reliability undermineseciencyandcosteectiveness.Thisleadstothreeproblemsthatcomefromdierent valueconictswithinSocioTechnicalSystemsandbetweenthesesystemsandthetechnologiesthat arebeingintegratedintothem. MismatchesoftenarisebetweenthevaluesembeddedintechnologiesandtheSocioTechnicalSystemsintowhichtheyarebeingintegrated.AsUNIXwasintegratedintotheUniversityofCalifornia AcademicComputingSTSseeMachadocaseatComputingCases,thevaluesofopennessandtransparencydesignedintoUNIXclashedwiththeneedsofstudentsintheAcademicComputingSTSat UCIforprivacy.

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137 TechnologiesbeingintegratedintoSocioTechnicalSystemscanmagnify,exaggerate,orexacerbate existingvaluemismatchesintheSTS.TheuseofP2Psoftwarecombinedwiththeeaseofdigital copyinghasmagniedexistingconictsconcerningmusicandpicturecopyrights. IntegratingtechnologiesintoSTSsproducesbothimmediateandremoteconsequencesandimpacts. 3.Socio-technicalsystemschange Thesechangesareboughtabout,inpart,bythevaluemismatchesdescribedabove.Atothertimes, theyresultfromcompetingneedsandinterestsbroughtforthbydierentstakeholders.Forexample, bicycledesigns,thecongurationoftypewriterkeys,andthedesignandusesofcellularphoneshave changedasdierentusershaveadaptedthesetechnologiestotheirspecialrequirements. Thesechangesalsoexhibitwhatsociologistscallatrajectory,thatis,apathofdevelopment.Trajectoriesthemselvesaresubjecttonormativeanalysis.Forexample,someSTSsandthetechnologies integratedintothemdisplayalineofdevelopmentwheretheSTSandtheintegratedtechnologyare changedandredesignedtosupportcertainsocialinterests.Theinformatingcapacitiesofcomputing systems,forexample,provideinformationwhichcanbeusedtoimproveamanufacturingprocesses canortomonitorworkersforenhancingmanagementpower.SeeShoshannaZubo, TheAgeof theSmartMachine Trajectories,thus,outlinethedevelopmentofSTSsandtechnologiesastheseareinuencedbyinternal andexternalsocialforces. Inthissection,youwilllearnaboutthismodule'sexercises.Therequiredlinksaboveprovideinformationon theframeworksusedineachsection.Forexample,theSocio-TechnicalSystemmoduleprovidesbackground informationonsocio-technicalanalysis.The"ThreeFrameworks"moduleprovidesafurtherdescriptionof theethicstests,theirpitfalls,andthefeasibilitytest.Theseexerciseswillprovidestepbystepinstructions onhowtoworkthroughthedecisionpointspresentedabove. FormoreinformationseeHuandJawerbelow. DecisionPointOne: YouarethepublicistforthecompanyBiomatrix,amanufacturerofbiotechnologyproductsincluding Synvisc,apromisingtreatmentforosteoarthritis.TheCEO,EndreBalazs,andVicePresident,Janet Denlinger,cometoyou.Itseemsthattheyarequiteupset.Biomatrixanditstoplevelemployeeshave becomethevictimsofcyber-smear.DozensofmessageshaveappearedinthehighlyvisibleYahooFinancial BulletinBoardthatmakethefollowingunsubstantiatedaccusations: SynviscaproductmanufacturedbyBiomatrixproducesseriouslyharmfulsideeects Biomatrixhasdeceiveditsstockholdersbysuppressingnegativenancialandproductinformation Biomatrixanditsemployeeshaveconnectionstothemaa CompanypublicreleasesthatthemergerbetweenBiomatrixandGenzymeisfriendlyarefalse.In fact,themessagesallegethatthemergerwillnevertakeplacebecauseofBiomatrix'sterriblenancial prole BiomatrixCEOisunderinvestigationbyfamousNazihunter,SimonWiesenthal,forcrimesheallegedly committedinGermanyduringtheSecondWorldWar BiomatrixVicePresidentrequiressexualfavorsfromemployeesunderhersupervisionasacondition forpromotion Noneofthesechargesistrue.ButBalazasandDenlingeraredevastatedbythepersonalattacksmadeupon them.Biomatrixalsostandstoloseagreatdealfromthenegativepublicity.Allegationsofsideeectsfrom usingSynvisc,apromisingnewproducepatentedbythecompany,threatentodrivetheproductoutofthe market.TherecentlyannouncedfriendlymergerbetweenBiomatrixandGenzymehasproducedmodest gainsinstockpricesbutthecyberslanderersseemdeterminedtodriveBiomatrixstockvaluedown. YouhavebeenchargedbyBalazsandDenlinger,aspublicist,withdesigningarapidand eectivecampaignagainstthiscyber-smear.Severalissueshavearisenthatdemandyour immediateattention:

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138 CHAPTER5.BUSINESSETHICSCASESTUDIES 1.Theidentityofthecyber-slanderersisunknown.Whatcanyoudo,ifanything,tondoutwhothese individualsare? 2.OneoftheslanderersclaimstohaveworkedforBiomatrixinthepast.He/sheusesthistolendcredence totheattacksmadeonthecompanyanditsmanagers.Iftrue,isthereanythingthatcanbedoneto preventfutureemployeesfromresortingtoslanderasawayofretaliatingagainstthecompany? 3.IftherealidentitiesoftheindividualspostingtheYahoomessagesarerevealed,shouldtheybesued? Whataretheadvantagesofdefamationlawsuitsifthosesueddonothavethenancialresourcesto compensatethevictimfordamagessuered? 4.Shouldthecyber-slanderersbeattacked?Ifso,how?How,ingeneral,shouldcorporationsandtheir managersrespondtocyber-slander?Bypubliclyrefutingthemessages?Byignoringtheseattacks? Byignoringthemuntiltheyproducecleardamage?Orbyrespondingquicklyandproactivelybefore theyproducedamage? DecisionPointTwo:DefendingAgainstDefamation: Thecatisoutofthebag.TheBXMPolice,thoseself-styledwhistle-blowersagainstthecorporategreedof Biomatrix,havebeenrevealedasRichardandRaymondCostanzoandEphraimMorris.RichardCostanzo andEphraimMorriswereformerBiomatrixemployees.Thesearetherealworldnamesbehindthe23 pseudonymsunderwhich16,000anti-BiomatrixemailswerepostedontheFinancialBulletinBoardofYahoo betweenApril1999andAugust2000.ThesemessagesaccusedBiomatrixmanagersofsexualharassment andNaziwarcrimesandBiomatrixofcorporategreed. Biomatrixmanagersfeelthatthecompanyhasaproblemifitsformeremployeesndthe motivationtobehaveinthismanner.YouareahumanresourceocialintheBiomatrix andithasfallenonyoutodesignastrategyandprogramtopreventareoccurrenceofthis cyber-smeardisaster.Whatshouldyoudo? Bringadefamatorylawsuitagainstthethree?Wouldthishelptorecoupdamages?Whatother benetscouldasuccessfuldefamationlawsuitbring?Whatwouldbethedownsideofsuchanaction? Alterthewayinwhichemployeesareletgo.Inotherwordsdevelopproceduresforringorlaying oemployeesthatwoulddefusethedesiretogeteven.Whatcouldbedonetoseverarelationwith anemployeeinasgoodafashionaspossible? Whatstepscouldbetakentoreducethepossibilityofaformeremployeetakingashortselling strategy?Forexample,couldstepsbetakentorestrictthewaysinwhichformeremployeesusethe condentialinformationtheyhaveaboutthecompany?Couldriskidenticationmeasuresbetakento uncoverthosewhocouldorarebenetingfromshortsellingacompany'sstock? CouldHumanResourcesdevelopaneectiveprogramtocountercybersmearbyeectivecommunicationoftrueandaccurateinformation?Howcanagoodreputationbeestablishedthatcouldserve asabasisforcounter-actingdefamation? Inshort,designastrategyforBiomatrixthatcouldminimizetheriskoffuturecyber-smearattacks and/orminimizetheimpactoftheseattacks.DefendyourstrategyintheEthicsBowldebate. DecisionPointThree:Howfardoesfreespeechgo? Youworkwithapublicserviceorganizationdevotedtothedefenseoffreespeech,bothoandonline.For thisreasonyouimmediatelynoticedanewspaperstorythatthreeindividuals,RichardCostanzo,Raymond Costanzo,andEphraimMorris,werefoundguiltyinasummaryjudgmentofdefamation.Itseemsthey published,under23psuedonyms,some16,000messagesthatmadenegativeclaimsagainstBiomatrixand itsmanagersthattheywereunabletosubstantiate. Theclaimsmadebytheseindividualsintheiremailswereprettystrong: Biomatrix'smostpopularproduct,Synvisc,hasproducedsignicantharmfulsideeectsandthecompanyhastakenwrongfulmeasurestosuppressthisinformation.Synviscisamanufacturedsubstance thatresemblesthenaturaluidsthatlubricatekneemovements.Theseuidsdisappearwithageproducingaconditioncalledosteoarthritis.Synvischasbeenpresentedasahighlypromisingtreatment forthisproblem.

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139 TheyalsoaccuseBiomatrixofcoveringupthatfactthattheyaretargetsofpotentiallydamaging lawsuits. Thesethreeindividuals,whostylethemselvestheBXMPolice,alsoaccusethecompanyofcovering upnegative,harmfulinformationabouttheirupcomingmergerwithGenzyme.Themessagesclaim thatinsideinformationrevealsthatthemergerwillnevertakeplace. TheBXMpolicealsoaccuseBiomatrixtopmanagementofhavingcommittedwarcrimesandactsof sexualharassment. Duringpre-trialdepositions,theaccusedwereunabletosubstantiateanyoftheseclaims.Whilethemotives forpostingthesemessageshaveneverbeenmadeclearthreestandout:revenge,shortselling,andthe perceptionthatrulesofdefamationdidnotapplyincyberspace.Youhavebeenaskedbyyourorganization tocontacttheBXMPoliceandproposethattheyappealthisdecision.Youandyourorganizationthink thattherearestronglegalandethicalarguments,basedontherighttofreespeech,thatneedtobeput forthinthiscase.Yourjobinthisdecisionpointistosetforththeselegalandmoralarguments.Inother words,constructacomprehensivedefensefortheBXMPolice. ImportantConsiderations EPICElectricPrivacyInformationCenterandtheACLUAmericanCivilLibertiesUnionpresent anamicicuriaefriendofthecourtbriefoutliningtheirconcernsabouttheuseofJohnDoelawsuits topierceonlineanonymity.ThisbriefissummarizedintheBiomatrixcasematerials. PerhapsthestrongestcaseforFreeSpeechismadebyJohnStuartMillinOnLiberty.Consultthis bookandndhisargumentintherstchapter.ThesummaryofthisargumentintheBiomatrixcase materialswillhelp.Dodefamationlawsuitssuppressfreespeech.WhydoesMillthinkthatitiswrong tosuppressevencompletelyfalsespeech? DidBiomatrixanditsmanagementteamsuerdamagesasaresultoftheYahoomessages?What isthisdamage?Whatevidenceprovesthatthedamagewascausedbythenegativespeechandnot somethingelse?WhoboretheburdenofproofinthesummaryjudgmentagainsttheBXMPolice? WhatisthestrongestargumentthatBiomatrixmadeagainstthespeechoftheBXMthree?Howcan youandorganizationcounterthisargument? ThestrongestargumenttheBXMPoliceoerfortheiractionsisthattheyarenotboundbyrulesof veracityanddefamationwhileoperatingpseudonymouslyonline.Shouldwebeheldresponsiblefor whatwesayonline?Inthesamewaythatweareheldresponsibleoline?Doesn'tYahoo'sdisclaimer toreadersthattheyshouldnotassumethatwhattheyreadistruesucetoexculpatethosewhopost falsespeech? IthasbeensuggestedthattheBXMPoliceweremotivatedbygreed.Theirspeechwasdesignedto lowerthepriceofBiomatrixstocksotheycouldprotfromshortsellingit.Doesthischangeyou defense?Thereisalsoinconclusiveevidencethattheywerenotactingalone?Doesthischangeyour defense? 5.1.3Whatyouwilldo... Inthissection,youwilllearnaboutthismodule'sexercises.Therequiredlinksaboveprovideinformationon theframeworksusedineachsection.Forexample,theSocio-TechnicalSystemmoduleprovidesbackground informationonsocio-technicalanalysis.The"ThreeFrameworks"moduleprovidesafurtherdescriptionof theethicstests,theirpitfalls,andthefeasibilitytest.Theseexerciseswillprovidestepbystepinstructions onhowtoworkthroughthedecisionpointspresentedabove. 5.1.4ExerciseOne:ProblemSpecication Inthisexercise,youwillspecifytheproblemusingsocio-technicalanalysis.TheSTSsectionoftheBiomatrix CasenarrativefoundatComputingCasesprovidesagoodstartingpoint.Inthersttable,enterthe informationfromtheBiomatrixcasematerialspertinenttothegeneralcomponentsofaSTS,itshardware,

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140 CHAPTER5.BUSINESSETHICSCASESTUDIES software,physicalsurroundings,people/groups/roles,procedures,laws,data.Someexamplestakenfrom theSTSdescriptionatComputingCasesareprovidedtogetyoustarted.Then,usingthesecondtable, identifythevaluesthatareembeddedinthedierentcomponentsoftheSTS.Forexample,PICSplatforms forinternetcontentselectionembodythevaluesofsecurityandprivacy.Finally,usingthedatafromyour socio-technicalanalysis,formulateaconciseproblemstatement. Exercise1a: Readthesocio-technicalsystemanalysisoftheBiomatrixcaseathttp://computingcases.org.Fillinthe tablebelowwithelementsfromthisanalysisthatpertaintoyourdecisionpoint. Socio-TechnicalSystemTable Hardware Software Physical Surroundings People/Groups/Roles Procedures Laws, Codes, Regulations Dataand DataStructures Plantmanufacturing Synvisc Yahoosoftware cybervsreal space Biomatrix, Genzyme, Yahoo Getting aYahoo account JohnDoe Lawsuits OSPuserinformation Table5.2 InstructionsforTable1: 1.Gotohttp://computingcases.organdreviewtheSTSdescriptionprovidedfortheBiomatrixcase. 2.PullouttheelementsoftheSTSdescriptionthatarerelevanttoyourdecisionpoint.Listthemunder theappropriateSTScomponentintheabovetable. 3.ThinkaboutpossiblewaysinwhichthesecomponentsoftheBiomatrixSTSinteract.Forexample, whatkindsoflegalrestrictionsgovernthewaydataiscollected,stored,anddisseminated? 4.DevelopyourSTStablewithaneyetodocumentingpossibleethicalconictsthatcanariseandare relevanttoyourdecisionpoint. Exercise1b ExaminethevaluesembeddedintheSTSsurroundingthisdecisionpoint.Locateyourvaluesunderthe appropriatecomponentintheBiomatrixSTS.Forexample,accordingtotheSTSdescriptionforBiomatrix foundatComputingCases,theYahoosoftwarethatstructuresthearchitectureofthebulletinboardsembody certainvalueslikefreespeech.Shouldthisbechangedgiventhethreatofdefamation?WhatareYahoo responsibilitiesinthecontextofdefamation? ValueTable Hardware Software Physical Surroundings People/Groups/Roles Procedures Laws/Codes/Regulations Data/Data Structures Security Privacy continuedonnextpage

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141 Property JusticeEquity/Access FreeSpeecy Table5.3 InstructionsforTable2: 1.ThismodulelinkstoanotherConnexionsmodule,Socio-TechnicalSystemsinProfessionalDecisionMaking.Thereyouwillndshortprolesofthevalueslistedintheabovetable:security,privacy, property,justice,andfreespeech.Theseproleswillhelpyoutocharacterizethevalueslistedinthe abovetable. 2.Lookforvalueconictsormismatches.Forexample,freespeechintheYahoodiscussionspacecould conictwithlawsthatprotectagainstdefamation.Howaretheselawstransferredonline? 3.IdentifythosecomponentsoftheBiomatrixSTSthatembodyorembedvalue.Forexample,listthe valuesrealizedandfrustratedbythesoftwarecomponentsdiscussedintheBiomatrixcaseintheSTS description. 4.LookforwaysinwhichdierentelementsoftheSTSthatembedvaluecaninteractandproduce valueconicts.Theseconictsarelikelysourcesforproblemsthatyoushoulddiscussinyourproblem statementandaddressinyoursolution. Exercise1c: Writeouttherequirementsethicalandpracticalforagoodsolution.IdentifythepartsoftheSTSthat needchanging.Then,developaconcisesummarystatementofthecentralproblemyourdecisionpoint raises.Asyoudesignsolutionstothisproblem,youmaywanttorevisethisproblemstatement.Besureto experimentwithdierentwaysofframingthisproblem. Harris,Pritchard,andRabinsprovideausefulapproachtoproblemspecication.Seereferencesbelow. 5.1.5ExerciseTwo:SolutionGeneration GeneratesolutionstotheproblemsyouhavespeciedinExercise1.Thisrequiresthat... eachmemberofyourgroupdevelopalistofsolutions, thegroupcombinestheseindividuallistsintoagrouplist,and... thegroupreducesthispreliminarylisttoamanageablenumberofrenedandclariedsolutionsfor testinginthenextstage. HelpfulHintsforSolutionGeneration 1.Solutiongenerationrequiresprociencyintheskillsofmoralimaginationandmoralcreativity. Moralimaginationistheabilitytoopenupavenuesofsolutionbyframingaproblemindierentways. Toysmartcouldbeframedasatechnicalproblemrequiringproblem-solvingskillsthatintegrateethical considerationsintoinnovativedesigns.Moralcreativityistheabilitytoformulatenon-obvioussolutions thatintegrateethicalconsiderationsovervarioussituationalconstraints. 2.Problemscanbeformulatedasinterestconicts.Inthiscasedierentsolutionoptionsare available. GatherInformation. Manydisagreementscanberesolvedbygatheringmoreinformation.Because thisistheeasiestandleastpainfulwayofreachingconsensus,itisalmostalwaysbesttostarthere.

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142 CHAPTER5.BUSINESSETHICSCASESTUDIES Gatheringinformationmaynotbepossiblebecauseofdierentconstraints:theremaynotbeenough time,thefactsmaybetooexpensivetogather,ortheinformationrequiredgoesbeyondscienticor technicalknowledge.Sometimesgatheringmoreinformationdoesnotsolvetheproblembutallowsfor anew,morefruitfulformulationoftheproblem.Harris,Pritchard,andRabinsinEngineeringEthics: ConceptsandCasesshowhowsolvingafactualdisagreementallowsamoreprofoundconceptual disagreementtoemerge. NoloContendere. NoloContendereislatinfornotopposingorcontending.Yourinterestsmay conictwithyoursupervisorbutheorshemaybetoopowerfultoreasonwithoroppose.Soyouronly choicehereistogiveintohisorherinterests.Theproblemwithnolocontendereisthatnon-opposition isoftentakenasagreement.Youmayneedtodocumente.g.,throughmemosthatyoudisagreewith acourseofactionandthatyourchoosingnottoopposedoesnotindicateagreement. Negotiate. Goodcommunicationanddiplomaticskillsmaymakeitpossibletonegotiateasolution thatrespectsthedierentinterests.Valueintegrativesolutionsaredesignedtointegrateconicting values.Compromisesallowforpartialrealizationoftheconictinginterests.Seethemodule, The EthicsofTeamWork ,forcompromisestrategiessuchaslogrollingorbridging.Sometimesitmay benecessarytosetasideone'sinterestsforthepresentwiththeunderstandingthatthesewillbetaken careofatalatertime.Thisrequirestrust. Oppose. Ifnolocontendereandnegotiationarenotpossible,thenoppositionmaybenecessary. Oppositionrequiresmarshallingevidencetodocumentone'spositionpersuasivelyandimpartially.It makesuseofstrategiessuchasleadingan"organizationalcharge"or"blowingthewhistle."Formore onwhistle-blowingconsultthediscussionofwhistleblowingintheHughescasethatcanbefoundat computingcases. Exit. Oppositionmaynotbepossibleifonelacksorganizationalpowerordocumentedevidence.Nolo contenderewillnotsuceifnon-oppositionimplicatesoneinwrongdoing.Negotiationwillnotsucceed withoutanecessarybasisoftrustoraseriousvalueintegrativesolution. Asalastresort, onemay havetoexitfromthesituationbyaskingforreassignmentorresigning. 3.SolutionscanbegeneratedbyreadjustingdierentcomponentsoftheSTS. TechnicalPuzzle. Iftheproblemisframedasatechnicalpuzzle,thensolutionswouldrevolvearound developingdesignsthatoptimizebothethicalandtechnicalspecications,thatis,resolvethetechnical issuesandrealizeethicalvalue.Inthisinstance,theproblem-solvermustconcentrateonthehardware andsoftwarecomponentsoftheSTS. SocialProblem. Iftheproblemisframedasasocialproblem,thensolutionswouldrevolvearound changinglawsorbringingaboutsystemicreformthroughpoliticalaction.Thiswouldleadonetofocus onthepeople/groups/rolescomponentworkingtosocialpracticesorthelegalcomponent. StakeholderConict. Iftheproblemisframedasaconictbetweendierentstakeholderinterests, thenthesolutionwouldconcentrateongettingstakeholdersbothindividualsandgroupstoagreeon integrativeorinterestcompromisingsolutions.Thisrequiresconcentratingonthepeople/group/role componentoftheSTS.Note:Astakeholderisanygrouporindividualwithavitalinterestatplayin thesituation. ManagementProblem. Finally,iftheproblemisframedasamanagementproblem,thenthe solutionwouldrevolvearoundchanginganorganization'sprocedures.Alongtheselines,itwould addressthefundamentalgoals,decisionrecognitionprocedures,organizationalroles,or decision-makinghierarchyoftheorganization.ThesearethefourcomponentsoftheCIDcorporate internaldecisionstructuredescribedintheEthicalReectionssectionoftheToysmartcase. NotaBene: Financialissuesarecoveredbythefeasibilitytestinthesolutionimplementationstage. Assuch,theyposesideissuesorconstraintsthatdonotenterintothesolutiongenerationphasebut thesolutionimplementationphase. 4.Brainstorming.Moralcreativity,whichinvolvesdesigningnon-obvioussolutions,formsan essentialpartofsolutiongeneration.Herearesomeguidelinestogetyoustarted.

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143 Individuallymakeoutalistofsolutionsbeforethegroupmeeting.Workquicklytorealizeapreestablishedquotaofvetotensolutions.Aftercomposingaquickrstdraft,revisethelistforclarity only;makenosubstantialchanges. Startthegroupbrainstormingprocessbyhavingthegroupreviewandassemblealltheindividual solutions.Dothisquicklyandwithoutcriticism.Beginningcriticismatthisstagewillkillthecreativity necessaryforbrainstormingandshutdownthemoretimidbutcreativemembersofthegroup. Reviewthelistandidentifysolutionsthatareidenticaloroverlap.Beginthereningprocessby combiningthesesolutions. Havingreviewedallthebrainstormedsolutions,itisnowtimetobringincriticism.Beginbyeliminating solutionswithmajorethicalproblemssuchasthosethatviolaterights,produceinjustices,orcause extensiveharm. Identifybutdonoteliminatesolutionsthatareethicalbutraiseseriouspracticalproblems.Donot initiallyeliminateanethicalsolutionbecausethereareobstaclesstandinginthewayofitsimplementation.Bedescriptive.Identifyandimpartiallydescribetheobstacles.Later,inthesolution implementationstage,youmaybeabletodesigncreativeresponsestotheseobstacles. Identifysolutionsthatdonot"t"yourproblemstatement.Theserequireadecision.Youcanthrow outthesolutionbecauseitdoesnotsolvetheproblemoryoucanchangetheproblem.Ifasolution doesnotttheproblembut,intuitively,seemsgood,thisisasignthatyouneedtotakeanotherlook atyourproblemstatement. Don'tautomaticallyrejectpartialsolutions.Forexample,sendingmemosthroughemailratherthan printingthemoutandwastingpapermaynotsolvetheentirerecyclingproblemforyourcompany. Butitrepresentsagood,partialsolutionthatcanbecombinedwithotherpartialsolutionstoaddress thebiggerproblem. Throughthesedierentmeasures,youwillgraduallyintegratecriticismintoyourbrainstormingprocess.Thiswillfacilitateworkingtowardamanageable,renedlistofsolutionsfortestinginthenext stage. Exercise3:DevelopaSolutionList Haveeachmemberofyourteamprepareasolutionlistandbringittothenextgroupmeeting.Seta quotaforthisindividuallist,say,5to10solutions. Prepareagrouplistoutofthelistsoftheindividualmembers.Worktocombinesimilarsolutions.Be suretosetasidecriticismuntilthepreliminarygrouplistiscomplete. Makeuseofthefollowingtable. Renethegrouplistintoamanageablenumberofsolutionsfortestinginthenextstage.Combine overlappingsolutions.Eliminatesolutionsthatdonotrespondtotherequirementsandtheproblem statementthatyoupreparedinthepreviousexercise.Eliminatesolutionsthatviolateimportantethical considerations,i.e.,solutionsthatviolaterights,produceharms,etc. Checkyourrenedsolutionlistwithyourproblemstatement.Iftheydonotmatch,eliminatethe solutionorredenetheproblem RenedBrainstormList SolutionRanking DescriptionofSolution Justicationtsrequirements,tsproblem BestSolution SecondBestSolution ThirdBestSolution FourthBestSolution FifthBestSolution

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144 CHAPTER5.BUSINESSETHICSCASESTUDIES Table5.4 AnthonyWestonprovidesanilluminatingandusefuldiscussionofcreativeproblemsolvingin thereferenceprovidedbelow. 5.1.6ExerciseThree:SolutionTesting Inthissection,youwilltestthesolutionsontherenedlistyourgroupproducedinthepreviousexercise. Threeethicstests,describedbelow,willhelpyoutointegrateethicalconsiderationsintheproblem-solving process.Aglobalfeasibilitytestwillhelptoidentifysolutionswithseriouspracticalproblems.Finally,a SolutionEvaluationMatrixsummarizestheresultsforclassdebriengs. Settingupforthetest. Identifytheagentperspectivefromwhichthedecisionwillbemade Describetheactionasconciselyandclearlyaspossible. Identifythestakeholderssurroundingthedecision,i.e.,thosewhowillsuerstrongimpactspositively ornegativelyfromtheimplementationofyourdecision.Stakeholdershaveavitaloressentialinterest right,good,money,etcinplaywiththisdecision. Intheharm/benecencetest,identifythelikelyresultsoftheactionandsorttheseintoharmsand benets. Forthereversibilitytest,identifythestakeholderswithwhomyouwillreversepositions. Forthepublicidenticationtest,identifythevalues,virtues,orvicesyouractionembodies.Associate thesewiththecharacteroftheagent. Harm/BenecenceTest 1. Whataretheharmsyoursolutionislikelytoproduce?Whatareitsbenets?Doesthis solutionproducetheleastharmsandthemostbenetswhencomparedtotheavailable alternatives? 2. PitfallToomuch. Inthis"ParalysisofAnalysis"onefactorintoomanyconsequences.Toavoid thefallacyrestricttheanalysistothemostlikelyconsequenceswiththegreatestmagnitudeMagnitude indicatestherangeandseverityofimpact. 3. PitfallTooLittle. Abiasedorincompleteanalysisresultswhensignicantimpactsareoverlooked. Taketimetouncoverallthesignicantimpacts,bothintermsoflikelihoodandintermsofmagnitude. 4. PitfallDistributionofImpacts. Consider,notonlytheoverallbalanceofharmsandbenets butalsohowharmsandbenetsaredistributedamongthestakeholders.Iftheyareequallyorfairly distributed,thenthiscountsinthesolution'sfavor.Iftheyareunequallyorunfairlydistributed, thenthiscountsagainstthesolution.Bereadytoredesignthesolutiontodistributebetter=more equitablyorfairlytheharmfulandbenecialresults. ReversibilityTest 1. Wouldthissolutionalternativebeacceptabletothosewhostandtobemostaectedby it?Toanswerthisquestion,changeplaceswiththosewhoaretargetedbytheactionand askiffromthisnewperspectivewhethertheactionisstillacceptable? 2. PitfallToomuch. WhenreversingwithHitler,amoralactionappearsimmoralandanimmoral actionappearsmoral.Theproblemhereisthattheagentwhoprojectsintotheimmoralstandpoint loseshisorhermoralbearings.Thereversibilitytestrequiresviewingtheactionfromthestandpoint ofitsdierenttargets.Butunderstandingtheactionfromdierentstakeholderviewsdoesnotrequire thatoneabandonhimselforherselftotheseviews. 3. PitfallToolittle. Inthispitfall,moralimaginationfallsshort,andtheagentfailstoviewthe actionfromanotherstakeholderstandpoint.Thekeyinthereversibilitytestistondthemiddle groundbetweentoomuchimmersionintheviewpointofanotherandtoolittle.

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145 4. PitfallReducingReversibilitytoHarm/Benecence. Thereversibilitytestrequiresthatone assesstheimpactsoftheactionunderconsiderationonothers.Butitismorethanasimplelistingof theconsequencesoftheaction.Theseareviewedfromthestandpointofdierentstakeholders.The reversibilitytestalsogoesbeyondconsideringimpactstoconsideringwhethertheactiontreatsdierent stakeholdersrespectfully.Thisespeciallyholdswhentheagentdisagreeswithastakeholder.Inthese disagreements,itisimportanttoworkoutwhatitmeanstodisagreewithanotherrespectfully. 5. PitfallIncompletesurveyofstakeholders. Leavingoutsignicantstakeholderperspectives skewstheresultsofthereversibilitytest.Buildinganexcellentdeathchamberworkswhenoneconsiders theactionfromthestandpointofHitler;afterall,it'swhathewants.Buttreatinganindividualwith respectdoesnotrequirecapitulatingtohisorherdesires,especiallywhentheseareimmoral.And consideringtheactionfromthestandpointofotherstakeholderssaythepossiblevictimsofnewer, moreecientgaschambersbringsoutnewandradicallydierentinformation. 6. PitfallNotWeighingandBalancingStakeholderPositions. Thispitfalliscontinuouswiththe previousone.Dierentstakeholdershavedierentinterestsandvieweventsfromuniqueperspectives. Thereversibilitytestrequiresreviewingtheseinterestsandperspectives,weighingthemagainstone another,andbalancingouttheirdierencesandconictsinanoverall,globalassessment. PublicityorPublicIdenticationTest 1. Wouldyouwanttobepubliclyassociatedoridentiedwiththisaction?Inotherwords, assumethatyouwillbejudgedasapersonbyothersintermsofthemoralvalues expressedintheactionunderconsideration.Doesthisaccordwithhowyouwouldwant tooraspiretobejudged? 2. PitfallFailuretoassociationactionwithcharacterofagent. Inthepublicitytest,the spotlightofanalysismovesfromtheactiontotheagent.Successfullycarryingoutthistestrequires identifyingtheagent,describingtheaction,andassociatingtheagentwiththeaction.Themoral qualitiesexhibitedintheactionareseenasexpressingthemoralcharacteroftheagent.Thepublicity test,thus,restsontheideathatanagent'sresponsibleactionsarisefromandexpresshisorher character. 3. PitfallFailuretoappreciatethemoralcoloroftheaction. Thepublicitytestassumesthat actionsarecoloredbytheendsorgoodstheypursue.Thismeansthatactionsaremorallycolored.They canexpressresponsibilityorirresponsibility,courageorcowardice,reasonablenessorunreasonableness, honestyordishonesty,integrityorcorrpution,loyaltyorbetrayal,andsoforth.Ananalysiscango astraybyfailingtobringoutthemoralqualityorqualitiesthatanactionexpresses. 4. PitfallReducingPublicitytoHarm/BenecenceTest. Insteadofaskingwhattheactionsays abouttheagent,manyreducethistesttoconsideringtheconsequencesofpublicizingtheaction.So onemightarguethatanactioniswrongbecauseitdamagesthereputationoftheagentorsomeother stakeholder.Butthisdoesn'tgodeepenough.Thepublicitytestrequires,notthatonecalculatethe consequencesofwide-spreadknowledgeoftheactionunderconsideration,butthatonedrawsfromthe actiontheinformationitrevealsaboutthecharacteroftheagent.Theconsequencesofbadpublicity arecoveredbytheharm/benecencetestanddonotneedtoberepeatedinthepublicidentication test.Thepublicitytestprovidesnewinformationbyturningfromtheactiontotheagent.Itfocuses onwhattheactionitsmoralqualitiesandthegoodsitseekssaysabouttheagent. ComparingtheTestResults:Meta-Tests 1.Theethicstestswillnotalwaysconvergeonthesamesolutionbecauseeachtestandtheethical theoriesitencapsulatescoversadierentdimensionoftheaction:harm/benecencelooksatthe outcomesorconsequencesoftheaction,reversibilityfocusesontheformalcharacteristicsofthe action,andpublicityzerosinonthemoralcharacteroftheagent. 2.Themeta-teststurnthissurfacedisagreementintoanadvantage.Theconvergenceordivergence betweentheethicstestsbecomeindicatorsofsolutionstrengthandweakness.

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146 CHAPTER5.BUSINESSETHICSCASESTUDIES 3. Convergence. Whentheethicstestsconvergeonagivensolution,thisindicatessolutionstrength androbustness. 4. Divergence. Whentestsdivergeonasolutionasolutiondoeswellunderonetestbutpoorlyunder anotherthissigniesthatitneedsfurtherdevelopmentandrevision.Testdivergenceisnotasign thatonetestisrelevantwhiletheothersarenot.Divergenceindicatessolutionweaknessandisacall tomodifythesolutiontomakeitstronger. Exercise3:SummarizeyourresultsinaSolutionEvaluationMatrix 1.Placetestresultsintheappropriatecell. 2.AddaverbalexplanationtotheSEMtable. 3.Concludewithaglobalfeasibilitytestthatasks,simply,whetherornotthereexistsignicantobstacles totheimplementationofthesolutionintherealworld. 4.Finishbylookingathowthetestsconvergeonagivensolution.Convergenceindicatessolutionstrength; divergencesignalssolutionweakness. SolutionEvaluationMatrix Solution/Test Harm/Benecence Reversibility Publicitypublicidentication Feasibility FirstSolution SecondSolution ThirdSolution FourthSolution FifthSolution Table5.5 TheethicstestsarediscussedinCruzandDavis.Seereferencesbelow.WikeandBrincat alsodiscussvaluebasedapproachesinthetworeferencesbelow. 5.1.7ExerciseFour:SolutionImplementation Inthissection,youwilltrouble-shootthesolutionimplementationprocessbyuncoveringanddefusing potentialobstacles.Thesecanbeidentiedbylookingattheconstraintsthatbordertheaction.Although constraintsspecifylimitstowhatcanberealizedinagivensituation,theyaremoreexiblethangenerally thought.Promptlyidentifyingtheseconstraintsallowsforproactiveplanningthatcanpushbackobstacles tosolutionimplementationandallowforrealizationofatleastsomeofthevalueembodiedinthesolution. A FeasibilityTest focusesonthesesituationalconstraintsandposesusefulquestionsearlyoninthe implementationprocess.Whatconditionscouldarisethatwouldhindertheimplementationofasolution? Shouldthesolutionbemodiedtoeaseimplementationundertheseconstraints?Cantheconstraintsbe removedormodiedthroughactivitiessuchasnegotiation,compromise,oreducation?Cansolutionimplementationbefacilitatedbymodifyingboththesolutionandtheconstraints? FeasibilityConstraints

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147 Category Sub-Category Resource Money/Cost Time/Deadlines Materials Interest OrganizationalSupervisor Legallaws,regulations Political/Social Technical Technologydoesnotexist Technologypatented Technologyneedsmodication Table5.6 ResourceConstraints: Doesthesituationposelimitsonresourcesthatcouldlimittherealizationofthesolution underconsideration? Time. Isthereadeadlinewithinwhichthesolutionhastobeenacted?Isthisdeadlinexedor negotiable? Financial. Aretherecostconstraintsonimplementingtheethicalsolution?Canthesebeextended byraisingmorefunds?Cantheybeextendedbycuttingexistingcosts?Canagentsnegotiateformore moneyforimplementation? Resource. Arenecessaryresourcesavailable?Isitnecessarytoplanaheadtoidentifyandprocure resources?Ifkeyresourcesarenotavailable,isitpossibletosubstituteother,moreavailableresources? Wouldanysignicantmoralornon-moralvaluebelostinthissubstitution? InterestConstraints Doesthesolutionthreatenstakeholderinterests?Coulditbeperceivedassothreatening toastakeholder'sintereststhatthestakeholderwouldopposeitsimplementation? IndividualInterests. Doesthesolutionthreatentheinterestsofsupervisors?Wouldtheytake measurestoblockitsrealization?Forexample,asupervisormightperceivethesolutionasundermining hisorherauthority.Or,conictingsub-groupinterestscouldgenerateoppositiontotheimplementation ofthesolutioneventhoughitwouldpromotebroaderorganizationalobjectives. OrganizationalInterests. Doesthesolutiongoagainstanorganization'sSOPsstandardoperating procedures,formalobjectives,orinformalobjectives?Couldactingonthissolutiondisruptorganizationpowerstructures?Perhapsitisnecessarytoenlistthesupportofanindividualhigherupin theorganizationalhierarchyinordertorealizeasolutionthatthreatensasupervisororapowerful sub-group. LegalInterests. Aretherelaws,statutes,regulations,orcommonlawtraditionsthatopposethe implementationofthesolution?Isitnecessarytowriteanimpactstatement,developalegalcompliance plan,orreceiveregulatoryapprovalinordertoimplementthesolution? Political/Social/HistoricalConstraints. Wouldthesolutionthreatenorappeartothreatenthe statusofapoliticalparty?Coulditgeneratesocialoppositionbythreateningorappearingtothreaten theinterestsofapublicactiongroupsuchasanenvironmentalgroup?Aretherehistoricaltraditions thatconictwiththevaluesembeddedinthesolution? TechnicalConstraints Technologydoesnotyetexist. Wouldtheimplementationofthesolutionrequirebreakingnew technologicalground? TechnologyProtectedbyPatent. Thetechnologyexistsbutisinaccessiblebecauseitisstillunder apatentheldbyacompetitor. TechnologyRequiresModication. Thetechnologyrequiredtoimplementsolutionexistsbut needstobemodiedtotthecontextofthesolution.Importantconsiderationstofactorinwouldbe theextentofthemodication,itscost,andhowlongitwouldtaketobringaboutthemodication.

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148 CHAPTER5.BUSINESSETHICSCASESTUDIES 5.1.8Whatdidyoulearn? Thissectionprovidesclosuretothemoduleforstudents.Itmayconsistofaformalconclusionthatsummarizesthemoduleandoutlinesitslearningobjectives.Itcouldprovidequestionstohelpstudentsdebrief andreectonwhattheyhavelearned.Assessmentformse.g.,theMuddiestPointFormcouldbeused toevaluatethequalityofthelearningexperience.Inshort,thissectionspeciesthestrategyforbringing themoduletoaclose. Inthismodule,youhave ::: studiedarealworldcasethatraisedseriousproblemswithintellectualproperty,privacy,security,and freespeech.Workingwiththeseproblemshashelpedyoutodevelopabetterworkingunderstanding ofthesekeyconcepts, studiedandpracticedusingfourdecision-makingframeworks:usingsocio-technicalanalysisto specifytheprobleminacomplex,realworldcase,practicedbrainstormingtechniquestodevelop andrenesolutionsthatrespondtoyourproblem,employedthreeethicsteststointegrateethical considerationsintoyoursolutionsandtotestthesesolutionsintermsoftheirethics,andapplied afeasibilityanalysistoyoursolutionstoidentifyandtrouble-shootobstaclestotheimplementationof yourethicalsolution, exploredtheanalogybetweensolvingethicalanddesignproblems, practicedtheskillsofmoralimagination,moralcreativity,reasonableness,andperseverance,and ::: experienced,throughkeyparticipantperspectives,thechallengesofethicsadvocacyunderthegun. Debriefonyourgroupworkbeforetherestoftheclass 1.Provideaconcisestatementandjusticationoftheproblemyourgroupspecied 2.Presenttherenedsolutiongenerationlistyourgroupdevelopedinexercise2. 3.Presentandprovideaquicksummaryexplanationoftheresultsofyourgroup'ssolutionevaluation matrix. 4.Showyourgroup'sfeasibilitymatrixandsummarizeyourassessmentofthefeasibilityofimplementing thesolutionalternativesyoutestedinexercisethree. GroupDebrieng 1.Werethereanyproblemyougrouphadworkingtogethertocarryoutthiscaseanalysis?Whatwere theproblemsandhowdidyougoaboutsolvingthem? 2.Whatproblemsdidyouhavewithunderstandingandpracticingthefourframeworksforsolvingproblems?Howdidyougoaboutsolvingtheseproblems?Doesyourgrouphaveanyoutstandingquestions ordoubts? 3.Nowthatyouhaveheardtheothergroupspresenttheirresults,whatdierencesemergedbetween yourgroup'sanalysisandthoseoftheothergroups?Haveyoumodiedyouranalysisinlightofthe analysesoftheothergroups?Ifsohow?Dotheothergroupsneedtotakeintoaccountanyaspectsof yourgroup'sdebrieng? 5.1.9Appendix Thisoptionalsectioncontainsadditionalorsupplementaryinformationrelatedtothismodule.Itcould include:assessment,backgroundsuchassupportingethicaltheoriesandframeworks,technicalinformation, disciplinespecicinformation,andreferencesorlinks. References 1.MorereferencesontheBiomatrixcaseinadditiontothelinksprovidedabovewillbeaddedata laterdate.

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149 2.Brincat,CynthiaA.andWike,VictoriaS.MoralityandtheProfessionalLife:ValuesatWork. UpperSaddleRiver,NJ:PrenticeHall. 3.Cruz,J.A.,Frey,W.J.AnEectiveStrategyforIntegrationEthicsAcrosstheCurriculumin Engineering:AnABET2000Challenge, ScienceandEngineeringEthics ,9:543-568. 4.Davis,M., EthicsandtheUniversity ,Routledge,LondonandNewYork,1999:166-167. 5.RichardT.DeGeorge,"EthicalResponsibilitiesofEngineersinLargeOrganizations:ThePintoCase," inEthicalIssuesinEngineering,ed.DeborahG.JohnsonNewJersey:Prentice-Hall:175-186. 6.CharlesHarris,MichaelPritchardandMichaelRabins EngineeringEthics:Conceptsand Cases ,3rdEd.Belmont,CA:Thomson/Wadsworth:203-206. 7.Hu,ChuckandJawer,Bruce,"TowardaDesignEthicsforComputingProfessionalsinSocialIssues in Computing:PuttingComputinginitsPlace ,Hu,ChuckandFinholt,ThomasEds.1994 NewYork:McGraw-Hill,Inc. 8.Solomon,RobertC. ABetterWaytoThinkAboutBusiness:HowPersonalIntgrity LeadstoCorporateSuccess .Oxford,UK:OxfordUniversityPress. 9.AnthonyWeston. APracticalCompaniontoEthics ,2nded.USA:OxfordUniversity Press,2001,Chapter3. 10.CarolynWhitbeck EthicsinEngineeringPracticeandResearch .U.K.CambridgeUniversityPress:55-72and176-181. 11.Wike,VictoriaS."ProfessionalEngineeringEthicsBahavior:AValues-basedApproach," Proceedingsofthe2001AmericanSocietyforEngineeringEducationAnnualConferenceand Exposition,Session2461 5.1.10EACToolKitProject 5.1.10.1ThismoduleisaWORK-IN-PROGRESS;theauthorsmayupdatethecontentas needed.Othersarewelcometousethismoduleorcreateanewderivedmodule.Youcan COLLABORATEtoimprovethismodulebyprovidingsuggestionsand/orfeedbackonyour experienceswiththismodule. PleaseseetheCreativeCommonsLicense 2 regardingpermissiontoreusethismaterial. 5.1.10.2FundedbytheNationalScienceFoundation:"CollaborativeDevelopmentofEthics AcrosstheCurriculumResourcesandSharingofBestPractices,"NSF-SES-0551779 5.2GrayMattersfortheHughesAircraftCase 3 5.2.1Introduction I.Introduction TheHughesAircraftCaseinvolvesagroupofemployeesinchargeoftestingchipsforweaponssystems. BecauseofthelengthytestingprocedurerequiredbytheU.S.DefenseDepartment,Hughessoonfellbehind scheduleindeliveringchipstocustomers.Togetchipsoutfaster,someHughesmiddlelevelmanagers begantoputpressureonemployeestopasschipsthathadfailedtestsortopassthemwithouttesting. Thescenariosbelowconsistofnarrativesthatstopatthepointofdecision.Yourjobistocompletethe narrativebymakingadecision.Alternativesareprovidedtogettheprocessstarted,butyoumayndit necessarytodesignyourownsolution.Ethicsandfeasibilitytestshelpyoutoevaluatethesealternatives andevendesignnewonesmoretoyourliking.ThisformatsuperciallyresemblestheGrayMattersexercise usedatBoeingCorporation.MoreinformationonthehistoryofGrayMatterscanbefoundbyconsulting 2 http://creativecommons.org/licenses/by/2.0/ 3 Thiscontentisavailableonlineat.

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150 CHAPTER5.BUSINESSETHICSCASESTUDIES CarolynWhitbeck,EthicsinEngineeringPractice,1998,176-182.Thisversiondiersinbeingmoreopenendedandmoreorientedtowardgivingyoutheopportunitytopracticeusingethicaltheorywhichhasbeen encapsulatedintoethicstests. 5.2.2Directions II.Directions Readthefollowingscenariosandtheaccompanyingsolutions Evaluatethealternativesintermsofthetestsdescribedbelow. Choosetheoneyouthinkbestordesignyourownsolutionifyoubelieveyoucandobetter. Summarizeyourresultsbyllinginthesolutionevaluationmatrixthatappearsonthepagefollowing thescenario.Noticethattherstcolumnrepeatsthesolutionalternatives. Bepreparedtopresentyourmatrixtotheclass.Youwillalsoprovidetheothergroupsintheclass withacopyofyourmatrixfortheirethicsportfolios ScenarioOne:RespondingtoOrganizationalPressure FrankSaiahasworkedatHughesAircraftforalongtime.Nowheisfacedwiththemostdicultdecisionsof hiscareer.Hehasbeenhavingproblemsintheenvironmentaltestingphaseofhismicrochipmanufacturing plant;thedetailednatureofthesetestshascausedHughestobeconsistentlylateindeliveringthechipsto customers.Becauseofthetimepressuretodeliverchips,Saiahasbeenworkingtomaketheproductionof chipsmoreecientwithoutlosingthequalityoftheproduct.Chipsaremanufacturedandthentested,and thisprovidestwoplaceswheretheprocesscanbottleup.Eventhoughyoumighthaveaperfectlynechip ontheooroftheplant,itcannotbeshippedwithouttesting.And,sincethereareseveralthousandother chipswaitingtobetested,itcansitinlineforalongtime.Saiahasdevisedamethodthatallowstestersto puttheimportantchips,thehotparts,aheadoftheotherswithoutdisruptingtheowandwithoutlosing thechipsintheshue.Hehasalsoaddedagrossleaktestthatquicklytellsifachipinasealedcontainer isactuallysealedornot.Addingthistestearlyinthetestingsequenceallowsenvironmentaltestingtoavoid wastingtimebyquicklyeliminatingchipsthatwouldfailamorene-grainedleaktestlaterinthesequence. Becauseenvironmentaltestingisstillfallingbehind,Saia'ssupervisorsandHughescustomersaregetting angryandhavebeguntoapplypressure.KarlReismueller,thedirectoroftheDivisionofMicroelectronicsat Hughes,hasgivenSaia'stelephonenumbertoseveralcustomers,whoseownproductionlineswereshutdown awaitingthepartsthatSaiahashadtroubledelivering.Hiscustomersarenowcallinghimdirectlytosay we'redyingouthereforneedofparts.FrankSaiahasdiscoveredthatanemployeeunderhissupervision, DonaldLaRue,hasbeenskippingtestsonthecomputerchips.SinceLaRuebeganthispractice,theyhave certainlybeenmoreontimeintheirshipments.Besides,bothLaRueandSaiaknowthatmanyofthehot partsareactuallyforsystemsinthetestingphase,ratherthanforonesthatwillbeputintoactiveuse.So testingthechipsforlong-termdurabilitythatgointothesesystemsseemsunnecessary.Still,LaRuewas caughtbyQualityControlskippingatest,andnowSaianeedstomakeadecision.Uppermanagementhas providednoguidance;theysimplytoldhimtohandleitandtokeepthepartsontime.Hecan'tletLaRue continueskippingtests,oratleastheshouldn'tletthisskippinggounsupervised.LaRueisagoodemployee, buthedoesn'thavethesciencebackgroundtoknowwhichtestswoulddotheleastdamageiftheywere skipped.HecouldworkwithLaRueandhelphimgureoutthebestteststoskipsotheleastharmisdone. Butgettingdirectlyinvolvedinskippingthetestswouldmeanviolatingcompanypolicyandfederallaw. Alternatives 1.Donothing.LaRuehasstartedskippingtestsonhisowninitiative.Ifanyproblemsarise,thenLaRue willhavetotakeresponsibility,notSaia,becauseLaRuewasactingindependentlyofandevenagainst Saia'sorders. 2.CallLaRueinandtellhimtostopskippingtestsimmediately.Thencallthecustomersandexplain thatthepartscannotbeshippeduntilthetestsarecarriedout. 3.ConsultwithLaRueandidentifynonessentialchipsorchipsthatwillnotbeusedinsystemscritical tosafety.Skippingtestsonthesechipswilldotheleastdamage.

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151 4.Yoursolution ::: ScenarioTwo:RespondingtoWrongdoing MargaretGooderalworksinasupervisorypositionintheenvironmentaltestinggroupatHughesAircraft. Hersupervisor,DonaldLaRue,isalsothecurrentsupervisorforenvironmentaltesting.Thegroupthat LaRueandGooderaltogetheroverseetestthechipsthatHughesmakesinordertodeterminethatthey wouldsurviveunderthedrasticenvironmentalconditionstheywilllikelyface.Rigoroustestingofthechips istheideal,butsomechipsthehotchipsgetinlineaheadofothers.Gooderalhasfoundoutthatover thelastseveralmonths,manyofthesetestsarebeingskipped.Thereason:Hugheshasfallenbehindinthe productionscheduleandHughesuppermanagementandHughescustomershavebeenapplyingpressureto getchipproductionandtestingbackonschedule.Moreover,LaRueandothersfeelthatskippingcertain testsdoesn'tmatter,sincemanyofthesechipsarebeingusedinsystemsthatareinthetestingphase,rather thanonesthatwillbeputintoactiveuse.AfewmonthsafterMargaretGooderalstartedhernewposition, shewaspresentedwithadicultproblem.OneofthegirlsthewomenandmeninEnvironmentalTesting atHughes,LisaLightner,cametoherdeskcrying.ShewasintearsandtremblingbecauseDonaldLaRue hadforcefullyinsistedthatshepassachipthatshewassurehadfailedthetestshewasrunning.Lightner ranthehermeticitytestonthechips.Thechipsareenclosedinametalcontainer,andoneofthequestions iswhetherthesealtothatcontainerleaks.Fromhertest,sheissurethatthechipisaleakertheseal isnotairtightsothatwaterandcorrosionwillseepinovertimeanddamagethechip.Shehascometo Gooderalforadvice.ShouldshedowhatLaRuewantsandpassachipsheknowsisaleaker? Alternatives 1.GooderalshouldadviseLightnertogoalongwithLaRue.Heishersupervisor.Ifheorderstopass thechip,thensheshoulddoso. 2.GooderalshouldgotoHumanResourceswithLightnerandleaharassmentcomplaintagainstLaRue. Skippingtestsisclearlyillegalandorderinganemployeetocommitanillegalactisharassment. 3.GooderalandLightnershouldblowthewhistle.TheyshouldgototheU.S.defensedepartmentand informthemofthefactthatHughesAircraftisdeliveringchipsthathaveeitherfailedtestsorhave notbeentested. 4.Yoursolution ::: Scenario3:Goodearl,Ibarra,andtheAMRAAMIncident NowthatGoodearlhadfewsympathizersamonguppermanagement,sheincreasinglyturnedtoRuthIbarra inQualityassuranceforsupportinherconcernsabouttestskippingandthefalsicationofpaperwork.One day,GoodearlnoticedthatsomeAMRAAMchipswithleakstickerswereleftonherprojectdeskinthe environmentaltestingarea.Theleakstickersmeantthatthesealonthechips'supposedlyairtightenclosure hadfailedatesttoseeiftheyleaked.AMRAAMmeantthatthechipsweredestinedtobeapartofan AdvancedMediumRangeAir-to-AirMissile.Goodearlknewthatthesepartscouldnotberetestedand neededtobesimplythrownaway.Sowhywassomeonekeepingthem?Shealsoknewthatthesewere ocially"hotparts"andthatthecompanywasbehindscheduleinshippingtheseparts.Afterconsulting withRuthIbarra,thetwoofthemdecidedtodosomesleuthing.Theytookthechipsandtheirlottravelers toaphotocopymachineandmadecopiesofthetravelerswith"failed"notedontheleaktest.Theythen replacedthechipsandtheirtravelersonthedesk.Laterthatday,asDonLaRuepassedthedesk,Goodearl askedDonLaRueifheknewanythingaboutthechips."Noneofyourbusiness,"hereplied.Thechips disappeared,andlaterthetravelersshowedupincompanyleswiththe"failed"alteredto"passed."So, GoodearlandIbarrahadclearevidenceintheirphotocopyofthe"failed"onthetravelerthatsomeone waspassingofailedchipstotheircustomers.Andthesewereimportantchips,partoftheguidancesystem ofanair-to-airmissile. Alternatives:Sincetheyhaveclearevidence,GooderalandIbarrashouldblowthewhistle. Evaluateeachofthefollowingwaysinwhichtheycouldblowthewhistle 1.BlowthewhistletoHughes'BoardofDirectors.Inthiswaytheycanstopthetestskippingbutwill alsobeabletokeepthewholeaairinhouse.

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152 CHAPTER5.BUSINESSETHICSCASESTUDIES 2.Blowthewhistletothelocalnewsmedia.InthiswaytheywillshameHughesintocompliancewith thetestingrequirements. 3.TaketheevidencetotheU.S.DepartmentofDefense,sincetheyaretheclientandarebeingnegatively impactedbyHughes'illegalactions. 4.Someothermodeofblowingthewhistle ::: SolutionEvaluationMatrix Alternatives/Tests Reversibility/Rights Test Harm/Benets Test Virtue/Value TestAlsoPublicity GlobalFeasibilityTestImplementationObstacles AlternativeOne WorstAlternative EvaluateAlt1 usingreversibility/rightstest AlternativeTwo Bestamong thosegiven Weighharms againstbenets foralt2 Alternative Three Whatvalues/disvalues arerealizedinalt 3? YourSolution Whatobstacles couldhinderimplementationof solution? Table5.7 5.2.3EthicsTests:SetUpandPitfalls III.SolutionEvaluationTests REVERSIBILITY:WouldIthinkthisisagoodchoiceifIwereamongthoseaectedbyit? PUBILICITY:WouldIwanttobepubliclyassociatedwiththisactionthrough,say,itspublicationin thenewspaper? HARM/BENEFICENCE:Doesthisactiondolessharmthananyoftheavailablealternatives? FEASIBILITY:Canthissolutionbeimplementedgiventime,technical,economic,legal,andpolitical constraints? HarmTestSet-Up Identifytheagent=thepersonwhowillperformtheaction.Describetheaction=whattheagent isabouttodo. Identifythestakeholdersindividualswhohaveavitalinterestatriskandtheirstakes. Identify,sortout,andweighttheexpectedresultsorconsequences. HarmTestPitfalls ParalysisofActionconsideringtoomanyconsequences. Incompleteanalysisconsideringtoofewresults.

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153 Failuretoweighharmsagainstbenets. Failuretocomparedierentalternatives. Justicefailuresignoringthefairnessofthedistributionofharmsandbenets. ReversibilityTestSet-Up Identifytheagent Describetheaction Identifythestakeholdersandtheirstakes Usethestakeholderanalysistoselecttherelationstobereversed. Reverserolesbetweentheagentyouandeachstakeholder:puttheminyourplaceastheagent andyourselfintheirplaceasthetargetoftheaction Ifyouwereintheirplace,wouldyoustillndtheactionacceptable? ReversibilityPitfalls Leavingoutakeystakeholderrelation. Failingtorecognizeandaddressconictsbetweenstakeholdersandtheirconictingstakes. ConfusingtreatingotherswithrespectwithcapitulatingtotheirdemandsReversingwithHitler. Failingtoreachclosure,i.e.,anoverallglobalreversalassessmentthattakesintoaccountallthe stakeholderstheagenthasreversedwith. PublicIdenticationSet-Up Setuptheanalysisbyidentifyingtheagent,describingtheactionunderconsideration,andlistingthe keyvaluesorvirtuesatplayinthesituation. Associatetheactionwiththeagent. Identifywhattheactionsaysabouttheagentasaperson.Doesitrevealhimorherassomeone associatedwithavirtue/valueoravice? PublicIdenticationPitfalls 1.Actionisnotassociatedwiththeagent.Themostcommonpitfallisfailuretoassociatetheagentand theaction.Theactionmayhavebadconsequencesanditmaytreatindividualswithdisrespectbut thesepointsarenotasimportantinthecontextofthistestaswhattheyimplyabouttheagentasa personwhodeliberatelyperformssuchanaction. 2.Failuretospecifythemoralquality,virtue,orvalueoftheactionthatisimputedtotheagentinthe test.Tosay,forexample,thatwillfullyharmingthepublicisbadfailstozeroinonpreciselywhat moralqualitythisattributestotheagent.Doesitrenderhimorherunjust,irresponsible,corrupt, dishonest,orunreasonable? GrayMattersinHughesExercises Thisisanunsupportedmediatype.Toview,pleasesee http://cnx.org/content/m14036/latest/GM_Hughes_V2.doc Figure5.2: TheseexercisespresentthreedecisionpointsfromHughes,solutionalternatives,summaries ofethicsandfeasibilitytests,andasolutionevaluationmatrix.Carryouttheexercisebyllinginthe solutionevaluationmatrix.

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154 CHAPTER5.BUSINESSETHICSCASESTUDIES ThistimelineistakenfromtheComputingCaseswebsitedevelopedandmaintainedbyDr.CharlesHuat St.OlafCollege.ComputingCasesisfundedbytheNationalScienceFoundation,NSFDUE-9972280and DUE9980768. 5.2.4 TimeLine 1979 RuthIbarrabeginsworkingforHughesAircraftcompany'sMicroelectronicCircuitDivision HughesMCDinNewportBeach,CA 1981 MargaretGooderalbeginsworkingforHughes MCDasasupervisorforassemblyonthehybrid productionoorandasasupervisorinthehybrid engineeringlab 1984 Ibarrabecomessupervisorforhybridqualityassurance 1985 GoodearlasksIbarratolookaterrorsinpaperwork,Ibarrabringserrorstotheattentionofher supervisorsandwastoldtokeepquiet.Thisbegins timeperiodwhereGoodearl/Ibarrabecomeaware ofproblemsinhybridchiptestingandpaperwork. 1986 Goodearlbecomessupervisorforsealsprocessingin theenvironmentaltestingarea. 1986 FaiseClaimsActU.S.C3729-3733becomes FalseClaimsReformActof1986makingitstronger andeasiertoapply. Oct.1986 Goodearl/IbarrareportproblemsotHughesmanagement,and,aftertheproblemswerenotxed, Goodearl/Ibarrareportedtheallegationsoffaulty testingtotheUnitedStatesDepartmentofDefense. Jan9,1987 EarliestdatethatHughesmayhavestoppedneglectingenvironmentalscreeningtests. 1988 IbarraleavesHughesfeelingthatherjobhadbeen strippedofallrealresponsibility. March1989 GoodearlislaidofromHughes. 1995 Goodearlandherhusbandaredivorced. Table5.8 CivilSuitTimeline 1990-1996 UnitedStatesofAmerica,exrel.Taxpayers AgainstFraud,RuthAldredwasIbarra,andMargaretGoodearlv.HughesAircraftCompany,Inc. continuedonnextpage

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155 1990 Goodearlleswrongfuldischargesuitagainst Hughesandanumberofindividualmanagers, whichwaseventuallydroppedinfavorofthecivil suit. May29,1990 Thinkingthegovernmentinvestigationwastakingtoomuchtime,Goodearl/Aldredlecivilsuit againstHughesunderFalseClaimsReformActof 1986withthehelpofTaxpayersAgainstFraudand WashingtonlawrmPhillipsandCohen. December1992 UnderprovisionsoftheFCA,theU.S.Department ofJusticeCivilDivisiontakesoverthecivilcase. Sep.10,1996 Hughesfoundguiltyinciviltrial.PaysU.S.Government4,050,00dollarsandeachrelator891,000 dollarsplusaseparatepaymentof450,000dollars tocoverattorney'sfees,costs,andexpenses. Table5.9 CriminalSuitTimeline 1991-1993 UnitedStatesofAmericav.HughesAircraftCo., andDonaldLaRue December13,1991 Afteralengthyinvestigation,theU.S.Department ofDefensechargesHughesandDonaldA.LaRue witha51-countindictmentaccusingitoffalsifying testsofmicroelectroniccircuitscriminalsuit. June15,1992 Hughesfoundguiltyofconspiringtodefraudthe U.S.Governmentincrminalcase,co-defendent LaRUEacquittedfollowing4-weektrial.Goodearl/Aldredcalledaswitnessesintrial.Hughesappeals. Oct.29,1992 Hughesned3.5millionincriminaltrialdecision. December2,1993 Appellatecourtupholds1992criminalconviction andsentence.Hughesappeals. Table5.10

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156 CHAPTER5.BUSINESSETHICSCASESTUDIES HughesSocioTechnicalSystem Hardware/Software Physical Surroundings People, Roles, Structures Procedures Lawsand Regulations Dataand DataStructures Description Hybrid Chips circuitry hermetically sealedin metalor ceramic packagesin inertgas atmosphere Battleconditions underwhich chipsmight beused Hughes MicroelectricCircuit Division ChipTesting:Temperature Cycle,ConstantAcceleration, MechanicalShock, Hermeticity Fineand GrossLeak, P.I.N.D. Legally Mandated Tests LotTravelorsto document chips Analogue toDigital Conversion Chips E-1000at Hughes Clean Room Department ofDefense Oceof Inspector General Hughes Human Resources Procedures forComplaints Whistle Blower Protection Legislation Radarand Missile Guidance Systems Hughes Quality Control Dissenting Professional Opinions QuiTam Lawsuit, CivilSuit, Criminal Suit Individuals: Reismueller, Temple, Saia, LaRue, Goodearl, Ibarra/Aldren Table5.11 5.2.5BlowingtheWhistle EthicalDissent 1.Establishacleartechnicalfoundation. 2.Keepyourargumentsonahighprofessionalplane,asimpersonalandobjectiveaspossible,avoiding extraneousissuesandemotionaloutbursts. 3.Trytocatchproblemsearly,andkeeptheargumentatthelowestmanageriallevelpossible. 4.Beforegoingoutonalimb,makesurethattheissueissucientlyimportant. 5.Useandhelpestabishorganizationaldisputeresolutionmechanisms. 6.Keeprecordsandcollectpaper. 7.TheseitemsaretakenfromtheIEEEwebsite,linkabove.

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157 BeforeGoingPublic 1.Makesureofyourmotivation. 2.Countyourcosts. 3.Obtainallthenecessarybackgroundmaterialsandevidence. 4.Organizetoprotectyourowninterests. 5.Choosetherightavenueforyourdisclosure. 6.Makeyourdisclosureintherightspirit. 7.TheseitemscomefromtheIEEEseeonlineethicslinkandfromthemanuscriptof GoodComputing byChuckHu,WilliamFrey,andJoseCruz. PlacestoGo 1.GovernmentAgencies 2.JudicialSystems 3.Legislators 4.AdvocacyGroups 5.NewsMedia 6.InPuertoRico,laws14and426havebeenpassedtoprotectthosewhowouldblowthewhistleon governmentcorruption.TheOcinadeEticaGubernamentaldePuertoRicohasawhistleblower's hotline.Seelinkabove. WhentoBlowtheWhistle. 1.SeriousandConsiderableHarm 2.Noticationofimmediatesupervisor. 3.Exhaustionofinternalchannelsofcommunication/appeal. 4.DocumentedEvidence. 5.Likelihoodofsuccessfulresolution. References 1.RichardT.DeGeorge,"EthicalResponsibilitiesofEngineersinLargeOrganizations:ThePintoCase," in EthicalIssuesinEngineering ,ed.DeborahG.JohnsonNewJersey:Prentice-Hall:175186. 2.CarolynWhitbeckEthicsinEngineeringPracticeandResearch.U.K.CambridgeUniversity Press:55-72and176-181. 3.CharlesHarris,MichaelPritchardandMichaelRabinsEngineeringEthics:ConceptsandCases, 3rdEd.Belmont,CA:Thomson/Wadsworth:203-206. 5.3CaseAnalysisModule:Therac-25 4 ComputerEthics CaseModuleTemplate ByWilliamJ.Frey ModuleIntroduction: TheTherac-25caseiswhatHuandFreycallathick,historical,evaluative,bignewsandbadnewscase. Tacklingcasesofthiscomplexityrequiresbothcarefulthoughtandconsiderableskill.Especiallyimportant istheabilitytosiftthroughthecasedetails,documents,andconictingnarratives.Thepurposeofthis moduleistoprovidestudentswithastructuretotacklebig,long,andcomplicatedcases.Studentswillreceive frameworkstohelpthemstructurethecase'sethicalandsocialproblems.Theywillalsobeprovidedwith 4 Thiscontentisavailableonlineat.

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158 CHAPTER5.BUSINESSETHICSCASESTUDIES decisionpointsthatwillhelpthemtoenterintothecaseandtakeupthestandpointofaparticipant.The modulepresentedbelowcanbelinkedtomaterialsthatcanbefoundatwww.computingcases.org.Nancy Leveson,inSafeware:SystemSafetyandComputer-553,alsoprovidesanexcellentandcomprehensive account.Excellentadviceonhowtoteachthecase,updatedinformation,andclearexplanationsofthe programmingerrorsareprovidedbyChuckHuandRichardBrownin"IntegratingEthicsintoaComputing Curriculum:ACaseStudyoftheTherac-25."ThematerialspostedatComputingCaseswerealldeveloped throughNSFprojectsDUE-9972280andDUE9980768. Themodulepresentsthecaseabstractandtimeline.Itthenrefersstudentstocomputingcases.orgwhere theywillndthecasenarrative,history,andsupportingdocumentsthatprovidebackgroundinformation necessaryforanalysis.Thecaseabstractandtimelineintroducestudentstothebasicoutlinesofthecase. Theaccompanyingdecisionpointtakenfromthecaseprovidesstudentswiththenecessaryfocustocarryout anin-depthanalysis.Studentsrespondtothedecision-pointbyworkingthroughthefourstages:problem specication,solutiongeneration,solutiontesting,andsolutionimplementation. ModuleActivities: 1.Instructorintroducesthecasebasedontheabstractandtimelinefoundatwww.computingcases.org 5 2.Studentsreadcaseabstract,timeline,casedecisionpoint,andcaseanalysisexercises. 3.StudentsdofurtherresearchintothecasebyconsultingComputingCasesmaterialswhichinclude narratives,histories,supportingdocuments,andethicalanalyses. 4.Studentscarryouttheactivitiesoutlinedintheaccompanyingcaseexercisesbyaspecifyingthe problemraisedinthedecisionpoint,bgeneratingsolutions,ctestingsolutionsusingethicstests,and ddevelopingplansforimplementingthesolutionoversituationalconstraints. 5.Studentspreparetheircaseanalysesworkinginsmallgroups. 6.Thesegroupspresenttheircompletedanalysistotheclassinacase-debriengsession. 7.Theinstructorconcludesbydiscussingtheproblem-solvingissuesandintermediatemoralconcepts raisedbythecase. 5.3.1Therac-25Abstract Therac-25 6 wasanewgenerationmedicallinearaccelerator 7 fortreatingcancer.Itincorporatedthemost recentcomputercontrolequipment.Therac-25'scomputerizationmadethelaboriousprocessofmachine setupmucheasierforoperators,andthusallowedthemtospendminimaltimeinsettinguptheequipment. Inadditiontomakingsetupeasier,thecomputeralsomonitoredthemachineforsafety.Withtheadvent ofcomputercontrol,hardwarebasedsafetymechanismsweretransferredtothesoftware.Hospitalswere toldthattheTherac-25medicallinearacceleratorhad"somanysafetymechanisms"thatitwas"virtually impossible"tooverdoseapatient.Normally,whenapatientisscheduledtohaveradiationtherapyforcancer, heorsheisscheduledforseveralsessionsoverafewweeksandtoldtoexpectsomeminorskindiscomfort fromthetreatment.Thediscomfortisdescribedasbeinglikeamildsunburnoverthetreatedarea.But inthiscaseonsafetycriticalsoftware,youwillndthatsomepatientsreceivedmuchmoreradiationthan prescribed Therac-25Timeline 5 http://www.computingcases.org/ 6 http://www.computingcases.org/case_materials/therac/teaching/therac/supporting_docs/Therac%20Glossary.html#tr25 7 http://www.computingcases.org/case_materials/therac/teaching/therac/supporting_docs/Therac%20Glossary.html#tr13

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159 Early1970's AECLandaFrenchCompanyCGRcollaborate tobuildMedicalLinearAcceleratorslinacs.They developTherac-6,andTherac-20.AECLand CGRendtheirworkingrelationshipin1981. 1976 AECLdevelopestherevolutionary"doublepass" acceleratorwhichleadstothedevelopmentof Therac-25. March,1983 AECLperformsasafetyanalysisofTherac-25 whichapparentlyexcludesananalysisofsoftware. July29,1983 InaPRNewswiretheCanadianConsulateGeneral announcestheintroductionofthenew"Therac25" MachinemanufacturedbyAECLMedical,adivisionofAtomicEnergyofCanadaLimited. ca.Dec.1984 MariettaGeorgia,KennestoneRegionalOncology CenterimplementsthenewTherac-25machine. June3,1985 MariettaGeorgia,KennestoneRegionalOncology CenterKatherineKatyYarbrough,a61-year-old womanisoverdosedduringafollow-upradiation treatmentafterremovalofamalignantbreasttumor.TimStill,KennestonePhysicistcallsAECL askingifoverdoseispossible;threedayslaterheis informeditisnot. July26,1985 Hamilton,Ontario,Canada.FrancesHill,a40year-oldpatientisoverdosedduringtreatmentfor cervicalcarcinoma.AECLisinformedoftheinjury andsendsaserviceengineertoinvestigate. November3,1985 HamiltonOntariopatientdiesofcancer,butitis notedonherautopsythathadshenotdied,afull hipreplacementwouldhavebeennecessaryasaresultoftheradiationoverdose. November8,1985 LetterfromCRPBtoAECLrequestingadditional hardwareinterlocksandchangesinsoftware.Letter alsorequestedtreatmentterminatedintheeventof amalfunctionwithnooptiontoproceedwithsingle key-stroke.underCanada'sRadiationEmitting DevicesAct. November18,1985 KatyYarbroughlessuitagainstAECLand KennestoneRegionalOncologyCenter.AECLinformedociallyofLawsuit. December1985 YakimaValleyMemorialHospital,YakimaWashington.AwomanbeingtreatedwithTherac-25developserythemaonherhipafteroneofthetreatments. January31,1986 StaatYakimasendslettertoAECLandspeakon thephonewithAECLtechnicalsupportsupervisor. February24,1986 AECLtechnicalsupportsupervisorsendsawritten responsetoYakimaclaimingthatTherac-25could nothavebeenresponsiblefortheinjuriestothe femalepatient. March21,1986 EastTexasCancerCenter,TylerTexas.Voyne RayCoxisoverdosedduringtreatmentonhisback. FritzHagernotiesAECL.Companysuggestssome testsandsuggestshospitalmighthaveanelectrical problem.AECLclaimsagainthatoverdoesisimpossibleandthatnootheraccidentshaveoccurred previously. March22,1986 RayCoxchecksintoanemergencyroomwithsevere radiationsickness.FritzHagercallsAECLagain andarrangesforRandyRhodesandDaveNottto testTherac.TheytraveltoTexasandtestTherac butndnothingwrong. April7,1986 ETCChasinvestigatedelectricalproblempossibility,ndingnone,putTherac-25backinservice. April11,1986 EastTexasCancerCenter.AnotherVerdonKiddis overdosedduringtreatmentstohisface.Operator isabletoexplainhowMalfuction54wasachieved. FritzHagertestscomputer'sreadoutofnodose, anddiscoverstheextentoftheoverdoses.Hager spendsweekendonphonewithAECLexplaining ndings. April14,1986 AECLlesreportwithFDA.AECLsendsletter toTherac-25userswithsuggestionsforavoiding futureaccidents,includingtheremovaloftheuparroweditingkeyandthecoveringofthecontact withelectricaltape. May1,1986 VerdonKidd,whowastohavereceivedtreatments tolefteardiesasaresultofacuteradiationinjury totherighttemporallobeofthebrainandbrain stem.Heistherstpersontodiefromtherapeutic radiationaccident. May2,1986 FDAdeclaresTherac-25defective,andtheir"x" lettertousersinadequate.FDAdemandsaCAP fromAECL. June13,1986 AECLproducesrstCAPforFDA. July23,1986 FDAhasreceivedCAP,asksformoreinformation. August,1986 Therac-25userscreateausergroupandmeetat theannualconferenceoftheAmericanAssociation ofPhysicistsinMedicine August,1986 RayCox,overdosedduringbacktreatment,diesas aresultofradiationburns. September23,1996 DebbieCoxandCoxfamilylelawsuit September26,1986 AECLprovidesFDAwithmoreinformation. October30,1986 FDArequestsmoreinformation. November1986 PhysicistsandengineersfromFDA'sCDRHconductedatechnicalassessmentoftheTherac-25 atAECLmanufacturingplantinCanadaR.C. Thompson. November12,1986 AECLsubmitsrevisionofCAP. December Therac-20usersnotiedofasoftwarebug. December11,1986 FDArequestsmorechangestoCAP. December22,1986 AECLsubmitssecondrevisionofCAP. January17,1987 Secondpatient,GlenA.Dodd,a65-year-oldman, isoverdosedatYakima. January19,1987 AECLissueshazardnoticationtoallTherac-25 usersandtoldthemtovisuallyconrmtheposition oftheturntablebeforeturningonbeam. January26,1987 ConferencecallbetweenAECLqualityassurance managerandEdMillerofFDA.AECLsendsFDA revisedtestplan.AECLcallsTheracuserswithinstructionsonhowtoavoidbeamonwhenturntable isineldlightposition. February3,1987 AECLannouncesadditionalchangestoTherac-25 February6,1987 EdMillercallsPavelDvorakofCanada'sHealth andWelfaredepartmentwithnewsthatFDAwill recommendthatallTherac25unitsbetakenout ofserviceuntilCAPiscompleted. February10,1987 FDAsendsnoticetoAECLadvisingthatTherac isdefectiveunderUSlawandrequestingAECLto notifycustomersthatitshouldnotbeusedforroutinetherapy.CanadianHealthProtectionBranch doesthesame. March1987 SecondUserGroupMeeting March5,1987 AECLsendsthirdrevisionofCAPtoFDA. April1987 GlenA.Dodd,overdosedatYakima,diesofcomplicationsfromradiationburnstohischest. April9,1987 FDAasksforadditionalinformationregarding thirdCAPrevision. April13,1987 AECLsendsupdateofCAPandlistofnineitems requestedbyusersatMarchmeeting. May1,1987 AECLsendsfourthrevisionofCAPtoFDAasa resultofFDAcommentaryatusermeeting. May26,1987 FDAapprovesfourthCAPsubjecttonaltesting andanalysis. June5,1987 AECLsendsnaltestplanstoFDAalongwith safetyanalysis. July,1987 ThirdTherac-25UserGroupMeeting July21,1987 AECLsendsnalfthCAPrevisiontoFDA. January28,1988 InterimsafetyanalysisreportissuedfromAECL. November3,1988 Finalsafetyanalysisreportissued. continuedonnextpage

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160 CHAPTER5.BUSINESSETHICSCASESTUDIES Table5.12 Scenario:YouareanengineerworkingforAECLsenttoinvestigateanallegedoverdosingincidentat theOntarioCancerFoundationinHamilton.Ontario.Thefollowingisthedescriptionprovidedtoyouof whathappened: OnJuly26,1985,aforty-yearoldpatientcametotheclinicforhertwenty-fourthTherac-25treatment forcarcinomaofthecervix.Theoperatoractivatedthemachine,buttheTheracshutdownafterve secondswithanHTILTerrormessage.TheTherac-25'sconsoledisplayreadNODOSEandindicateda TREATMENTPAUSE Sincethemachinedidnotsuspendandthecontroldisplayindicatednodosewasdeliveredtothepatient, theoperatorwentaheadwithasecondattemptatatreatmentbypressingtheProceedCommandKey, expectingthemachinetodelivertheproperdosethistime.Thiswasstandardoperatingprocedure,and Therac-25operatorshadbecomeaccustomedtofrequentmalfunctionsthathadnountoward[bad]consequencesforthepatient.Againthemachineshutdowninthesamemanner.Theoperatorrepeatedthis processfourtimesaftertheoriginalattemptthedisplayshowingNODOSEdeliveredtothepatienteach time.Afterthefthpause,themachinewentintotreatmentsuspend,andahospitalservicetechnicianwas called.Thetechnicianfoundnothingwrongwiththemachine.AccordingtoaTherac-25operator,this scenarioalsowasnotunusual. Aftertreatment,thepatientcomplainedofaburningsensation,describedasanelectrictinglingshock tothetreatmentareainherhip ::: .ShecamebackforfurthertreatmentonJuly29andcomplainedof burning,hippain,andexcessiveswellingintheregionoftreatment.Thepatientwashospitalizedforthe conditiononJuly30,andthemachinewastakenoutofservice.DescriptiontakenfromNancyLeveson, Safeware,pp523-4 Yougivetheunitathoroughexaminationandareabletondnothingwrong.Workingwiththeoperator, youtrytoduplicatethetreatmentprocedureofJuly26.Nothingoutoftheordinaryhappens.Your responsibilityistomakearecommendationtoAECLandtotheOntarioCancerFoundation.Whatwillit be? 1.IdentifykeycomponentsoftheSTS Part/Level ofAnalysis Hardware Software Physical Surroundings People, Groups,& Roles Procedures Laws& Regulations Data &Data Structures Table5.13 2.Specifytheproblem: 2a.Istheproblemadisagreementonfacts?Whatarethefacts?Whatarecostandtimeconstraintson uncoveringandcommunicatingthesefacts? 2b.Istheproblemadisagreementonacriticalconcept?Whatistheconcept?Canagreementbereached byconsultinglegalorregulatoryinformationontheconcept?Forexample,iftheconceptinquestionis safety,candisputantsconsultengineeringcodes,legalprecedents,orethicalliteraturethathelpsprovide consensus?Candisputantsagreeonpositiveandnegativeparadigmcasessotheconceptdisagreementcan beresolvedthroughline-drawingmethods? 2c.UsethetabletoidentifyandlocatevalueconictswithintheSTS.Cantheproblembespecied asamismatchbetweenatechnologyandtheexistingSTS,amismatchwithintheSTSexacerbatedbythe introductionofthetechnology,orbyoverlookedresults?

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161 STS/Value Safetyfreedomfrom harm JusticeEquity &Access Privacy Property FreeSpeech Hardware/software PhysicalSurroundings People, Groups,& Roles Procedures Laws Data&Data Structures Table5.14 3.Developageneralsolutionstrategyandthenbrainstormspecicsolutions: Problem/SolutionStrategy Disagreement ValueConict Situational Constraints Factual Conceptual Integrate? Tradeo? Resource?Technical?Interest Table5.15 3a.Isproblemoneofintegratingvalues,resolvingdisagreements,orrespondingtosituationalconstraints? 3b.Iftheconictcomesfromavaluemismatch,thencanitbesolvedbymodifyingoneormoreofthe componentsoftheSTS?Whichone? 4.Testsolutions: Alternative /Test Reversibility Value:Justice Value:Responsibility Value:Respect Harm Code A#1 A#2 A#3 Table5.16 5.Implementsolutionoverfeasibilityconstraints Alternative Constraint Resource Interest Technical continuedonnextpage

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162 CHAPTER5.BUSINESSETHICSCASESTUDIES Time Cost Individual Organization Legal/Social Available Technology Manufacturability #1 #2 #3 Table5.17 5.4ToysmartCaseExercises-StudentModule 8 note: Writeyourmoduleforastudentaudience.Tocompleteoreditthesectionsbelowerase theprovidedtextualcommentariesthenaddyourowncontentusingoneormoreofthefollowing strategies: -Typeorpastethecontentdirectlyintotheappropriatesection -LinktoapublishedCNXmoduleoranexternalonlineresource usingthe``Links''tabsseeexampleontheright -Linktoadocumentormultimediafilewithinthecontentafter uploadingthefileusingthe``Files''tabseeexamplebelow -Citecontentnotavailableonline WordVersionofthisTemplate Thisisanunsupportedmediatype.Toview,pleaseseehttp://cnx.org/content/m14789/latest/EACTK STDTEMPLATE.doc Figure5.3: Thisisanexampleofanembeddedlink.Goto"Files"tabtodeletethisleandreplace itwithyourownles. 5.4.1Introduction Inthismoduleyouwillstudyarealworldethicalproblem,theToysmartcase,andemployframeworksbased onthesoftwaredevelopmentcycleto1specifyethicalandtechnicalproblems,generatesolutionsthat integrateethicalvalue,testthesesolutions,andimplementthemoversituation-basedconstraints. Thismodulewillprovideyouwithanopportunitytopracticeintegratingethicalconsiderationsintoreal 8 Thiscontentisavailableonlineat.

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163 worlddecision-makingandproblem-solvinginbusinessandcomputing.Thiswholeapproachisbasedonan analogybetweenethicsanddesignWhitbeck. LargerealworldcaseslikeToysmartpivotaroundcrucialdecisionpoints.Youwilltakeontheroleof oneoftheparticipantsintheToysmartcaseandproblem-solveinteamsfromoneofthreedecisionpoints. Problem-solvingintherealworldrequiresperseverance,moralcreativity,moralimagination,andreasonableness;oneappropriatestheseskillsthroughpracticeindierentcontexts.Designingandimplementing solutionsrequiresidentifyingconictingvaluesandinterests,balancingthemincreativeanddynamicsolutions,overcomingtechnicallimits,andrespondingcreativelytorealworldconstraints. Eachdecisionpointrequiresthatyoutakeupthepositionofaparticipantinthecaseandworkthrough decision-makingframeworksfromhisorherperspective.Youmaybetemptedtobackoutandadoptan evaluativeposturefromwhichtojudgetheparticipants.Resistthistemptation.Thismoduleisspecically designedtogiveyoupracticeinmakingrealworlddecisions.Theseskillsemergewhenyouroleplayfrom oneofthestandpointswithinthecase.Youwilllearnthatdecision-makingrequirestakingstockofone's situationfromwithinaclearlydenedstandpointandthenacceptingresponsibilityforwhatarisesfrom withinthatstandpoint. CasessuchasToysmartarechallengingbecauseofthelargeamountofinformationgatheringandsorting theyrequire.Moralimaginationrespondstothischallengebyprovidingdierentframingsthathelptolter outirrelevantdataandstructurewhatremains.Framingplaysacentralroleinproblemspecication.For example,Toysmartcouldbeframedastheneedtodevelopmoreeectivesoftwaretohelpnegotiatethe exchangeofinformationonline.Inthiscase,asoftwareprogrammingexpertwouldbebroughtintoimprove P3Pprograms.OritcouldbeframedasalegalproblemthatrequiresammendingtheBankruptcyCode. Whatisimportantatthisstageisthatyouandyourgroupexperimentwithmultipleframingsofthecase aroundyourdecisionpoint.Thismakesitpossibletoopenupavenuesofsolutionthatwouldnotbepossible underoneframing. Tacklinglargecasesinsmallteamsalsohelpsdevelopthecommunicationandcollaborationskillsthat arerequiredforgroupwork.Taketimetodevelopstrategiesfordividingtheworkloadamongyourteam members.Thetrickistodistributeequallybut,atthesametime,toassigntasksaccordingthedierent abilitiesofyourteammembers.Someindividualsarebetteratresearchwhileothersexcellininterviewing orwriting.Also,makesuretosetasidetimewhenyounishforintegratingyourworkwiththatofyour teammates.Startbyquicklyreviewingtheinformationavailableonthecase.Thisiscalledscopingthe case.Thenformulatespecicquestionstofocusfurtherresearchoninformationrelevanttoyourproblem solvingeorts.Thisincludesinformationpertinenttoconstructingasocio-technicalanalysis,identifyingkey embeddedethicalissues,anduncoveringexistingbestandworstpractices. Acasenarrative,STSsocio-technicalsystemdescription,andtwoethicalreectionshavebeenpublished athttp://computingcases.org.Thismodulealsolinkstowebsitesonbankruptcyandprivacylaw,theModel BusinessCorporationAct,consumerprivacyinformation,andtheTRUSTewebsite. 5.4.2Whatyouneedtoknow ::: 5.4.2.1Whatyouneedtoknowaboutsocio-technicalsystems 1.STShavesevenbroadcomponents:hardware,software,physicalsurroundings,people/groups/roles,procedures,laws,anddata/datastructures. 2.Socio-technicalsystemsembodyvalues Theseincludemoralvalueslikesafety,privacy,property,freespeech,equityandaccess,andsecurity. Non-moralvaluescanalsoberealizedinandthroughSocioTechnicalSystemssuchaseciency,costeectiveness,control,sustainability,reliability,andstability. MoralvaluespresentinSocioTechnicalSystemscanconictwithotherembeddedmoralvalues;for example,privacyoftenconictswithfreespeech.Non-moralvaluescanconictwithmoralvalues; developingasafesystemrequirestimeandmoney.And,non-moralvaluescanconict;reliability undermineseciencyandcosteectiveness.Thisleadstothreeproblemsthatcomefromdierent

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164 CHAPTER5.BUSINESSETHICSCASESTUDIES valueconictswithinSocioTechnicalSystemsandbetweenthesesystemsandthetechnologiesthat arebeingintegratedintothem. MismatchesoftenarisebetweenthevaluesembeddedintechnologiesandtheSocioTechnicalSystemsintowhichtheyarebeingintegrated.AsUNIXwasintegratedintotheUniversityofCalifornia AcademicComputingSTSseeMachadocaseatComputingCases,thevaluesofopennessandtransparencydesignedintoUNIXclashedwiththeneedsofstudentsintheAcademicComputingSTSat UCIforprivacy. TechnologiesbeingintegratedintoSocioTechnicalSystemscanmagnify,exaggerate,orexacerbate existingvaluemismatchesintheSTS.TheuseofP2Psoftwarecombinedwiththeeaseofdigital copyinghasmagniedexistingconictsconcerningmusicandpicturecopyrights. IntegratingtechnologiesintoSTSsproducesbothimmediateandremoteconsequencesandimpacts. 3.Socio-technicalsystemschange Thesechangesareboughtabout,inpart,bythevaluemismatchesdescribedabove.Atothertimes, theyresultfromcompetingneedsandinterestsbroughtforthbydierentstakeholders.Forexample, bicycledesigns,thecongurationoftypewriterkeys,andthedesignandusesofcellularphoneshave changedasdierentusershaveadaptedthesetechnologiestotheirspecialrequirements. Thesechangesalsoexhibitwhatsociologistscallatrajectory,thatis,apathofdevelopment.Trajectoriesthemselvesaresubjecttonormativeanalysis.Forexample,someSTSsandthetechnologies integratedintothemdisplayalineofdevelopmentwheretheSTSandtheintegratedtechnologyare changedandredesignedtosupportcertainsocialinterests.Theinformatingcapacitiesofcomputing systems,forexample,provideinformationwhichcanbeusedtoimproveamanufacturingprocesses canortomonitorworkersforenhancingmanagementpower.SeeShoshannaZubo, TheAgeof theSmartMachine Trajectories,thus,outlinethedevelopmentofSTSsandtechnologiesastheseareinuencedbyinternal andexternalsocialforces. Inthissection,youwilllearnaboutthismodule'sexercises.Therequiredlinksaboveprovideinformationon theframeworksusedineachsection.Forexample,theSocio-TechnicalSystemmoduleprovidesbackground informationonsocio-technicalanalysis.The"ThreeFrameworks"moduleprovidesafurtherdescriptionof theethicstests,theirpitfalls,andthefeasibilitytest.Theseexerciseswillprovidestepbystepinstructions onhowtoworkthroughthedecisionpointspresentedabove. FormoreinformationseeHuandJawerbelow. DecisionPointOne: YouareDavidLord,aformeremployeeofHoltEducationalOutlet,amanufacturerofeducationaltoys locatedinWaltham,Mass.Recently,youhavejoinedwithStanFungofZeroStageCapital,aventure capitalrmtobuyoutHoltEducationalOutline.AfterchangingitsnametoToysmart,youandFung plantotransformthisbrickandmortarmanufacturerofeducationaltoysintoanonlinermthatwilllink customerstoavastcatalogueofeducational,highqualitytoys.Designingawebsitetodrawintoycustomers, linkingtoinformationonavailabletoys,settingupatoydistributionandshippingsystem,andimplementing featuresthatallowforsafeandsecureonlinetoypurchaseswillrequireconsiderablenancing.But,riding thecrestofthedot-comboom,youhavetwopromisingoptions.First,aventurecapitalrmhasoered you$20,000,000forwebsitedevelopment,publicity,andotherservices.Second,Disneyhasoeredthesame amountfornancing,buthasaddedtoitanadditional$25,000,000inadvertisingsupport.Disneyhasa formidablereputationinthismarket,areputationwhichyoucanusetotrampolineToysmartintoprominence inthegrowingmarketineducationaltoys.However,Disneyalsohasareputationofmicro-managingits partners.Developaplanfornancingyournewdot-com. Thingstoconsiderinyourdecision-making: 1.WhatareToysmartvalues?WhatareDisneyvalues?WouldDisneyrespectToysmart'svalues? 2.WhatsynergiescouldresultfromworkingwithDisney?Forexample,couldyoushareinformationon customers?YoucouldfeedyourcustomerprolestoDisneyinexchangefortheircustomerproles.

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165 Whatkindofdatamanagingtechnologywouldberequiredforthis?Whatethicalproblemscouldarise fromtransferringcustomeridentifyinginformationtothirdparties? 3.WhatkindofcommitmentwouldyoubewillingtomaketoDisneyintermsofproductandsales?How shouldDisneyreciprocate?Forexample,howlongshouldtheystickwithyouthroughsalesthatfall shortofprojections? DecisionPointTwo: YouworkforBlackstone,"an18-personsoftwarebusiness."YouhavebeenaskedbyToysmarttoprovide softwarethefollowingfunctions:designingawebpagethatwouldattractcustomersandcommunicate ToysmartValues,adviseToysmartonitsprivacyanddatasecuritypolicyincludingwhethertoregister withanonlinetrust,securitymeasurestoprotectcustomerdataduringonlinetransactions,andmeasures topreventunauthorizedaccesstocustomerdatawhilestored,andacomprehensiveonlinecatalogue thatwouldprovidecustomerswithaccesstoeducationaltoysfromavarietyofsmallbusinesmanufacturers. AnexampleofsmalltoymanufacturerstowhichToysmartshouldbelinkedisBrioCorporationwhich manufactureswoodentoyssuchasblocks,trains,andtrucks.DevelopgeneralrecommendationsforToysmart aroundthesethreeareas. InformationforthisscenariocomesfromLauraLorek,"WhenToysmartBroke," http://www.zdnet.com/eweek/stories/general/0,1101,2612962,00.html.AccessedJuly16,2001. Thingstoconsiderinyourdecision-making Toysmartisafairlynewdot-com.WhileitissupportedbyDisney,itisstillariskyventure.Should youaskthemforadvancepaymentforwhateverservicesyourender?Whatkindofpoliciesdoesyour companyhaveforidentifyingandassessingnancialrisk? WhatkindofprivacyanddatasecuritypolicyshouldyourecommendtoToysmart?Whatkindof valuescomeintoconictwhenacompanylikeToysmartdevelopsandimplementsprivacyanddata securitymeasures?UseyourSTSdescriptiontoanswerthisquestion. ShouldToysmartbecomebankrupt,theirdatabasewouldturnintoavaluableasset.WhatrecommendationsshouldyoumaketohelpToysmartplanaroundthispossibility?Whatvaluescomeinto conictwhenplanningtodisposeofassetsduringbankruptcyproceedings?Whatkindofobligations doesacompanytakeonduringitsoperationthatcontinueevenafterithasbecomebankrupt? Usingthelinkprovidedwiththismodule,visittheTRUSTewebsiteandnditswhitepaperon developingaprivacypolicy.EvaluatethisprivacypolicyforToysmart.Whatbenetscanastrong privacypolicybringtoadot-com?ShouldToysmartworktoqualifytodisplaytheTRUSTesealon itswebsite?ExamineTRUSTeproceduresfortransferringcondentialcustomerPIItothirdparties? Whatobligationswillthiscreate?Wouldthisover-constrainToysmart? DecisionPointThree: YouworkforPANCommunicationsandhavebeenprovidingadvertisingservicesforToysmart.Nowyou ndoutthatToysmarthasledaChapter11bankruptcy,andithasanoutstandingdebttoyourcompany for$171,390.Asapartofthislingprocedure,Toysmarthasreporteditsassetsat$10,500,000with debtsof$29,000,000.Toysmartcreditors,includingPANCommunications,havepetitionedtheOceofthe UnitedStatesTrusteefora"Creditors'CommitteeSolicitationForm."Thiswillallowfortheformationof acommitteecomposedofToysmartcreditorswhodecideonhowtheassetsofthebankruptrmwillbe distributed.You,becauseofyourknowledgeofbankruptcyandaccountingprocedures,havebeenasked torepresentyourcompanyonthiscommittee.Thisbleaksituationissomewhatremediedbythecustomer databasethatToysmartcompiledduringitsoperation.ItcontainsprolesofthePIIpersonalidentifying informationof260,000individuals.Becausesellingeducationaltoysisprotable,thereisagoodchance thatthisdatabasecouldbesoldforupto$500aproletoathirdparty.Shouldyourecommendselling thisdatabase?ShouldToysmartcustomersbenotiedofthependingtransferoftheirPIIand,ifso,how shouldtheybenotied? Herearesomeconstraintsthatoutlineyourdecision

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166 CHAPTER5.BUSINESSETHICSCASESTUDIES AsamemberoftheCreditors'Committee,youhaveaduciarydutytoToysmartcreditorsinworkingtodistributefairlytheremainingToysmartassets.Thiswould,allthingsbeingequal,leadto recommendingsellingtheToysmartcustomerdatabase Therearesomeprovisionsinthebankruptcycodethatmayrequireorallowoverridingduciaryduties givenpriorlegalcommitmentsmadebyToysmart.Thesecommitments,intheformofstrongprivacy guaranteesmadetocustomersbyToysmartonitswebpage,mayconstitutean"executorycontract." SeetheLegalTrailtableintheToysmartcasenarrativeandalsoLarrenM.Nashelsky,"On-Line PrivacyCollidesWithBankruptcyCreditors,"NewYorkLawJournal,NewYorkLawPublishing Company,August28,2000. Finally,Nashelskymakesaninterestingargument.Whiledeontologicalconsiderationswouldrequire settingasidecreditorinterestsandhonoringToysmartprivacypromises,ajustice-basedargument wouldrecommendacompromise.Bankruptcyproceedingsstartfromthefactthatharmnancial hasbeendone.Consequently,theimportantjusticeconsiderationistodistributefairlytheharms involvedamongtheharmedparties.Harmdistributionsarecorrelatedwithbenetdistributions. BecauseToysmartcustomersbenetedfromToysmartoerings,theyshouldalsobearashareofthe harmsproducedwhenthecompanygoesbankrupt.Thisrequiresthattheyallowthedistributionof theirPIIundercertainconditions. Thingstoconsiderinyourdecision-making HowdoyoubalanceyourobligationstoPANwiththosetootherToysmartcreditorsasamemberof theCreditors'Committee? HowshouldyouapproachtheconictbetweenhonoringToysmartpromisesandcarryingoutCreditor Committeeduciaryduties?DoyouagreewithNashelsky'sargumentcharacterizedabove? ShouldtheBankruptcyCodebechangedtoreectissuessuchasthese?Shouldprivacypromises beconsideredanexecutorycontractthatoverridesthedutytofairlyandexhaustivelydistributea company'sassets? Finally,whatdoyouthinkabouttheFTC'srecommendation?TheBankruptcyCourt'sresponse? ThenalaccommodationbetweenToysmartandBuenaVistaToyCompany? 5.4.3Whatyouwilldo... Inthissection,youwilllearnaboutthismodule'sexercises.Therequiredlinksaboveprovideinformationon theframeworksusedineachsection.Forexample,theSocio-TechnicalSystemmoduleprovidesbackground informationonsocio-technicalanalysis.The"ThreeFrameworks"moduleprovidesafurtherdescriptionof theethicstests,theirpitfalls,andthefeasibilitytest.Theseexerciseswillprovidestepbystepinstructions onhowtoworkthroughthedecisionpointspresentedabove. 5.4.4ExerciseOne:ProblemSpecication Inthisexercise,youwillspecifytheproblemusingsocio-technicalanalysis.TheSTSsectionoftheToysmart CasenarrativefoundatComputingCasesprovidesagoodstartingpoint.Inthersttable,enterthe informationfromtheToysmartcasematerialspertinenttothegeneralcomponentsofaSTS,itshardware, software,physicalsurroundings,people/groups/roles,procedures,laws,data.Someexamplestakenfrom theSTSdescriptionatComputingCasesareprovidedtogetyoustarted.Then,usingthesecondtable, identifythevaluesthatareembeddedinthedierentcomponentsoftheSTS.Forexample,PICSplatforms forinternetcontentselectionembodythevaluesofsecurityandprivacy.Finally,usingthedatafromyour socio-technicalanalysis,formulateaconciseproblemstatement. Exercise1a: Readthesocio-technicalsystemanalysisoftheToysmartcaseathttp://computingcases.org.Fillinthe tablebelowwithelementsfromthisanalysisthatpertaintoyourdecisionpoint.

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167 Socio-TechnicalSystemTable

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168 CHAPTER5.BUSINESSETHICSCASESTUDIES Hardware Software Physical Surroundings People/Groups/Roles Procedures Laws, Codes, Regulations Dataand DataStructures HoltEducationOutlet Platforms forInternet Content Selection CyberSpace Toysmart thecorporation BuyingToys Online COPPA Toysmart Customer DataBase Table5.18 InstructionsforTable1: 1.Gotohttp://computingcases.organdreviewtheSTSdescriptionprovidedfortheToysmartcase. 2.PullouttheelementsoftheSTSdescriptionthatarerelevanttoyourdecisionpoint.Listthemunder theappropriateSTScomponentintheabovetable. 3.ThinkaboutpossiblewaysinwhichthesecomponentsoftheToysmartSTSinteract.Forexample, whatkindsoflegalrestrictionsgovernthewaydataiscollected,stored,anddisseminated? 4.DevelopyourSTStablewithaneyetodocumentingpossibleethicalconictsthatcanariseandare relevanttoyourdecisionpoint. Exercise1b ExaminethevaluesembeddedintheSTSsurroundingthisdecisionpoint.Locateyourvaluesunderthe appropriatecomponentintheToysmartSTS.Forexample,accordingtotheSTSdescriptionforToysmart foundatComputingCases,thesoftwareprogramsprominentinthiscaseembodycertainvalues;SSLs embodysecurityandprivacy,P3Pproperty,andPICSprivacy.Next,lookforareaswherekeyvaluescan comeintoconict. ValueTable Hardware Software Physical Surroundings People/Groups/Roles Procedures Laws/Codes/Regulations Data/Data Structures Security Privacy Property JusticeEquity/Access FreeSpeecy Table5.19 InstructionsforTable2: 1.ThismodulelinkstoanotherConnexionsmodule,Socio-TechnicalSystemsinProfessionalDecisionMaking.Thereyouwillndshortprolesofthevalueslistedintheabovetable:security,privacy, property,justice,andfreespeech.Theseproleswillhelpyoutocharacterizethevalueslistedinthe abovetable. 2.ThesecondethicalreectionintheToysmartcasenarrativeatComputingCasesalsocontainsa discussionofhowpropertycomesintoconictwithprivacy. 3.IdentifythosecomponentsoftheToysmartSTSthatembodyorembedvalue.Forexample,listthe valuesrealizedandfrustratedbythesoftwarecomponentsdiscussedintheToysmartcaseintheSTS description.

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169 4.LookforwaysinwhichdierentelementsoftheSTSthatembedvaluecaninteractandproduce valueconicts.Theseconictsarelikelysourcesforproblemsthatyoushoulddiscussinyourproblem statementandaddressinyoursolution. Exercise1c: Writeouttherequirementsethicalandpracticalforagoodsolution.IdentifythepartsoftheSTSthat needchanging.Then,developaconcisesummarystatementofthecentralproblemyourdecisionpoint raises.Asyoudesignsolutionstothisproblem,youmaywanttorevisethisproblemstatement.Besureto experimentwithdierentwaysofframingthisproblem. Harris,Pritchard,andRabinsprovideausefulapproachtoproblemspecication.Seereferencesbelow. 5.4.5ExerciseTwo:SolutionGeneration GeneratesolutionstotheproblemsyouhavespeciedinExercise1.Thisrequiresthat... eachmemberofyourgroupdevelopalistofsolutions, thegroupcombinestheseindividuallistsintoagrouplist,and... thegroupreducesthispreliminarylisttoamanageablenumberofrenedandclariedsolutionsfor testinginthenextstage. HelpfulHintsforSolutionGeneration 1.Solutiongenerationrequiresprociencyintheskillsofmoralimaginationandmoralcreativity. Moralimaginationistheabilitytoopenupavenuesofsolutionbyframingaproblemindierentways. Toysmartcouldbeframedasatechnicalproblemrequiringproblem-solvingskillsthatintegrateethical considerationsintoinnovativedesigns.Moralcreativityistheabilitytoformulatenon-obvioussolutions thatintegrateethicalconsiderationsovervarioussituationalconstraints. 2.Problemscanbeformulatedasinterestconicts.Inthiscasedierentsolutionoptionsare available. GatherInformation. Manydisagreementscanberesolvedbygatheringmoreinformation.Because thisistheeasiestandleastpainfulwayofreachingconsensus,itisalmostalwaysbesttostarthere. Gatheringinformationmaynotbepossiblebecauseofdierentconstraints:theremaynotbeenough time,thefactsmaybetooexpensivetogather,ortheinformationrequiredgoesbeyondscienticor technicalknowledge.Sometimesgatheringmoreinformationdoesnotsolvetheproblembutallowsfor anew,morefruitfulformulationoftheproblem.Harris,Pritchard,andRabinsinEngineeringEthics: ConceptsandCasesshowhowsolvingafactualdisagreementallowsamoreprofoundconceptual disagreementtoemerge. NoloContendere. NoloContendereislatinfornotopposingorcontending.Yourinterestsmay conictwithyoursupervisorbutheorshemaybetoopowerfultoreasonwithoroppose.Soyouronly choicehereistogiveintohisorherinterests.Theproblemwithnolocontendereisthatnon-opposition isoftentakenasagreement.Youmayneedtodocumente.g.,throughmemosthatyoudisagreewith acourseofactionandthatyourchoosingnottoopposedoesnotindicateagreement. Negotiate. Goodcommunicationanddiplomaticskillsmaymakeitpossibletonegotiateasolution thatrespectsthedierentinterests.Valueintegrativesolutionsaredesignedtointegrateconicting values.Compromisesallowforpartialrealizationoftheconictinginterests.Seethemodule, The EthicsofTeamWork ,forcompromisestrategiessuchaslogrollingorbridging.Sometimesitmay benecessarytosetasideone'sinterestsforthepresentwiththeunderstandingthatthesewillbetaken careofatalatertime.Thisrequirestrust.

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170 CHAPTER5.BUSINESSETHICSCASESTUDIES Oppose. Ifnolocontendereandnegotiationarenotpossible,thenoppositionmaybenecessary. Oppositionrequiresmarshallingevidencetodocumentone'spositionpersuasivelyandimpartially.It makesuseofstrategiessuchasleadingan"organizationalcharge"or"blowingthewhistle."Formore onwhistle-blowingconsultthediscussionofwhistleblowingintheHughescasethatcanbefoundat computingcases. Exit. Oppositionmaynotbepossibleifonelacksorganizationalpowerordocumentedevidence.Nolo contenderewillnotsuceifnon-oppositionimplicatesoneinwrongdoing.Negotiationwillnotsucceed withoutanecessarybasisoftrustoraseriousvalueintegrativesolution. Asalastresort, onemay havetoexitfromthesituationbyaskingforreassignmentorresigning. 3.SolutionscanbegeneratedbyreadjustingdierentcomponentsoftheSTS. TechnicalPuzzle. Iftheproblemisframedasatechnicalpuzzle,thensolutionswouldrevolvearound developingdesignsthatoptimizebothethicalandtechnicalspecications,thatis,resolvethetechnical issuesandrealizeethicalvalue.Inthisinstance,theproblem-solvermustconcentrateonthehardware andsoftwarecomponentsoftheSTS. SocialProblem. Iftheproblemisframedasasocialproblem,thensolutionswouldrevolvearound changinglawsorbringingaboutsystemicreformthroughpoliticalaction.Thiswouldleadonetofocus onthepeople/groups/rolescomponentworkingtosocialpracticesorthelegalcomponent. StakeholderConict. Iftheproblemisframedasaconictbetweendierentstakeholderinterests, thenthesolutionwouldconcentrateongettingstakeholdersbothindividualsandgroupstoagreeon integrativeorinterestcompromisingsolutions.Thisrequiresconcentratingonthepeople/group/role componentoftheSTS.Note:Astakeholderisanygrouporindividualwithavitalinterestatplayin thesituation. ManagementProblem. Finally,iftheproblemisframedasamanagementproblem,thenthe solutionwouldrevolvearoundchanginganorganization'sprocedures.Alongtheselines,itwould addressthefundamentalgoals,decisionrecognitionprocedures,organizationalroles,or decision-makinghierarchyoftheorganization.ThesearethefourcomponentsoftheCIDcorporate internaldecisionstructuredescribedintheEthicalReectionssectionoftheToysmartcase. NotaBene: Financialissuesarecoveredbythefeasibilitytestinthesolutionimplementationstage. Assuch,theyposesideissuesorconstraintsthatdonotenterintothesolutiongenerationphasebut thesolutionimplementationphase. 4.Brainstorming.Moralcreativity,whichinvolvesdesigningnon-obvioussolutions,formsan essentialpartofsolutiongeneration.Herearesomeguidelinestogetyoustarted. Individuallymakeoutalistofsolutionsbeforethegroupmeeting.Workquicklytorealizeapreestablishedquotaofvetotensolutions.Aftercomposingaquickrstdraft,revisethelistforclarity only;makenosubstantialchanges. Startthegroupbrainstormingprocessbyhavingthegroupreviewandassemblealltheindividual solutions.Dothisquicklyandwithoutcriticism.Beginningcriticismatthisstagewillkillthecreativity necessaryforbrainstormingandshutdownthemoretimidbutcreativemembersofthegroup. Reviewthelistandidentifysolutionsthatareidenticaloroverlap.Beginthereningprocessby combiningthesesolutions. Havingreviewedallthebrainstormedsolutions,itisnowtimetobringincriticism.Beginbyeliminating solutionswithmajorethicalproblemssuchasthosethatviolaterights,produceinjustices,orcause extensiveharm. Identifybutdonoteliminatesolutionsthatareethicalbutraiseseriouspracticalproblems.Donot initiallyeliminateanethicalsolutionbecausethereareobstaclesstandinginthewayofitsimplementation.Bedescriptive.Identifyandimpartiallydescribetheobstacles.Later,inthesolution implementationstage,youmaybeabletodesigncreativeresponsestotheseobstacles. Identifysolutionsthatdonot"t"yourproblemstatement.Theserequireadecision.Youcanthrow outthesolutionbecauseitdoesnotsolvetheproblemoryoucanchangetheproblem.Ifasolution

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171 doesnotttheproblembut,intuitively,seemsgood,thisisasignthatyouneedtotakeanotherlook atyourproblemstatement. Don'tautomaticallyrejectpartialsolutions.Forexample,sendingmemosthroughemailratherthan printingthemoutandwastingpapermaynotsolvetheentirerecyclingproblemforyourcompany. Butitrepresentsagood,partialsolutionthatcanbecombinedwithotherpartialsolutionstoaddress thebiggerproblem. Throughthesedierentmeasures,youwillgraduallyintegratecriticismintoyourbrainstormingprocess.Thiswillfacilitateworkingtowardamanageable,renedlistofsolutionsfortestinginthenext stage. Exercise3:DevelopaSolutionList Haveeachmemberofyourteamprepareasolutionlistandbringittothenextgroupmeeting.Seta quotaforthisindividuallist,say,5to10solutions. Prepareagrouplistoutofthelistsoftheindividualmembers.Worktocombinesimilarsolutions.Be suretosetasidecriticismuntilthepreliminarygrouplistiscomplete. Makeuseofthefollowingtable. Renethegrouplistintoamanageablenumberofsolutionsfortestinginthenextstage.Combine overlappingsolutions.Eliminatesolutionsthatdonotrespondtotherequirementsandtheproblem statementthatyoupreparedinthepreviousexercise.Eliminatesolutionsthatviolateimportantethical considerations,i.e.,solutionsthatviolaterights,produceharms,etc. Checkyourrenedsolutionlistwithyourproblemstatement.Iftheydonotmatch,eliminatethe solutionorredenetheproblem RenedBrainstormList SolutionRanking DescriptionofSolution Justicationtsrequirements,tsproblem BestSolution SecondBestSolution ThirdBestSolution FourthBestSolution FifthBestSolution Table5.20 AnthonyWestonprovidesanilluminatingandusefuldiscussionofcreativeproblemsolvingin thereferenceprovidedbelow. 5.4.6ExerciseThree:SolutionTesting Inthissection,youwilltestthesolutionsontherenedlistyourgroupproducedinthepreviousexercise. Threeethicstests,describedbelow,willhelpyoutointegrateethicalconsiderationsintheproblem-solving process.Aglobalfeasibilitytestwillhelptoidentifysolutionswithseriouspracticalproblems.Finally,a SolutionEvaluationMatrixsummarizestheresultsforclassdebriengs. Settingupforthetest. Identifytheagentperspectivefromwhichthedecisionwillbemade Describetheactionasconciselyandclearlyaspossible. Identifythestakeholderssurroundingthedecision,i.e.,thosewhowillsuerstrongimpactspositively ornegativelyfromtheimplementationofyourdecision.Stakeholdershaveavitaloressentialinterest right,good,money,etcinplaywiththisdecision.

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172 CHAPTER5.BUSINESSETHICSCASESTUDIES Intheharm/benecencetest,identifythelikelyresultsoftheactionandsorttheseintoharmsand benets. Forthereversibilitytest,identifythestakeholderswithwhomyouwillreversepositions. Forthepublicidenticationtest,identifythevalues,virtues,orvicesyouractionembodies.Associate thesewiththecharacteroftheagent. Harm/BenecenceTest 1. Whataretheharmsyoursolutionislikelytoproduce?Whatareitsbenets?Doesthis solutionproducetheleastharmsandthemostbenetswhencomparedtotheavailable alternatives? 2. PitfallToomuch. Inthis"ParalysisofAnalysis"onefactorintoomanyconsequences.Toavoid thefallacyrestricttheanalysistothemostlikelyconsequenceswiththegreatestmagnitudeMagnitude indicatestherangeandseverityofimpact. 3. PitfallTooLittle. Abiasedorincompleteanalysisresultswhensignicantimpactsareoverlooked. Taketimetouncoverallthesignicantimpacts,bothintermsoflikelihoodandintermsofmagnitude. 4. PitfallDistributionofImpacts. Consider,notonlytheoverallbalanceofharmsandbenets butalsohowharmsandbenetsaredistributedamongthestakeholders.Iftheyareequallyorfairly distributed,thenthiscountsinthesolution'sfavor.Iftheyareunequallyorunfairlydistributed, thenthiscountsagainstthesolution.Bereadytoredesignthesolutiontodistributebetter=more equitablyorfairlytheharmfulandbenecialresults. ReversibilityTest 1. Wouldthissolutionalternativebeacceptabletothosewhostandtobemostaectedby it?Toanswerthisquestion,changeplaceswiththosewhoaretargetedbytheactionand askiffromthisnewperspectivewhethertheactionisstillacceptable? 2. PitfallToomuch. WhenreversingwithHitler,amoralactionappearsimmoralandanimmoral actionappearsmoral.Theproblemhereisthattheagentwhoprojectsintotheimmoralstandpoint loseshisorhermoralbearings.Thereversibilitytestrequiresviewingtheactionfromthestandpoint ofitsdierenttargets.Butunderstandingtheactionfromdierentstakeholderviewsdoesnotrequire thatoneabandonhimselforherselftotheseviews. 3. PitfallToolittle. Inthispitfall,moralimaginationfallsshort,andtheagentfailstoviewthe actionfromanotherstakeholderstandpoint.Thekeyinthereversibilitytestistondthemiddle groundbetweentoomuchimmersionintheviewpointofanotherandtoolittle. 4. PitfallReducingReversibilitytoHarm/Benecence. Thereversibilitytestrequiresthatone assesstheimpactsoftheactionunderconsiderationonothers.Butitismorethanasimplelistingof theconsequencesoftheaction.Theseareviewedfromthestandpointofdierentstakeholders.The reversibilitytestalsogoesbeyondconsideringimpactstoconsideringwhethertheactiontreatsdierent stakeholdersrespectfully.Thisespeciallyholdswhentheagentdisagreeswithastakeholder.Inthese disagreements,itisimportanttoworkoutwhatitmeanstodisagreewithanotherrespectfully. 5. PitfallIncompletesurveyofstakeholders. Leavingoutsignicantstakeholderperspectives skewstheresultsofthereversibilitytest.Buildinganexcellentdeathchamberworkswhenoneconsiders theactionfromthestandpointofHitler;afterall,it'swhathewants.Buttreatinganindividualwith respectdoesnotrequirecapitulatingtohisorherdesires,especiallywhentheseareimmoral.And consideringtheactionfromthestandpointofotherstakeholderssaythepossiblevictimsofnewer, moreecientgaschambersbringsoutnewandradicallydierentinformation. 6. PitfallNotWeighingandBalancingStakeholderPositions. Thispitfalliscontinuouswiththe previousone.Dierentstakeholdershavedierentinterestsandvieweventsfromuniqueperspectives. Thereversibilitytestrequiresreviewingtheseinterestsandperspectives,weighingthemagainstone another,andbalancingouttheirdierencesandconictsinanoverall,globalassessment. PublicityorPublicIdenticationTest

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173 1. Wouldyouwanttobepubliclyassociatedoridentiedwiththisaction?Inotherwords, assumethatyouwillbejudgedasapersonbyothersintermsofthemoralvalues expressedintheactionunderconsideration.Doesthisaccordwithhowyouwouldwant tooraspiretobejudged? 2. PitfallFailuretoassociationactionwithcharacterofagent. Inthepublicitytest,the spotlightofanalysismovesfromtheactiontotheagent.Successfullycarryingoutthistestrequires identifyingtheagent,describingtheaction,andassociatingtheagentwiththeaction.Themoral qualitiesexhibitedintheactionareseenasexpressingthemoralcharacteroftheagent.Thepublicity test,thus,restsontheideathatanagent'sresponsibleactionsarisefromandexpresshisorher character. 3. PitfallFailuretoappreciatethemoralcoloroftheaction. Thepublicitytestassumesthat actionsarecoloredbytheendsorgoodstheypursue.Thismeansthatactionsaremorallycolored.They canexpressresponsibilityorirresponsibility,courageorcowardice,reasonablenessorunreasonableness, honestyordishonesty,integrityorcorrpution,loyaltyorbetrayal,andsoforth.Ananalysiscango astraybyfailingtobringoutthemoralqualityorqualitiesthatanactionexpresses. 4. PitfallReducingPublicitytoHarm/BenecenceTest. Insteadofaskingwhattheactionsays abouttheagent,manyreducethistesttoconsideringtheconsequencesofpublicizingtheaction.So onemightarguethatanactioniswrongbecauseitdamagesthereputationoftheagentorsomeother stakeholder.Butthisdoesn'tgodeepenough.Thepublicitytestrequires,notthatonecalculatethe consequencesofwide-spreadknowledgeoftheactionunderconsideration,butthatonedrawsfromthe actiontheinformationitrevealsaboutthecharacteroftheagent.Theconsequencesofbadpublicity arecoveredbytheharm/benecencetestanddonotneedtoberepeatedinthepublicidentication test.Thepublicitytestprovidesnewinformationbyturningfromtheactiontotheagent.Itfocuses onwhattheactionitsmoralqualitiesandthegoodsitseekssaysabouttheagent. ComparingtheTestResults:Meta-Tests 1.Theethicstestswillnotalwaysconvergeonthesamesolutionbecauseeachtestandtheethical theoriesitencapsulatescoversadierentdimensionoftheaction:harm/benecencelooksatthe outcomesorconsequencesoftheaction,reversibilityfocusesontheformalcharacteristicsofthe action,andpublicityzerosinonthemoralcharacteroftheagent. 2.Themeta-teststurnthissurfacedisagreementintoanadvantage.Theconvergenceordivergence betweentheethicstestsbecomeindicatorsofsolutionstrengthandweakness. 3. Convergence. Whentheethicstestsconvergeonagivensolution,thisindicatessolutionstrength androbustness. 4. Divergence. Whentestsdivergeonasolutionasolutiondoeswellunderonetestbutpoorlyunder anotherthissigniesthatitneedsfurtherdevelopmentandrevision.Testdivergenceisnotasign thatonetestisrelevantwhiletheothersarenot.Divergenceindicatessolutionweaknessandisacall tomodifythesolutiontomakeitstronger. Exercise3:SummarizeyourresultsinaSolutionEvaluationMatrix 1.Placetestresultsintheappropriatecell. 2.AddaverbalexplanationtotheSEMtable. 3.Concludewithaglobalfeasibilitytestthatasks,simply,whetherornotthereexistsignicantobstacles totheimplementationofthesolutionintherealworld. 4.Finishbylookingathowthetestsconvergeonagivensolution.Convergenceindicatessolutionstrength; divergencesignalssolutionweakness.

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174 CHAPTER5.BUSINESSETHICSCASESTUDIES SolutionEvaluationMatrix Solution/Test Harm/Benecence Reversibility Publicitypublicidentication Feasibility FirstSolution SecondSolution ThirdSolution FourthSolution FifthSolution Table5.21 TheethicstestsarediscussedinCruzandDavis.Seereferencesbelow.WikeandBrincat alsodiscussvaluebasedapproachesinthetworeferencesbelow. 5.4.7ExerciseFour:SolutionImplementation Inthissection,youwilltrouble-shootthesolutionimplementationprocessbyuncoveringanddefusing potentialobstacles.Thesecanbeidentiedbylookingattheconstraintsthatbordertheaction.Although constraintsspecifylimitstowhatcanberealizedinagivensituation,theyaremoreexiblethangenerally thought.Promptlyidentifyingtheseconstraintsallowsforproactiveplanningthatcanpushbackobstacles tosolutionimplementationandallowforrealizationofatleastsomeofthevalueembodiedinthesolution. A FeasibilityTest focusesonthesesituationalconstraintsandposesusefulquestionsearlyoninthe implementationprocess.Whatconditionscouldarisethatwouldhindertheimplementationofasolution? Shouldthesolutionbemodiedtoeaseimplementationundertheseconstraints?Cantheconstraintsbe removedormodiedthroughactivitiessuchasnegotiation,compromise,oreducation?Cansolutionimplementationbefacilitatedbymodifyingboththesolutionandtheconstraints? FeasibilityConstraints Category Sub-Category Resource Money/Cost Time/Deadlines Materials Interest OrganizationalSupervisor Legallaws,regulations Political/Social Technical Technologydoesnotexist Technologypatented Technologyneedsmodication Table5.22 ResourceConstraints: Doesthesituationposelimitsonresourcesthatcouldlimittherealizationofthesolution underconsideration? Time. Isthereadeadlinewithinwhichthesolutionhastobeenacted?Isthisdeadlinexedor negotiable? Financial. Aretherecostconstraintsonimplementingtheethicalsolution?Canthesebeextended byraisingmorefunds?Cantheybeextendedbycuttingexistingcosts?Canagentsnegotiateformore moneyforimplementation?

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175 Resource. Arenecessaryresourcesavailable?Isitnecessarytoplanaheadtoidentifyandprocure resources?Ifkeyresourcesarenotavailable,isitpossibletosubstituteother,moreavailableresources? Wouldanysignicantmoralornon-moralvaluebelostinthissubstitution? InterestConstraints Doesthesolutionthreatenstakeholderinterests?Coulditbeperceivedassothreatening toastakeholder'sintereststhatthestakeholderwouldopposeitsimplementation? IndividualInterests. Doesthesolutionthreatentheinterestsofsupervisors?Wouldtheytake measurestoblockitsrealization?Forexample,asupervisormightperceivethesolutionasundermining hisorherauthority.Or,conictingsub-groupinterestscouldgenerateoppositiontotheimplementation ofthesolutioneventhoughitwouldpromotebroaderorganizationalobjectives. OrganizationalInterests. Doesthesolutiongoagainstanorganization'sSOPsstandardoperating procedures,formalobjectives,orinformalobjectives?Couldactingonthissolutiondisruptorganizationpowerstructures?Perhapsitisnecessarytoenlistthesupportofanindividualhigherupin theorganizationalhierarchyinordertorealizeasolutionthatthreatensasupervisororapowerful sub-group. LegalInterests. Aretherelaws,statutes,regulations,orcommonlawtraditionsthatopposethe implementationofthesolution?Isitnecessarytowriteanimpactstatement,developalegalcompliance plan,orreceiveregulatoryapprovalinordertoimplementthesolution? Political/Social/HistoricalConstraints. Wouldthesolutionthreatenorappeartothreatenthe statusofapoliticalparty?Coulditgeneratesocialoppositionbythreateningorappearingtothreaten theinterestsofapublicactiongroupsuchasanenvironmentalgroup?Aretherehistoricaltraditions thatconictwiththevaluesembeddedinthesolution? TechnicalConstraints Technologydoesnotyetexist. Wouldtheimplementationofthesolutionrequirebreakingnew technologicalground? TechnologyProtectedbyPatent. Thetechnologyexistsbutisinaccessiblebecauseitisstillunder apatentheldbyacompetitor. TechnologyRequiresModication. Thetechnologyrequiredtoimplementsolutionexistsbut needstobemodiedtotthecontextofthesolution.Importantconsiderationstofactorinwouldbe theextentofthemodication,itscost,andhowlongitwouldtaketobringaboutthemodication. 5.4.8Whatdidyoulearn? Thissectionprovidesclosuretothemoduleforstudents.Itmayconsistofaformalconclusionthatsummarizesthemoduleandoutlinesitslearningobjectives.Itcouldprovidequestionstohelpstudentsdebrief andreectonwhattheyhavelearned.Assessmentformse.g.,theMuddiestPointFormcouldbeused toevaluatethequalityofthelearningexperience.Inshort,thissectionspeciesthestrategyforbringing themoduletoaclose. Inthismodule,youhave ::: studiedarealworldcasethatraisedseriousproblemswithintellectualproperty,privacy,security,and freespeech.Workingwiththeseproblemshashelpedyoutodevelopabetterworkingunderstanding ofthesekeyconcepts, studiedandpracticedusingfourdecision-makingframeworks:usingsocio-technicalanalysisto specifytheprobleminacomplex,realworldcase,practicedbrainstormingtechniquestodevelop andrenesolutionsthatrespondtoyourproblem,employedthreeethicsteststointegrateethical considerationsintoyoursolutionsandtotestthesesolutionsintermsoftheirethics,andapplied afeasibilityanalysistoyoursolutionstoidentifyandtrouble-shootobstaclestotheimplementationof yourethicalsolution,

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176 CHAPTER5.BUSINESSETHICSCASESTUDIES exploredtheanalogybetweensolvingethicalanddesignproblems, practicedtheskillsofmoralimagination,moralcreativity,reasonableness,andperseverance,and ::: experienced,throughkeyparticipantperspectives,thechallengesofethicsadvocacyunderthegun. Debriefonyourgroupworkbeforetherestoftheclass 1.Provideaconcisestatementandjusticationoftheproblemyourgroupspecied 2.Presenttherenedsolutiongenerationlistyourgroupdevelopedinexercise2. 3.Presentandprovideaquicksummaryexplanationoftheresultsofyourgroup'ssolutionevaluation matrix. 4.Showyourgroup'sfeasibilitymatrixandsummarizeyourassessmentofthefeasibilityofimplementing thesolutionalternativesyoutestedinexercisethree. GroupDebrieng 1.Werethereanyproblemyougrouphadworkingtogethertocarryoutthiscaseanalysis?Whatwere theproblemsandhowdidyougoaboutsolvingthem? 2.Whatproblemsdidyouhavewithunderstandingandpracticingthefourframeworksforsolvingproblems?Howdidyougoaboutsolvingtheseproblems?Doesyourgrouphaveanyoutstandingquestions ordoubts? 3.Nowthatyouhaveheardtheothergroupspresenttheirresults,whatdierencesemergedbetween yourgroup'sanalysisandthoseoftheothergroups?Haveyoumodiedyouranalysisinlightofthe analysesoftheothergroups?Ifsohow?Dotheothergroupsneedtotakeintoaccountanyaspectsof yourgroup'sdebrieng? 5.4.9Appendix Thisoptionalsectioncontainsadditionalorsupplementaryinformationrelatedtothismodule.Itcould include:assessment,backgroundsuchassupportingethicaltheoriesandframeworks,technicalinformation, disciplinespecicinformation,andreferencesorlinks. References 1.Brincat,CynthiaA.andWike,VictoriaS.MoralityandtheProfessionalLife:ValuesatWork. UpperSaddleRiver,NJ:PrenticeHall. 2.Cruz,J.A.,Frey,W.J.AnEectiveStrategyforIntegrationEthicsAcrosstheCurriculumin Engineering:AnABET2000Challenge, ScienceandEngineeringEthics ,9:543-568. 3.Davis,M., EthicsandtheUniversity ,Routledge,LondonandNewYork,1999:166-167. 4.RichardT.DeGeorge,"EthicalResponsibilitiesofEngineersinLargeOrganizations:ThePintoCase," inEthicalIssuesinEngineering,ed.DeborahG.JohnsonNewJersey:Prentice-Hall:175-186. 5.CharlesHarris,MichaelPritchardandMichaelRabins EngineeringEthics:Conceptsand Cases ,3rdEd.Belmont,CA:Thomson/Wadsworth:203-206. 6.Hu,ChuckandJawer,Bruce,"TowardaDesignEthicsforComputingProfessionalsinSocialIssues in Computing:PuttingComputinginitsPlace ,Hu,ChuckandFinholt,ThomasEds.1994 NewYork:McGraw-Hill,Inc. 7.Solomon,RobertC. ABetterWaytoThinkAboutBusiness:HowPersonalIntgrity LeadstoCorporateSuccess .Oxford,UK:OxfordUniversityPress. 8.AnthonyWeston. APracticalCompaniontoEthics ,2nded.USA:OxfordUniversity Press,2001,Chapter3. 9.CarolynWhitbeck EthicsinEngineeringPracticeandResearch .U.K.CambridgeUniversityPress:55-72and176-181. 10.Wike,VictoriaS."ProfessionalEngineeringEthicsBahavior:AValues-basedApproach," Proceedingsofthe2001AmericanSocietyforEngineeringEducationAnnualConferenceand Exposition,Session2461 .

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177 5.4.10EACToolKitProject 5.4.10.1ThismoduleisaWORK-IN-PROGRESS;theauthorsmayupdatethecontentas needed.Othersarewelcometousethismoduleorcreateanewderivedmodule.Youcan COLLABORATEtoimprovethismodulebyprovidingsuggestionsand/orfeedbackonyour experienceswiththismodule. PleaseseetheCreativeCommonsLicense 9 regardingpermissiontoreusethismaterial. 5.4.10.2FundedbytheNationalScienceFoundation:"CollaborativeDevelopmentofEthics AcrosstheCurriculumResourcesandSharingofBestPractices,"NSF-SES-0551779 5.5EthicsandLaptops:IdentifyingSocialResponsibilityIssuesin PuertoRico 10 ModuleIntroduction Whilesocialresponsibilityhasbeenrecognizedasoneofthekeyareasofbusinessethics,muchmoreneeds tobedonetodevelopframeworksandtoolstoclarifytheconceptitselfandtoimplementitinbusinessand professionalpracticeonaday-to-daybasis.Thismodulewillgivestudentstheopportunitytopracticeusing frameworksandtechniquesthataddressthesetwoneeds. Developingsocio-technicalsystemanalysesprovidesaneectivemeanstohighlightissuesofsocialresponsibility.Sincesocio-technicalsystemsembodyvalues,buildingtheirdescriptionsallowsustoreado potentialproblemsduetoharmfulimpactsandvalueconicts.Tofacilitatethis,youwillbebuildingsociotechnicalsystemdescriptionsusingagridormatrixthatprovidesthecomponentsofsocio-technicalsystems, levelsunderwhichtheycanbeanalyzed,andthevaluesthattheytendtoembody.Buildingsocio-technical systemdescriptionsalsorequiresusingmethodsofparticipatoryobservation.Theseincludeconstructingsurveysandquestionnaires,developinginterviews,andbuildingday-in-the-lifescenarios.Thismodulewillhelp youframeandrespondtosocialresponsibilityissuesbyprovidingaframeworkforsocio-technicalanalysis andasetofmethodologicaltoolstakenfromparticipatoryobservation. Modulem14025Social-TechnicalSystemsinProfessionalDecisionMakingprovidesbackgroundinformationonSTSs,theirconstructionandtheiruses.Linkstothismoduleandtothewebsite,Computing Cases,canbefoundintheupperlefthandcornerofthismodule.Theyprovideusefulbackgroundinformation.Thismodulemakesuseofacase,TexasLaptops,thatwasdevelopedbyChuckHuandC.Nathan DeWallforNSFprojects,DUE-9972280andDUE-9980768. TexasLaptopCase 1.Inthelate1990's,theTexasStateBoardofEducationproposedtheambitiousplanofprovidingeachof thestate'sfourmillionpublicschoolstudentswiththeirownlaptopcomputer.Thisplanwasdevised tosolveseveralproblemsconfrontingTexaspubliceducation. 2.Laptopcomputerscouldmakeeducationalresourcesmoreaccessabletostudentswhowerefacedwith specialchallengeslikedeafnessorblindness.Computersoersoftwareoptionssuchasaudiobooks thatpromisetoreachmorestudentsthantraditionalprintedtextbooks. 3.Laptopsalsopromisedtosolvetheproblemofobsoletetextbooks.Texaspurchasedtextbooksfortheir studentsatconsiderablecosts.Thepurchasingcycleransixyears.Bytheendofthiscycle,textbooks wereoutofdate.Forexample,inthelate1990'swhenthelaptopplanwasproposed,historytextbooks stillreferredtotheSovietUnionandtotheexistenceoftheBerlinWall.Laptops,ontheotherhand, wouldpresenttextbookcontentindigitalformwhichwouldeliminateprintingandshippingcostsand facilitateupdatesthroughonlinedownloads. 4.Texasbusinessleaderswereconcernedaboutthecomputerliteracyoftheupcominggenerationof students.Byemployinglaptopsinmoreandmoreteachingactivities,studentswouldlearnhowto 9 http://creativecommons.org/licenses/by/2.0/ 10 Thiscontentisavailableonlineat.

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178 CHAPTER5.BUSINESSETHICSCASESTUDIES interactwithcomputerswhiletakingadvantageofthenewandmoreeectivemodesofpresentation oered. 1.However,adoptinglaptopsalsopresentedproblemsthatcriticsquicklybroughtforth. 2.Teacherswouldneedtolearnhowtouselaptopcomputersandwouldhavetochangetheirteachingto accomodatethemintheclassroom. 3.Apparentcostsavingsdisappeareduponfurther,closerexamination.Forexample,itbecameclear thattextbookpublisherswouldnotsoeasilygiveuptherevenuestheyhadcometodependuponthat camefromtextbookpurchasesforpublicschoolstudents.Updatesfromdownloadscouldturnoutto bemoreexpensiveandeductionalsoftwarecouldbecodedtorestrictaccessanddissemination. 4.Furtherstudiesindicatedthattechnicalsupportcostswouldruntwotothreetimesinitialoutlays. Keepinglaptophardwareandsoftwareupandrunningrequiredtechnicalsupportandcontinuedinvestment. 5.Texasfoundthatwhilesomeschooldistrictsthericheroneshadalreadybegunprojectstointegrate computingtechnology,thepoorerschooldistrictswouldrequireconsiderablenancialsupport. Todealwiththeseproblems,Texascarriedoutseveralpilotprojectsthatexaminedtheeectivenessof laptopintegrationinselectschooldistricts.Whileseveralsuccesseswerereportedaseriesofproblemsarose thatledTexasBoardofEducatonocialstopostponethelaptopproject.First,pilotprojectsdependedon donationsfromprivatecomputingvendors.Whilesomewereforthcoming,othersfailedtodeliverhardware ontimeandprovidedonlyminimaltechnicalsupport.Second,teachersresistedlaptopintegrationdueto theextensiveinvestmentoftimerequiredtoappropriatecomputingskillsandthedicultyofmodifying existingcurriculaandteachingstylestoaccomodatelaptophardwareandsoftware.Third,atthattimethe availableeducationalsoftware,suchasdigitalizedtextbooks,wasexpensive,inadequatelydeveloped,and narrowlyfocusedoncurricularareassuchaswritingandmathpractice.Teachersalsobegantodevelopmore comprehensiveandphilosophicalcriticismsoflaptopuse.Educationspecialist,LarryCuban,arguedthat whilelaptopsprovidedgoodsupportforavocationaleducation,theyfailedtodeliveronothereducational goalssuchasteachingchildrenhowtointeractwiththeirpeersandteachersandteachingchildrenthecivic virtuesnecessarytobecomeactiveparticipantsinademocraticformofgovernment.Studiesbegantoappear thatarguedthatskillsdevelopedthroughcomputerusecameattheexpenseofother,moresocialskills. TheTexasLaptopplanwasneverformallyimplementedbeyondthepilotprojectphase.However,several computerintegrationprojectshavebeencarriedoutinotherpartsofthecountry.Forexample,LarryCuban reportsoncomputerintegrationprojectscarriedoutinSiliconValleyinCalifornia.MIThasdevelopeda cheaplaptopcomputerforuseindevelopingnations.Youcanndalinktocomputerintegrationprojects thathavebeenimplementedinPhiladelphiapublicschoolsthroughthesupportoftheMicrosoftFoundation. StudentsincomputerethicsclassesattheUniversityofPuertoRicoatMayaguezhavelookedintothe feasibilityofintegratinglaptopsinthepublicschoolsocio-technicalsysteminPuertoRico.Theybeganby lookingattheprojecttoprovidepublicschoolteacherswithlaptopsthatwascarriedoutinthelate1990's underthePedroRosselloadministration.Thestudentresearchprojectscametofocusonthreeproblem areas.First,theyexaminedwhethertherewerestructuresinlaptopdesignthatmadecomputersunt forusebychildren.Second,theystudiedwhethersocialorethicalproblemswouldarisefromdisposalof spentlaptops.Third,theyinvestigatedtheimpactoncopyrightlawandintellectualpropertypracticesthat digitalizingprintedtextbookswouldhave. Exercise1:PrepareaSTSGrid Constructasocio-technicalsystemSTSgridforpublicschoolsinPuertoRico Usingthetemplatesfoundatm14025Socio-TechnicalSystemsinProfessionalDecisionMakingidentifythekeyconstituentssuchashardware,software,physicalsurroundings,etc. Selectkeylevelsforanalysis.Forexample,youmaywanttolookattheSTSfromthestandpointof individualsstudentsandteachers,smallgroupspublicschoolsystems,andinstitutionseducation andbusiness.

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179 Startingwithashortlistofvalues,identifythevaluesembeddedinthepublicschoolSTSand,if possible,thespeciccomponentsinwhichthesevaluesareembedded.Agoodplacetostartistosee howdierentphysicalarrangementsoftheclassroomembodydierentapproachestoeducation. ValuesinSTSs Valuesthatcanbeusedforexercise1includeJusticeequityandaccess,Property,Privacy,FreeSpeech, ResponsibilitySafety.MoreonthesevaluescanbefoundbyclickingontheComputingCaseslinkprovided inthismodule.SeveralofthesevaluesaredenedintheEthicsofTeamWorkmodule,m13769. Exercise2:IdentifyingPotentialorLatentProblemsinSTSs Chooseoneofthefollowingthreeproblemareastohelpfocusyourwork:valueproblemsthatmay arisewhenlaptopswiththeircurrentdesignareintegratedinthePRSTS;valueproblemsthat mayarisebythedigitalizationoftextbooksandothereducationalmaterials;valueproblemsand potentialharmsthatmayariseduringthedisposalofspentlaptops. ComparevaluesembodiedincurrentlaptopdesignwiththoseembodiedinthePuertoRicanpublic schoolSTS.Arethereanyconicts?Whatarethese? LookmorecloselyatthePuertoRicanpublicschoolSTS.Arethereanyconictsthatwillbehighlighted,exaggerated,orincreasedbytheintegrationoflaptopcomputers. Finally,lookforpotentialharmsthatcouldoccurintheshort,middle,andlongtermfuture. Exercise3:DevelopCounter-MeasurestoProblems Generate5to10optionstorespondtotheproblemsyouhaveidentied.Makesurethatyouinclude thestatusquoamongyouroptions. Checkeachoptionagainsttheproblemsyouhaveidentied.Doestheoptionsolvetheproblems identiedinyourSTSanalysis?Doesitintegratetheconictingvaluesandavoiduntowardresults? Doesitgiverisetonewproblems? Prepareashortpresentationfortheclassto10minuteswhereyououtlineyourproblem,setforth therangeofsolutionsyouhaveidentied,anddescribeandjustifyyoursolution.Besuretoaddress issuesthatmayarisewhenyouturntoimplementingyoursolution. Provideaoneortwosentenceargumentthatyoursolutionisbestfordeliveringonsocialresponsibility. Exercise4:EvaluatetheMicrosoftPhiladelphiaPublicSchoolsProject Listento/readthenewsreportontheMicrosoftFoundation'sprojecttointegratecomputingtechnology inPhiladelphia.Youcannditbyclickingonthelinkinthismodule. Isthisanexampleofacorporationcarryingoutitssocialresponsibilitytothesurroundingcommunity?. EvaluateMicrosoftgenerallyintermsofitssocialresponsibility. 5.6CaseAnalysisandPresentation:Machado 11 ComputerEthics CaseModuleTemplate:MachadoCase ByWilliamJ.Frey ModuleAbstract: Thismodule,designedfortheEACToolkitNSFSES0551779,willtesttheToolkitandConnexion's abilitytonetworkdierentonlineandoinesourcesforethicsacrossthecurriculum.Itconsistsoffourcomponentsdesignedtoprovidetoolsforanin-depthanalysisofthecasesfoundatwww.computingcases.org 12 ;italsomakessubstantialreferencestothedraftmanuscriptofatextbookincomputerethicsentitled 11 Thiscontentisavailableonlineat. 12 http://www.computingcases.org/

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180 CHAPTER5.BUSINESSETHICSCASESTUDIES GoodComputing:AVirtueApproachtoComputerEthicsundercontractwithJonesandBartlettPublishingCompany.ThisbookwillconsistofthecasesdisplayedatComputingCasesTherac-25,Machado, andHughesAircraftand7additionalcasesalldevelopedthroughNSFprojectsDUE-9972280andDUE 9980768. ModuleIntroduction: ThismoduleasdisplayedinConnexionspresentsthecaseabstractandtimelinebothtakenfromComputingCases.Itthenreferstothewebsitewherethefollowingcanbefoundbybrowsing: casenarrative, casehistory, ateachingintroductionwhichalsoprovidesausefuloverview, anethicalanalysisthatcanbeaccessedbyclickingontheappropriateconceptinthetabledisplayed clickingonsafetywillopenashortdocumentthatdiscussesthesafetyimplicationsofthecase aSocio-TechnicalAnalysiswhichspellsoutthedierentcomponentsofthecasessocio-technicalsystemsuchashardware,software,physicalsurroundings,people/groups/roles,procedures,laws,and data/datastructures. supportingdocumentssuchasthreeRFCsRequestforCommentsontheUnixngercommand,a proleofstudentsatUCI,andaninterviewwithAllenSchianofromtheUniversityofCaliforniaat Irvine'sOceofAcademicComputing. Thesematerialsallpostedatwww.computingcases.org 13 providethebackgroundinformationnecessaryfor adetailedandexhaustivecaseanalysis.Asuggestion:sinceyouwillbeworkingingroups,dividethese readingsamongyourgroupmembersandtakeadvantageofclasstimetoreporttooneanotheronthe contentsofthelinksyouhaveindividuallyexplored.Besuretotriangulatebyassigningmorethanone membertoeachlink.Thiswillhelptoidentifyandsolveproblemsininterpretation. Thecaseabstractandtimelineinthismoduleoutlinethecase.Thefollowingdecisionpointtakenfrom theMachadocasewillprovidethefocusforanin-depthcaseanalysis.Youwillrespondtothedecision-point byworkingthroughafourstagedecisionmakingprocedureinspiredbythestandardSoftwareDevelopment cycle: problemspecication, solutiongeneration, solutiontesting,and ::: solutionimplementation. ModuleActivities: 1.Instructorintroducesthecasebasedontheabstractandtimelinefoundatwww.computingcases.org 14 2.Studentsreadcaseabstract,timeline,casedecisionpoint,andcaseanalysisexercises. 3.StudentsdofurtherresearchintothecasebyconsultingComputingCasesmaterialswhichinclude narratives,histories,supportingdocuments,andethicalanalyses. 4.Studentscarryouttheactivitiesoutlinedintheaccompanyingcaseexercisesbyaspecifyingthe problemraisedinthedecisionpoint,bgeneratingsolutions,ctestingsolutionsusingethicstests,and ddevelopingplansforimplementingthesolutionoversituationalconstraints. 5.Studentspreparetheircaseanalysesworkinginsmallgroups. 6.Thesegroupspresenttheircompletedanalysistotheclassinacase-debriengsession. 7.Theinstructorconcludesbydiscussingtheproblem-solvingissuesandintermediatemoralconcepts raisedbythecase. MachadoAbstract: InSeptemberof1996,19year-oldRichardMachadosentemailto59Asianstudentsathispubliccollege, threateningthemwithphraseslikeIwillpersonallymakeitmylife'scareertohuntyoudownandkillyou 13 http://www.computingcases.org/ 14 http://www.computingcases.org/

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181 andsignedbyAsianHater.SeveraloftheseindividualsreportedthisincidenttotheOceofAcademic computingOAC.OneoftherecipientswasastudentemployeeoftheOAC.Theadministratorsofthe OACwerefacedwithadecisionabouthowtorespondtoharassingandthreateningemailsentovertheir systemtostudentsoftheirUniversity,usingtheirfacilities. MachadoTimeline 11/16/95 MachadosendsemailthreattoNewUniversitypaperUCIviahisroommate'scomputer.Theemail istracedtotheroommate'scomputer.Roommate latersaidMachadohadaccesstothecomputerMachadoidentiedassender. 11/21/95 WarrantforarrestisledagainstMachado,issued byIrvinePoliceDepartmentthewarrantisano bailfelonywarrant.Machadoconsentstoapropertysearch.CasegivenupshortlyafterMachado's roommatetooktheblamesohewouldn'tbebotheredanymore. Between1/1/96and9/20/96 Machado'solderbrothermurderedinarmedrobberypriortofollowingincident;Machadoisdoing poorlyinschool,gettingpressurefromfamilyto upholdhighexpectations. 9/20/96Friday,10:54am MachadosendshateAsians/threatemailtoabout 59UCIstudentsMachadosentmessageasecond timeshortlyafter,whenhedidnotreceiverepliesto therstemail.Incidentbroughttotheattentionof Assoc.DirectorofTheAcademicComputingCenter,byheremployees.MachadoidentiedincomputerlabandwasaskedtoleavebyCoreServices manager. 9/21/96 DirectorofOACreadsMachado'semailanddecides thatitisapolicematter. 9/24/96Monday TheincidentisreportedtoUniversityPoliceDepartmentAnocerisassignedtothecase. 9/26/96 RetrievalofsurveillancevideoconrmedMachado asthesender.IrvingCityPolicenotiedandinvolvedincase. continuedonnextpage

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182 CHAPTER5.BUSINESSETHICSCASESTUDIES 9/27/96 Registrar'socehelpspolicelocateMachado'saddressandphonenumber. 9/28/96 AnocerphonesMachado'sresidenceandleaves messageMachadocallsbackandagreestomeetwith anocerthatafternoonat5pm.Twochargesled aftermeeting:Machadoknowinglyandwithout permissionusescomputerservicesandmakes telephonecallswithintenttoannoy. 11/14/96 AstolenvehiclereportisledforMachado'ssecondroommate'scar.Machadohadtoldoneroommatehewasborrowinghisotherroommate's car.Machadodidnothavepermissiontoborrowcar. 11/18/96 FBIattemptsinvestigation.Anagentgoesto Machado'sresidence;Machadoisnotthereand hasn'tbeenseentheresince11/13.MachadoallegedlyleftwithYoung'skeyson11/14.Othersuspicions:$80missingfromroommate'scoinjar;$154 visachargestoroommate'scard,$54ofwhichwere unauthorized;callson11/10,11,and12. 11/21/96 FBIagentphonesMachado'sroommateforconrmationofstolencar/infoonMachado'sdisappearance. 11/22/96 Roommateinterviewed. 11/23/96 TammyMachadoMachado'ssisterinterviewed andsaidMachadohaddisappearedontheday hisbrothercalledhimtoinquireaboutMachado's nameappearinginnewspaperregardingAsianhate mails.Machadodeniedthereportsinthepaperto hisbrother;claimedittobesomeoneelse.Tammy isinformedthatcourtdateissetfor11/25andif Richarddoesn'tshow,theywouldissueawarrant forhisarrest. continuedonnextpage

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183 2/6/97 MachadoisarrestedwhenattemptingtoenterUS fromMexicocaughtbyUSImmigrationInspector.Machadoisreportedaslookinghomeless,havingnopossessions,lookingforconstructionworkin Mexico. 9/16/97 Machadoischargedwith10countsofinterfering withafederallyprotectedactivityinthiscase, studentsattendingauniversity.Machadoistoldhe willfaceupto10yearsifconvicted. 11/12/97 Trialtakesplaceandonthisdatearecessisgrantedwhennewinformationisuncovered/presented.Questionnaireswererevealedin which9ofthestudentswhogotthemessagessaid theywerenotovertlybotheredbyMachado'semail. 11/18/97 Jurydeadlocked9to3infavorofacquittal.Case saidtohavenationalimportancebyfederalprosecutors,soasecondtrialwassetfor1/27/98. 2/13/98 RichardMachadoisfoundguiltyon2countsof civilrightsviolations.Tookonly3weeksoftrial toreachverdict.Followingconviction,Machadois releasedona$10,000bondfromcustodybutis turnedovertoIrvinepoliceonimpendingautotheft charges.Sentencingispostponeduntil4/10/98.PossiblemaximumtimeMachadocouldservewouldbe 1yr.Machadohasalreadyspent1yr.injailawaitingtrials,tec.Machadoisrecommendedforanger &racialtolerancecounseling,notallowedonUCI campus,andprohibitedfromhavinganycontact withvictims. continuedonnextpage

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184 CHAPTER5.BUSINESSETHICSCASESTUDIES Table5.23 Scenario#1: YouareasystemsadministratorattheOceofAcademicComputingattheUniversityofCaliforniaat IrvineandhavebeenaskedtomodifytheUnixsystemtopreventthereoccurrenceoftheMachadoincident Scenario#2: YouareasystemsadministratorattheOceofAcademicComputingattheUniversityofCaliforniaat Irvineandhavebeenaskedtodevelopanorientationprogramforstudentswhowilluseuniversitycomputing laboratoriesandfacilities.SpecialemphasisisputonpreventingareoccurrenceoftheMachadoincident. 1.IdentifykeycomponentsoftheSTS Part/Level ofAnalysis Hardware Software Physical Surroundings People, Groups,& Roles Procedures Laws& Regulations Data &Data Structures Table5.24 2.Specifytheproblem: 2a.Istheproblemadisagreementonfacts?Whatarethefacts?Whatarecostandtimeconstraintson uncoveringandcommunicatingthesefacts? 2b.Istheproblemadisagreementonacriticalconcept?Whatistheconcept?Canagreementbereached byconsultinglegalorregulatoryinformationontheconcept?Forexample,iftheconceptinquestionis safety,candisputantsconsultengineeringcodes,legalprecedents,orethicalliteraturethathelpsprovide consensus?Candisputantsagreeonpositiveandnegativeparadigmcasessotheconceptdisagreementcan beresolvedthroughline-drawingmethods? 2c.UsethetabletoidentifyandlocatevalueconictswithintheSTS.Cantheproblembespecied asamismatchbetweenatechnologyandtheexistingSTS,amismatchwithintheSTSexacerbatedbythe introductionofthetechnology,orbyoverlookedresults? STS/Value Safetyfreedomfrom harm JusticeEquity &Access Privacy Property FreeSpeech Hardware/software PhysicalSurroundings continuedonnextpage

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185 People, Groups,& Roles Procedures Laws Data&Data Structures Table5.25 3.Developageneralsolutionstrategyandthenbrainstormspecicsolutions: Problem/SolutionStrategy Disagreement ValueConict Situational Constraints Factual Conceptual Integrate? Tradeo? Resource?Technical?Interest Table5.26 3a.Isproblemoneofintegratingvalues,resolvingdisagreements,orrespondingtosituationalconstraints? 3b.Iftheconictcomesfromavaluemismatch,thencanitbesolvedbymodifyingoneormoreofthe componentsoftheSTS?Whichone? 4.Testsolutions: Alternative /Test Reversibility Value:Justice Value:Responsibility Value:Respect Harm Code A#1 A#2 A#3 Table5.27 5.Implementsolutionoverfeasibilityconstraints Alternative Constraint Resource Interest Technical Time Cost Individual Organization Legal/Social Available Technology Manufacturability continuedonnextpage

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186 CHAPTER5.BUSINESSETHICSCASESTUDIES #1 #2 #3 Table5.28 MachadoSummary Thisisanunsupportedmediatype.Toview,pleasesee http://cnx.org/content/m13818/latest/Machado_F06.ppt Figure5.4: PowerPointFile.

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Chapter6 BusinessEthicsBowl 6.1PracticalandProfessionalEthicsBowlActivity:Follow-UpInDepthCaseAnalysis 1 6.1.1ModuleIntroduction Thismoduleprovidesstudentswithastructureforpreparinganin-depthcasestudyanalysisbasedon feedbacktheyhavereceivedthroughtheirparticipationinan EthicsBowl competitionaspartofthe requirementsforcoursesinPracticalandProfessionalEthicstaughtattheUniversityofPuertoRicoat Mayaguez.Studentsviewingthismodulewillndformatsforanalyzingdecisionmakingcasesandposition casessuchasthedecisionspublishedbytheNationalSocietyofProfessionalEngineers BoardofEthical Review .Theywillreceiveinformationpertinenttopreparingin-depthcaseanalyses,shortsummaries ofthecasepoolfortheEthicsBowlcompetition,andasummaryofproceduresforcarryingoutagroup self-evaluation.MoreinformationontheEngineeringEthicsBowlcarriedoutatUPRMcanbefoundin JoseACruz-Cruz,WilliamJ.Frey,andHalleyD.Sanchez,"TheEthicsBowlinEngineeringEthicsatthe UniversityofPuertoRico-Mayaguez"inTeachingEthics4:15-32. 6.1.2ChoosingYourCase 1.YoumustchooseoneofthetwocasesyoupresentedonintheEthicsBowl.Thismeansthecaseon whichyougaveyourinitialpresentation. 2.Youmaychooseeithertherstrounddecision-makingcaseortheNSPEBoardofEthicalReviewCase Howshouldyouchooseyourcase? 1.Whichcasedidyoundthemostinteresting,challenging,orfruitful? 2.Onwhichcasedidyoureceivethemostinterestingfeedbackfromtheotherteamandthejudges? 3.Doyouwanttomake,defend,andimplementadecisionoranalyzeaBERdecision? Onceyouchooseyourcase,youneedtoanalyzeitaccordingtothefollowingsteps: Decision-MakingCases 1 Thiscontentisavailableonlineat. 187

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188 CHAPTER6.BUSINESSETHICSBOWL Worksheets Decision-MakingCase Identifyandstatetheethicallyrelevantfacts STSTableTable+VerbalExplanation PrepareaSocio-TechnicalAnalysis.FillintheSTS tableseebelowandthenverballydescribeeach component. ValueTableTable+WrittenProblemStatement FilloutaValueTableseebelowUseittoidentify theethicalproblemorproblems.Summarizethis byprovidingaconciseproblemstatementthatis explicitlytiedtotheValueTable. BrainstormListsinitialandrenedlists 4.Brainstormsolutiontotheproblemorproblems. Besuretodiscusshowlistwasgeneratedandhowit wasrened.Describevalueintegrationandinterest negotiatingstrategiesused. SolutionEvaluationMatrixMatrix+VerbalExplanationandJustication 5.Compare,evaluate,andrankthesolutions 6.Choosethebestavailablesolution.ProvideajusticationsummarizingethicalandfeasibilityconsiderationshighlightedinSolutionEvaluationMatrix. FeasibilityMatrixMatrix+VerbalExplanation 7.Developaplanforimplementingyoursolution. Discussandjustifythisplanexplicitlyintermsof thespecicfeasibilityconsiderationsintheFeasibilityMatrix. Developanddiscusspreventivemeasuresifapplicable Table6.1 NSPE-BERCase Worksheets 1.Identifyandstatetheethicallyrelevantfacts StakeholdersMatrix+VerbalExplanation 2.Identifythestakeholdersandtheirstakes. ProblemClassicationMatrix+ConciseVerbal ProblemStatement 3.Identifytheethicalproblemorproblems 4.StatetheBERdecisionandsummarizetheir code-basedjusticationcitecodeprovisions,summarizeprinciples,andlistrelevantprecedents continuedonnextpage

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189 SolutionEvaluationMatrix+detailedverbalexplanationandjustication 5.EvaluatetheBERdecisionusingthethreeethics tests,codetest,andglobalfeasibilitytest. 6.Constructastrongcounter-positionandcounterargumenttotheBERdecision SolutionEvaluationMatrix+detailedverbalexplanationandjustication 7.Evaluatecounter-positionandcounter-argument usingthe3ethicstests,feasibilitytest,andcode test SolutionImplementationFeasibilityMatrix+VerbalExplanation 8.Evaluatecounter-positionandcounter-argument intermsofrelevantfeasibilityconsiderations.Provideamatrix/table+verbalexplanation. Table6.2 6.1.3In-DepthAnalysis:StepbyStep DescriptionofIn-DepthCaseAnalysis TitleofAssignment:"In-DepthCaseAnalysis DueDateforWrittenProjects:Oneweekafterthelastclassofthesemester. Whatisrequired? 1.Participationinattwoethicsbowlcompetitions. 2.EachgroupwillchoosefromthetwocasesitdebatedintheEthicsBowlacaseforamoreextended analysiscarryingouttheseven-stepdecisionmakingframework.Theywillprepareanextendedanalysisof thiscaseto20pages. 3.Eachgroupwillpreparesummariesofthe15casesassignedfortheethicsbowl.Thesesummaries aminimumofonepageforeachcasewillbehandedinwiththeextendedcasestudyanalysis.These summariesshouldincludeaproblemstatement,asolutionevaluationmatrix,andafeasibilitymatrix. 4.Eachnalsubmissionwillalsoincludeagroupself-evaluation.Thisevaluationwillinclude: _____alistofthegoalseachgroupsetforitself _____acareful,justiedanddocumentedassessmentofyoursuccessinreachingthesegoals _____acarefulassessmentofwhatyoudidanddidnotlearninthisactivity _____adiscussionofobstaclesyouencounteredandmeasuresyourgrouptooktoovercomethese. _____adiscussionofmemberparticipationandcontributionincludingthemembercontribution forms _____ingeneralwhatworkedandwhatdidn'tworkforyouandyourgroupinthisactivity 5.Agroupportfolioconsistingofthematerialspreparedbyyourgroupduringthegroupclassactivities: _____VirtueChartResponsibility _____GrayMattersSolutionEvaluationMatrix _____RightsChart:Free&InformedConsent _____GroupCodeofEthics StructureofWrittenAnalysis 1.Abriefsummaryofthecasefocusingontheethicallyrelevantfacts. 2.ASocio-TechnicalSystemTable+Shortparagraphoneachofthesevencategories. 3.AValueTable+ashortparagraphontheembeddedvaluesyouhaveidentiedandwheretheyoccurin theSTS.Thenstatewhetheryouhavefoundanyvaluemismatches,magniedexistingvalueconicts, andremote/harmfulconsequences.

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190 CHAPTER6.BUSINESSETHICSBOWL 4.OnthebasisofyourSTSanalysisandvalueconictanalysis,provideashort,conciseproblemstatement.MakesureyourtheproblemyouhaveidentiedisgroundedinyourSTSandvalueanalysis.If not,oneortheotherorbothneedstobechanged. 5.Abrainstormlistinwhichyourecordthesolutionsyourgrouphasdesignedtosolvetheproblem statedabove.Theroughunrenedlistshouldincludearound10solutions.Thenrenethislistinto three.Spendtimedetailinghowyoureachedyourrenedlist.Didyousynthesizeroughsolutions?On whatbasisdidyouleaveasolutionoutalltogether?Didyoundotherwaysofrelatingorcombining solutions?Spendtimedocumentingyourbrainstormingandreningprocess.Showindetailhowyou cameupwiththerenedlist. 6.Doacomparativeevaluationofthreeoftherenedsolutionsyoudevelopedinthepreviousstep.First, prepareasolutionevaluationmatrixthatsummarizesyourcomparativeevaluation.Usethetable providedbelow.Second,provideaverbalaccountofthesolutionevaluationandcomparisonprocess youpresentinthesolutionevaluationmatrix. 7.Reachanaldecision.Defendyourdecisionusingtheethicsandfeasibilitytests.Ifthedecision situationinwhichyouareworkingisadynamicone,thenpropposeaseriesofsolutionsthatyouwill pursuesimultaneously,includinghowyouwouldrespondtocontingenciesthatmightarise.Youcould expressthisintheformofadecisiontree. 8.FilloutaFeasibilityMatrix.Seematrixbelow 9.PresentanimplementationplanbasedonyourFeasibilityMatrix.Thisplanshouldlisttheobstacles thatmightariseandhowyouplantoovercomethem.Forexample,don'tjustsay,"Blowthewhistle." Discusswhen,how,where,towhom,andinwhatmanner.Howwouldyoudealwithreprisals?Would youractionseriouslydisruptinternalrelationsoftrustandloyalty?Howwouldyoudealwiththis? Workoutadetailedplantoimplementyourdecisionusingthefeasibilityconstraintsto"suggest" obstaclesandimpedements. 10.Finally,discusspreventivemeasuresyoucantaketopreventthistypeofproblemfromarisingagain inthefuture. Socio-TechnicalSystemTable Hardware Software Physical Surroundings People, Groups, Roles Procedures Laws, Statutes, Regulations Dataand DataStructures Table6.3 STSValueTable Hardware Software Physical Surroundings People, Groups, Roles Procedures Laws Data andData Structures continuedonnextpage

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191 Integrity Justice Respect Responsibility forSafety Free Speech Privacy Property Table6.4 SolutionEvaluationMatrix Solution/Test Reversibility orRights Harms/Benecence orNetUtility Virtue Value Code GlobalFeasibility Description Isthe solution reversible withstakeholders? Doesit honorbasic rights? Doesthe solution producethe bestbenet/harm ratio?Does thesolution maximize utility? Doesthe solution expressand integrate keyvirtues? Moralvaluesrealized? Moralvalues frustrated? Valueconictsresolvedor exacerbated? Doesthe solution violate anycode provisions? Whatare theresource, technical, andinterest constraints thatcould impede implementation? Bestsolution Bestalternate solution Worstsolution Table6.5 FeasibilityMatrix ResourceConstraints TechnicalConstraints InterestConstraints continuedonnextpage

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192 CHAPTER6.BUSINESSETHICSBOWL Time Cost Available materials, labor, etc Applicable technology Manufacturability Per-sonalities Organizational Legal Social, Political, Cultural Table6.6 6.1.4Format 1.Group,team-writtenprojectsaretobe10-20pagesinlength,doublespaced,withstandard1-inch margins,andtypewritten.Thisdoesnotincludedocumentation,appendices,andothernotes. 2.Itisessentialthatyoucarefullyandfullydocumenttheresourcesthatyouhaveconsulted.Themost directwaytodothisistoincludenumberedentriesinaconcludingsectionentitled,"WorksCited".These entriesshouldprovidecompletebibliographicalinformationaccordingtostandardformChicagoManualof StyleortheMLAManualofStyle.Theninsertthenumberoftheentryinparenthesisinthetextnextto thepassagethatisbasedonit.Example:"Theselfisarelationthatrelatesitselftoitsownself ::: ." Thenumber"4"referstotheforthiteminthe"WorksCited"sectionattheendofyourpaper. 3.Practicalnorm5joftheCIAPRcodeofethicssetsforththeobligationoftheprofessionalengineerto giveothersduecreditfortheirwork.Forthisreason,plagiarismwillnotbetoleratedinanyform.Possible formsofplagiarismincludebutarenotlimitedtothefollowing: Quotingdirectlyfromothersourceswithoutdocumentingfootnoteorbibliographyand/orwithout usingquotationmarks.Claimingthatthisisanappendixwillnotexcusethisaction.Claiming ignorancewillnotexcusethisaction. Usingtheideasorworkofotherswithoutgivingduecreditorproperacknowledgment."Properacknowledgment,inthiscontext,requiresastandardbibliographicalreferenceandtheuseofquotation marksifthematerialisbeingdirectlyquoted. Ifyourpaperreliesexclusivelyorprimarilyonextensivelyquotedmaterialsormaterialscloselyparaphrasedfromtheworkofothers,thenitwillnotbecreditedasyourworkevenifyoudocumentit.To makeityourown,youhavetosummarizeitinyourownwords,analyzeit,justifyit,orcriticizeit. YouwillnotbecreditedformaterialthatyoutranslatefromEnglishtoSpanishunlessyouaddtoit somethingsubstantialofyourown. Ingeneral,whatyouappropriatefromanothersourcemustbeproperlydigested,analyzed,andexpressedinyourownwords.Ifyouhaveanyquestionsonthis,pleaseaskme. Anyplagiarizeddocumentonewhichviolatestheaboveruleswillbegivenazero.Youwillbegiven achancetomakethisup,andthegradeonthemake-upprojectwillbeaveragedinwiththezerogiven totheplagiarizeddocument.Sincethisisagroupgrade,everyoneinthegroupwillbetreatedthe same,eventhoughtheplagiarizermaybeonlyoneperson.Eachmemberofthegroupisresponsible toassurethatothermembersdonotplagiarizeinthenameofthegroup.Sincetheduedatefor thewrittenprojectislateinthesemester,thiswillprobablyrequirethatIgivetheentiregroup,i.e., allmembers,anIncomplete.Eachmemberofthegroupwillbeheldindividuallyresponsibleinthe above-describedmannerforthenalcontentofthewrittenreport. 4.Thisisnotaresearchprojectbutanexerciseinintegratingethicsintorealworldcases.InChapters 2and3ofEngineeringEthics:ConceptsandCases,theauthorspresentathoroughdiscussionofthecase studyanalysis/problemsolvingmethoddiscussedinclass.Youalsohavesupportinghandoutsinyourle foldersfromMagicCopyCenteraswellasmaterialsIhavepresenteddirectlyinclass.EngineeringEthics: ConceptsandCasesalsocontainsseveralsamplecasestudiesthatcanhelpguideyouinconstructingyour ownpresentation.WhatIamlookingforisadiscussionofthecaseintermsoftheethicalapproachesand decision-makingframeworkswehavediscussedthissemester.Youdonotneedto"wow"mewithresearch

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193 intootherareasperipherallyrelatedtothecase;youneedtoshowmethatyouhavepracticeddecision-making andmadeaseriouseorttointegrateethicalconsiderationsintothepracticeofengineering. 5.TheusualcriteriaconcerningformalpresentationsapplywhencompetingintheEthicsBowl.Dress professionally. 6.Youmaywriteyourgroup,team-writtenprojectineitherSpanishorEnglish. 7.Allcompetitionswilltakeplaceintheregularclassroom. 6.1.5MediaFilesBeginningSpring2007 Thesemedialesprovideinformationontheethicsbowlandthefollow-upactivitiesincludingindividual decisionpointsummaries,in-depthcaseanalysis,andgroupself-evaluation.Theyhavebeenintegratedinto theBusinessEthicscourseduringtheSpringsemester,2008andwillapplyfromthisdateonintothefuture. TeamMemberEvaluationForm Thismediaobjectisadownloadablele.Pleaseviewordownloaditat Figure6.1: Thislecontainstheteammemberratingsheetwhicheachgroupmembermustllout andturninwithhisorhergroupproject. FinalProjectandGroupSelf-EvaluationRubrics Thismediaobjectisadownloadablele.Pleaseviewordownloaditat Figure6.2: Thisrubricwillbeusedtogradethein-depthcaseanalysis,thegroupself-evaluation,and theEthicsBowlcasesummaries. BasicMoralConceptsforEthicsBowl Thismediaobjectisadownloadablele.Pleaseviewordownloaditat Figure6.3: Clickingonthisgurewilldownloadthebasicmoralconceptsthatyouwillbeintegrating intotheethicsbowlandyournalin-depthcaseanalysis.Youwillbeaskedtoshowhowyouworkedto integratetheseconceptsinyourgroupself-evaluation.

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194 CHAPTER6.BUSINESSETHICSBOWL IntermediateMoralConceptsforEthicsBowl Thismediaobjectisadownloadablele.Pleaseviewordownloaditat Figure6.4: Clickingonthisfuturewillopenatablethatsummarizestheintermediatemoralconcepts thatareatplayinthefourcasesthatarebeingusedintheEthicsBowl:Hughes,Therac,Toysmart, andBiomatrix. EthicsBowlCasesforADMI4016:EnvironmentoftheOrganization [MediaObject] 2 6.1.6CheckList BreakdownofProjectGrade: GroupTeam-WrittenProject:200points,groupgrade. Thisisyourgroup'sin-depthcaseanalysis Itwillanalyzethedecisionscenarioyourgrouppresentedonintheethicsbowl Yourtaskistogiveafullandcomprehensiveanalysisofadecisionpointusingthetablespresented above,accompanyingverbaldescriptions,andcarryingoutthefour-stageproblem-solvingframeworkof specifyingtheproblem,generatingsolutions,testingsolutionsintermsoftheirethics,andimplementing thesesolutions. NotaBene AftertheEthicsBowl,Iwillprovidetheclasswithgeneralfeedbackandpresentationsonhowto preparethenalproject.Whenyousubmityournalreport,Iwillbelookingforhowyouresponded tomycommentsandsuggestionsandtothecommentsandsuggestionsofthejudgesandtheclass. AttendanceismandatoryforallEthicsBowlcompetitions.Thisisimportantbecauseyouwillhelp oneanotherbythecommentsanddiscussionsthataregeneratedbythepresentations.Students notcompetingneedtolistenactivelyandrespectfullytothepresentinggroup.Keepinmindthe twinstandardsofrespectandprofessionalism.Iwilldeductpointsfromthegradesofgroupsand/or individualswhodonotlistencourteouslytothepresentationsofothersorwhodonotattendclass duringthepresentationcycle. NotaBene: CheckList Eachgroupwillturninthischecklist,fullylledoutandsigned.Checkingsigniesthat yourgrouphascompletedandturnedintheitemchecked.Failuretosubmitthisform willcostyourgroup20points ____Onepagesummariesofthe10EthicsBowldecisionpointstakenfromtheTherac-25,Biomatrix, Toysmart,andHughescases. ____Group,in-depthanalysisofthecaseyourteampresentedonintheEthicsBowl. ____ListofEthicallyRelevantFacts ____Socio-TechnicalSystemTable+VerbalExplanation 2 Thismediaobjectisadownloadablele.Pleaseviewordownloaditat

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195 ____ValueTable+ProblemStatement+Justication ____ListofBrainstormedSolutions+DescriptinofReningProcess+Renedlist ____SolutionEvaluationMatrix+VerbalComparisonofThreeAlternativesfromrenedsolution list ____ChosenSolution+VerbalJustication ____FeasibilityMatrix+SolutionImplementationPlanconcretelydescribedandbasedonfeasibility matrix ____PreventiveMeasuresifapplicable MaterialsRequiredfromEthicsBowl _____EthicsBowlScoreSheets _____Thedecisionpointyourteam presented oninthecompetition _____Thedecisionpointyourteam commented oninthecompetition ____GroupSelf-EvaluationFormincluding... ____alistofthegoalsyourgroupsetforitself ____acarefullyprepared,justied,anddocumentedassessmentofyourgroup'ssuccessinreaching thesegoals ____acarefulassessmentofwhatyoudidanddidnotlearninthisactivity ____adiscussionofobstaclesyouencounteredandthemeasuresyourgrouptooktoovercomethese ____adiscussionofmemberparticipationandcontributionincludingthemembercontriutionforms ____ageneraldiscussionofwhatworkedandwhatdidnotworkforyouandyourgroupinthis activity _____EachmemberwillturninalledoutTeamMemberEvaluationForm.Thisformcanbeaccessed throughthemedialelistedabove.ItissuggestedthatyoudothisanonomouslybyturninginyourTeam MemberEvaluationForminasealedenvelopwiththerestofthesematerials.Youaretoevaluateyourself alongwithyourteammatesonthecriteriamentionedintheform.Usethescalesuggestedintheform. GroupPortfoliosInclude... _____VirtueTablesincludingthemoralexemplarproleyourgrouppreparedandpresented. _____Thejusticationusingtherightsframeworkoftherightassignedtoyourgroup.Thiswasone oftherightsassertedbyengineersagainsttheircorporateemployers. _____AonepagesummaryofhowyoudevelopedyourroleintheIncidentatMorales "Vista Publica." _____ThecodeorstatementofvaluessummarypreparedbyyourgroupasapartofthePirate CodeofEthicsmodule.Thissummaryfocusedononeofsixorganizations:EastTexasCancerCenter, Biomatrix,Toysmart,HughesAircraft,CIAPR,orAECLintheTheraccase. Copy-pastethischecklist,examinetheassembledmaterialspreparedbyyourgroup,andchecktheitems yourgrouphascompleted.Thenread,copy-paste,andsignthefollowingpledge. GroupPledge Icertifythatthesematerialshavebeenpreparedbythosewhohavesignedbelow,and nooneelse.Icertifythattheaboveitemshavebeencheckedandthatthoseitemswith checkmarksindicatematerialsthatwehaveturnedin.Ialsocertifythatwehavenot plagiarizedanymaterialbuthavegivendueacknowledgmenttoallsourcesused.Allwho signbelowandwhosenamesareincludedonthetitlepageofthisreporthaveparticipated fullyinthepreparationofthisprojectandareequallyandfullyresponsibleforitsresults. Membersignaturehere__________________________ Membersignaturehere__________________________

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196 CHAPTER6.BUSINESSETHICSBOWL Membersignaturehere__________________________ Membersignaturehere__________________________ Membersignaturehere__________________________ Membersignaturehere__________________________ 6.2EthicsBowl:CasesandScoreSheets 3 6.2.1ModuleIntroduction ThismoduleisdesignedtogiveyouabrieforientationintheEthicsBowlcompetition.Itisdesignedto complimentandcompleteothermodulesconcerningtheethicsbowlthatyouwillndintheCorporate Governancecourse. 6.2.2EthicsBowlRulesbriey Themoderatorwillbeginthecompetitionbyippingacointodeterminewhichteamwillpresentrst. Iftheteamthatcallswinsthetoss,theychoosewhethertheyortheotherteamgorst. Monday:Team1willhaveoneminutetoconsultandsevenminutestogiveitsinitialpresentation. Thepresentationmustbetiedtothequestion/taskgiventoitbythemoderator.Team2hasa minutetoconsultandsevenminutestomakeitsCommentaryonTeam1'spresentation.Team2can closeitscommentarybyposingaquestiontoTeam1.Team1thenhasaminutetoconsultand veminutestorespondtoTeam2'sCommentary.Team1willthenanswerquestionsposedbythe twopeerreviewteams.Eachpeerreviewteamwillaskaquestion.Aquickfollow-upisallowed.The peerreviewquestionandanswersessionwillgofor15minutes.Thepeerreviewteamswillscore thersthalfofthecompetitionbutnotannouncetheresults. Wednesday:ThesameprocedurewilloccurwhilereversingtherolesbetweenTeams1and2.Thus, team2willpresent,team1comment,team2respond,andthenteam2willanswerquestionsfromthe peerreviewpanels.Thepeerreviewpanelswilladdthescoresforthesecondpartofthecompetition butwillholdoonannouncingtheresultsuntilFriday'sclass. Friday:Thetwopeerreviewteamswillpresentandexplaintheirscores.PeerReviewteamswilltake note:you'reobjectiveisnottocriticizeorevaluatethedebatingteamsbuttoprovidethemfeedback intermsofthefourcategories. Debatingteamsmaytrademinutesfromconsultingtopresenting.Forexample,Team1maydecideto taketwominutestoconsultwhengiventheircaseandtask.Thismeansthattheywillhave6minutes, insteadof7,topresent. NotaBene:DebatingteamsandPeerReviewteamsarenotallowedtobringnotesintothecompetition. Youwillbeprovidedwithpapertotakenotesoncethecompetitionstarts. EventhoughthenationalEthicsBowlcompetitionallowsonlyonepresenter,debatingteamswillbe allowedto"passthebaton."Whenonepersonnishesspeaking,anothercanstepinhisorherplace. Itisabsolutelyforbiddenthatmorethanonepersonspeakatatime.Also,thecompetingteam's speakingtimeislimitedtoitscommentary.Oncethatisover,theyareinstructedtoquitelylisten. Infractionswillbefollowedrstbyawarning.Secondinfractionswillresultinpointsbeingtaken away. 6.2.3CompetitionTimeLine 1.Team1Presentation:Oneminutetoconsult,sevenminutestopresent. 2.Team2Commentary:Oneminutetoconsult,sevenminutestopresent. 3.Team1ResponsetoCommentary:Oneminutetoconsult,veminutestorespond. 3 Thiscontentisavailableonlineat.

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197 4.ThequestionandanswersessionbetweenTeam1andthePeerReviewteamswilllast15minutes runningclock.Therstpeerreviewteamwillhave7minutes30secondsforitsquestionsandthe secondwillhaveroughlythesametime. 5.Inthesecondround,thetimelineisthesamewhilethedebatingteamschangeroles. 6.2.4AdvicetoDebatingTeams Telluswhatyouaregoingtodo,doit,andthentelluswhatyouhavedone.Inotherwords,startyour presentationwithasummary,thenlaunchintothemainbodyofyourpresentation,andthenconclude withanothersummary.Thiswillhelpthelisteningaudienceunderstandwhatyouaretryingtodo. Beprofessional,formal,andcourteous.Addressyourselftotheotherteamandthepeerreviewteam. Itisagoodideatostandwhenyouaregivingyourinitialpresentation. Besuretocommunicateyourunderstandingofthescoringcriteria.Whatdoyouandyourteam understandbyintelligibility,ethicalintegration,feasibility,andmoralimagination/creativity?Take timetolistentotheotherteamandthepeerreviewteamstogaininsightsintotheirunderstanding. Duringthecommentaryandthequestionandanswersessionyouwillgetcrucialcluesintowhatothers thinkyouhaveachievedandwhereyouneedfurtherwork.Usethisfeedback. Besuretothankthepeerreviewteams,moderators,andyouropponentsduringandafterthecompetition.Suchformalitiesmakeitpossibletopenetratetothedeeperpracticesthatunderliethevirtue ofreasonableness. Relaxandhavefun!Youmaynothavetheopportunitytosayeverythingyouwanttosay.Oneofthe purposesbehindthiscompetitionistohelpyouseejusthowharditistoadvocateforethicalpositions. Wealmostalwayshavetodosounderseriousconstraintssuchastimelimits.Also,rememberthat youhaveotherforumsfor"gettingitsaid,"namely,yourgroupselfevaluationandyourin-depth caseanalysis.Intheseplacesyouwillbeabletodiscusstheseissuesinthekindofdepthyouthink necessary. 6.2.5AdvicetothePeerReviewTeamsonScoring Rememberthatallthreescoringeventsofthecompetitionareworth20points.Theinitialpresentation, theresponsetothecommentaryandquestions,andthecommentaryontheotherteam'spresentation allcountforthesame20points. Althoughyouhavethecompleterubriconlyfortheinitialpresentation,youwillscoretheotherparts ofthepresentationbasedonthefourcriteria:intelligibility,ethicalintegration,feasibilityandmoral imagination/creativity.Youwillscore1to5oneachcriteriaforatotalof20. Threeisthemiddleoftheroadscore.Inotherwords,threeisagood,averagescore.ItisnotaCdon't thinkofscoringasgrading.Starteachteamofromadefaultofthree.Thenmoveothatdefault onlywhensomethingexceptionallygoodornotsogoodhappens.Ifyourscoresdeviatemuchfrom straighttwelves,thenyouarescoringtoohighortoolow. 6.2.6EthicsBowlScoringCriteria 1. Intelligibility includesthreeskillsorabilities:theabilitytoconstructandcomparemultiple argumentsrepresentingmultipleviewpoints;theabilitytoconstructargumentsandprovidereasons thatareclear,coherent,andfactuallycorrect;evidenceofrealizingthevirtueofreasonablenessby formulatingandpresentingvalueintegrativesolutions? 2. IntegratingEthicalConcerns includesthreeskills:presentingpositionsthatareclearlyreversiblebetweenstakeholders;identifyingandweighingkeyconsequencesofpositionsconsidered; developingpositionsthatintegratevalueslikeintegrity,responsibility,reasonableness,honesty, humility,andjustice.

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198 CHAPTER6.BUSINESSETHICSBOWL 3. Feasibility impliesthatthepositionstakenandtheargumentsformulateddemonstratefullrecognition andintegrationofinterest,resource,andtechnicalconstraints.Whilesolutionsaredesignedwith constraintsinmind,thesedonotservetotrumpethicalconsiderations. 4. MoralImaginationandCreativity demonstratefourskillsets:abilitytoclearlyformulateand frameethicalissuesandproblems;abilitytoprovidemultipleframingsofagivensituation; abilitytoidentifyandintegrateconictingstakeholdersandstakes;abilitytogeneratesolutions andpositionsthatarenon-obvious,i.e.,gobeyondwhatisgiveninthesituation. 6.2.7PeerReviewTeamResponsibilities AttendthedebatesessionsandthefeedbacksessiononFridayafterthecompetition.Rememberthis isthecapstoneeventofthecourse.Itlooksbadifyoudonotbothertoattend. Youteamwillaskquestionsduringthedebate.Thiswillconstitute,ataminimum,onequestionanda quickfollowupifnecessary.Youarenottodebatewiththepresentingteam.Soyourquestionsshould notbedesignedtotrapthem.Rather,seekthroughyourquestionstoexploreseemingweakpoints, unclearstatements,andincompletethoughts.Useyourquestionstohelpyoulineupthedebating teamagainstthefourcriteria. Filloutthescoresheetandassessthedebatingteamsintermsofintelligibility,integratingethics, feasibilityandmoralimagination/creativity. Lead,withtheotherPeerReviewteam,thefeedbacksessions.Thisrequiresthatyouprepareashort, informalpresentationthatshowsyourscoringandthenexplainsit. Always,always,alwaysbecourteousinyourfeedbackcomments.Trytopresentthingspositivelyand proactively.Thisisdicultbutpracticenowwillserveyouwelllaterwhenyouaretryingtoexplaibn toasupervisorhowheorshehasmadeamistake. 6.2.8MediaFileswithCasesandScoreSheets EngineeringEthicsBowl Thisisanunsupportedmediatype.Toview,pleasesee http://cnx.org/content/m13852/latest/Revised_ScoreSheet_T1_V2.doc Figure6.5: ScoreSheetTeamOne.

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199 EngineeringEthicsBowl Thisisanunsupportedmediatype.Toview,pleasesee http://cnx.org/content/m13852/latest/Revised_ScoreSheet_T2_V2.doc Figure6.6: ScoreSheetTeamTwo. EthicsBowlCases Thisisanunsupportedmediatype.Toview,pleaseseehttp://cnx.org/content/m13852/latest/Ethics BowlCasesforSpring2007.doc Figure6.7: Clickheretoopenthewordlecontainingthe12EthicsBowlclassesforBusinessEthics Apring2007. EthicsBowlCasesforFall2007 Thisisanunsupportedmediatype.Toview,pleaseseehttp://cnx.org/content/m13852/latest/EB_ Fall07_W97.doc Figure6.8: ThesearethecasesfortheEthicsBowlCompetitionfortheFallSemesterintheyear2007. ThesescenariosordecisionpointsaretakenfromIncidentatMorales,HughesAircraftCase,Biomatrix Case,andToysmartCase.

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200 CHAPTER6.BUSINESSETHICSBOWL DebriengforEthicsBowl,RoundTwo Thisisanunsupportedmediatype.Toview,pleasesee http://cnx.org/content/m13852/latest/Debrieng_Round_2.ppt Figure6.9: ThispresentationwasgivenFriday,April27totheEthicsBowlteamsthatdebatedonthe Therac-25caseandtheInkjetcase.

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Chapter7 CourseProcedures 7.1RubricsforExamsandGroupProjectsinEthics 1 ModuleIntroduction Thismoduleprovidesarangeofassessmentrubricsusedinclassesonengineeringandcomputerethics. Rubricswillhelpyouunderstandthestandardsthatwillbeusedtoassessyourwritinginessayexamsand groupprojects.Theyalsohelpyourinstructorstayfocusedonthesamesetofstandardswhenassessingthe workoftheclass.Eachrubricdescribeswhatcountsasexceptionalwriting,writingthatmeetsexpectations, andwritingthatfallsshortofexpectationsinaseriesofexplicitways.Themidtermrubricsbreakthis downforeachquestion.Thenalprojectrubricsdescribethemajorpartsoftheassignmentandthenbreak downeachpartaccordingtoexceptional,adequate,andlessthanadequate.Theserubricswillhelpyouto understandwhatisexpectedofyouasyoucarryouttheassignment,provideausefulstudyguideforthe activity,andfamiliarizeyouwithhowyourinstructorhasassessedyourwork. BusinessEthicsCourseSyllabus Thisisanunsupportedmediatype.Toview,pleaseseehttp://cnx.org/content/m14059/latest/Business EthicsSpring2007.doc Figure7.1: CourseRequirements,Timeline,andLinks 1 Thiscontentisavailableonlineat. 201

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202 CHAPTER7.COURSEPROCEDURES BusinessEthicsSyllabus,Spring2008 Thisisanunsupportedmediatype.Toview,pleasesee http://cnx.org/content/m14059/latest/Syllabus_S08_W97.doc Figure7.2: Thisgurecontainsthecoursesyllabusforbusinessethicsforspringsemester2008. BusinessEthicsSyllabusPresentation Thisisanunsupportedmediatype.Toview,pleasesee http://cnx.org/content/m14059/latest/BE_Intro_F07.ppt Figure7.3: ClickingonthisgurewillopenthepresentationgivenontherstdayofclassinBusiness Ethics,Fall2007.Itsummarizesthecourseobjectives,gradingevents,andalsoprovidesaPowerPoint slideoftheCollegeofBusinessAdministration'sStatementofValues. EthicalTheoryRubric Thisrstrubricassessesessaysthatseektointegrateethicaltheoryintoproblemsolving.Itlooksata rightsbasedapproachconsistentwithdeontology,aconsequentialistapproachconsistentwithutilitarianism, andvirtueethics.Theoverallcontextisaquestionpresentingadecisionscenariofollowedbypossible solutions.Thepointoftheessayistoevaluateasolutionintermsofagivenethicaltheory. EthicalTheoryIntegrationRubric Thisisanunsupportedmediatype.Toview,pleasesee http://cnx.org/content/m14059/latest/EE_Midterm_S05_Rubric.doc Figure7.4: Thisrubricbreaksdowntheassessmentofanessaydesignedtointegratetheethicaltheories ofdeontology,utilitarianism,andvirtueintoadecision-makingscenario. Thisnextrubricassessessaysthatintegrateethicalconsiderationsintodecisionmakingbymeansofthree tests,reversibility,harm/benecence,andpublicidentication.Thetestscanbeusedasguidesindesigning

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203 ethicalsolutionsortheycanbeusedtoevaluatedecisionalternativestotheproblemraisedinanethicscase orscenario.Eachtheorypartiallyencapsulatesanethicalapproach:reversibilityencapsulatesdeontology, harm/benecenceutilitarianism,andpublicidenticationvirtueethics.Therubricprovidesstudentswith pitfallsassociatedwithusingeachtestandalsoassessestheirsetupofthetest,i.e.,howwelltheybuilda contextforanalysis. IntegratingEthicsintoDecision-MakingthroughEthicsTests Thisisanunsupportedmediatype.Toview,pleasesee http://cnx.org/content/m14059/latest/CE_Rubric_S06.doc Figure7.5: AttachedisarubricinMSWordthatassessesessaysthatseektointegrateethicalconsiderationsintodecision-makingbymeansoftheethicstestsofreversibility,harm/benecence,andpublic identication. StudentteamsinEngineeringEthicsatUPRMcompeteintwoEthicsBowlswheretheyarerequired tomakeadecisionordefendanethicalstanceevokedbyacasestudy.FollowingtheEthicsBowl,each groupisresponsibleforpreparinganin-depthcaseanalysisononeofthetwocasestheydebatedinthe competition.Thefollowingrubricidentiestencomponentsofthisassignment,assignspointstoeach,and providesfeedbackonwhatislessthanadequate,adequate,andexceptional.Thisrubrichasbeenusedfor severalyearstoevaluatethesegroupprojects In-DepthCaseAnalysisRubric Thisisanunsupportedmediatype.Toview,pleasesee http://cnx.org/content/m14059/latest/EE_FinalRubric_S06.doc Figure7.6: Thisrubricwillbeusedtoassessanal,groupwritten,in-depthcaseanalysis.Itincludes thethreeframeworksreferencedinthesupplementallinkprovidedabove. ThisrubricprovidesassessmentcriteriafortheGoodComputingReportactivitythatisbasedonthe SocialImpactStatementAnalysisdescribedbyChuckHuatwww.computingcases.org.SeelinkStudents takeamajorcomputingsystem,constructthesocio-technicalsystemwhichformsitscontext,andlookfor potentialproblemsthatstemfromvaluemismatchesbetweenthecomputingsystemanditssurrounding socio-technicalcontext.Therubriccharacterizeslessthanadequate,adequate,andexceptionalstudent GoodComputingReports.

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204 CHAPTER7.COURSEPROCEDURES GoodComputingReportRubric Thisisanunsupportedmediatype.Toview,pleasesee http://cnx.org/content/m14059/latest/CE_FinalRubric_S06.doc Figure7.7: ThisgureprovidestherubricusedtoassessGoodComputingReportsinComputerEthics classes. ComputingCasesprovidesadescriptionofaSocialImpactStatementreportthatiscloselyrelatedtothe GoodComputingReport.ValuematerialcanbeaccessedbylookingatthecomponentsofaSocio-Technical SystemandhowtoconstructaSocio-TechnicalSystemAnalysis. 2 BusinessEthicsMidtermRubricSpring2008 Thisisanunsupportedmediatype.Toview,pleaseseehttp://cnx.org/content/m14059/latest/Midterm RubricSpring2008.doc Figure7.8: Clickingonthislinkwillopentherubricforthebusinessethicsmidtermexamforspring 2008. 7.2IntegratingtheValuesofResponsibilityandHonestyIntoClass AttendanceModule 3 7.2.1ModuleIntroduction ClassAbsenceModule ModuleIntroduction Accordingtothecoursesyllabus,Classattendanceiscompulsory.TheUniversityofPuertoRico, Mayag u ezCampus,reservestherighttodealatanytimewithindividualcasesofnon-attendance.Professors areexpectedtorecordtheabsencesoftheirstudents.Frequentabsencesaectthenalgradeandmayeven resultintotallossofcredits.Arrangingtomakeupworkmissedbecauseoflegitimateclassabsenceisthe responsibilityofthestudent.BulletinofInformationUndergraduateStudies,pp391995/6. InthisclassComputerandEngineeringEthicsstudentscanmissthreeclasseswithoutlosingpoints. Afterthis,eachfurtherabsencewillresultinfourpointsbeingsubtractedfromthestudent'ssemester pointtotal.Thismoduledoesnotinanywayaecttheuniversitypolicyorthissyllabuspolicy;both 2 http://www.computingcases.org 3 Thiscontentisavailableonlineat.

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205 standasstatedabove.However,aboveandbeyondUniversityandsyllabuspolicy,thismoduleusesclass attendanceastheoccasiontoreectuponandrealizetwoimportantethicalvalues,responsibilityand honesty.Studentswillprintandllouttheformgivenbelowandturnitintotheclassinstructorupon eachabsence.Emphasisunderresponsibilitywillbeonmissingclassonlyformorallylegitimatepurposes andonthestudent'sdemonstratingaresponsibleattitudefortheclassmissedbydevelopingacorrective actionplan.Underhonesty,thestudentwillmakeanarmationthatthereasonsprovidedare,inreality, thereasonsunderlyingtheabsence.Honestywillalsocomeintoplayasthestudentcommitstoattending classinthefuture. 7.2.2ExerciseOne UnderstandingMorallyLegitimateExcuses Thetablebelowlistscharacteristicsofwhatethicistscall"capacityresponsibility."Theseconditions presentedbyF.H.Bradleydescribewhenwecanassociateanagentwithanactionforthepurposes ofmoralevaluation.Theyconsistofself-sameness,moralsense,andownership.Onlythe lastappliesinthecaseofabsences.Hereexcusesarisefromcompulsionorignorance.Conicting obligations,compellingcircumstances,andignoranceserveasthebasisofmorallylegitimateexcuses. Thetableabovecorrelatesgeneralexcuseswiththeconditionsofcapacityresponsibilitythattheydeny. Forexample,sinceyouarenotmorallyresponsibleforactionsperformedundercompulsion,andyour carbreakingdownontheroadiscompulsion,thenyouarenotmorallyresponsibleformissingclass whenyourcarbreaksdown. Butyouareresponsibleforfallingundercompulsionorignoranceifthesepresentstateshaveresulted fromyourpastnegligence.Aristotle,forexample,allowsforexcusingactionsperformedoutofcompulsionandbecauseofcompulsion.Butactionsperformedoutofcompulsionbutduetopastnegligence fallundertheumbrellaofresponsibility.Soifyourcarbrokedownbecauseyoufailedtocheckitfor foreseeablemechanicalfailure,thentheuntowardactionisduetoyournegligence,nottocircumstances beyondyourcontrol. RetroactiveResponsibilityTable RetroactiveResponsibility Excuse ExcuseStatementSomeExamples 1.Conictswithinaroleresponsibilityandbetweendierentrole responsibilities. Ihaveaspecialprojectdueinanotherclassandnishingitconictswithattendingyourclass. 2.Overlydeterminingsituational constraints:conictinginterests. Iaminterviewingforaposition afterIgraduate,andImustbe otheislandforafewdays. 3.Overlydeterminingsituational constraints:resourceconstraints Mycarhadaattire.My babysittercouldn'tcomesoIhad tostayhomewithmychild.My alarmclockdidn'tgoobecause ofapoweroutage. continuedonnextpage

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206 CHAPTER7.COURSEPROCEDURES 4.Knowledgelimitations Classwasrescheduled,andIwas unawareofthechange. 5.Knowledgelimitations Ididn'tknowtheassignmentfor classsoIcamunprepared.Not anexcuseformissingclass Table7.1 Exercise1:ProvideaMorallyJustiableExcuseforMissingClass Oeranhonestandresponsibleethicalassessmentofthereasonyouwereunabletocarryoutyour roleresponsibilityforcomingtoclass.Notethatthedefaulthereisattendingclassandanydeparture fromthedefaulti.e.,missingclassrequiresamoraljustication. Beginbyexaminingwhetheryouractioncanbeclassiedasanexcusearisingoutofcompulsionor ignorance. Yourabsencemaynotbemorallyexcusable.Inthiscase,youcannot excuse yourabsencebutstill must explain it. Rememberthat,followingAristotle,youmustshowthatyouractionwasdoneunderandbecauseof compulsionorunderandbecauseofignorance.Inotherwords,youmustshowthatitdidnotarise frompastnegligenceorrecklessness. 7.2.3Proactive/ProspectiveResponsibility Inthisclass,itisnotenoughtooeramoralexcusetoget"othehook"foryourabsence.Expressing remorse,guilt,andregrethelpyoutodisassociateyourselffrommoralharmsorwrongs.Butitisalso necessarytotakemeasurestopreventtheproblemfromreoccurringinthefuture. Thiscanbeputevenmoreforcefully.Accordingtothe"PrincipleofResponsiveAdjustment"orPRA, failuretotakemeasurestopreventpastexcusablewrongsfromreoccuringleadsustoreevaluatethese pastactionsasnolongerexcusablebutculpable.Showinganunwillingnessto"learnfromthepast" revealspastnegligenceorrecklessnessasifnotintendedatleastnotunintended.SeePeterA.French, CorporateandCollectiveResponsibility Responsibilityasavirtueoriginatesintheprojectofconvertingourmoralweaknessesintostrengths. Ifpastwrongsoccurredbecauseofcompulsion,futurepreventionrequiresextendingcontrolandpower. Ifpastwrongsoccurredbecauseofignorance,futurepreventionrequiresextendingandmaintaining necessaryknowledge. Thetablebelowdescribesthecharacteristicsofapreventivestancewherewebeginbyidentifying potentialwrongsandharms.Onceweidentifythesethenwetakeseriousmeasurestopreventthem fromoccurring. Finally,responsibilityasavirtueopensupthehorizonoftheexemplary.Pursuingexcellencerequires ouridentifyingopportunitiestogobeyondpreventingharmtorealizingvalue. Yourjobhereistogobeyondattendingclasstooutliningandrealizingexemplaryparticipation.Think ofwhatthisentails,rstwithinyourgroup,andthenwithintheclassasawhole.

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207 ResponsibilityasaVirtueorProactiveResponsibility Characteristic ProactiveResponse Diuseblameavoidance strategies Avoidtryingtodiuse theblameformissing classonsomeotherpersonorsituation.Forexample,Icouldn'tcome toclassbecauseIhad aprojectdueinanotherclassisnota morallylegitimateexcusebecauseitplaces theblameontheother class.Youhavenot takenresponsibilityfor yourabsence. Designresponsibilitieswithoverlapping domains Ifyoufailtoparticipateinagroupactivity,describethegroup's PlanB,i.e.,howthey workedaroundyourabsence. Extendthescopeand depthofknowledge. Describehowyoufound outwhatwascoveredin classanddocumenthow youhavelearnedthis material Extendpowerandcontrol Describethemeasures youhavetakentoeliminatetheresponsibility gapbetweenyouand yourworkgroup.For example,howdidyou makeupfornotparticipatingintheactivityheldintheclassyou missed. Adoptaproactiveproblemsolving/preventive approachforthefuture Describewhatmeasures youhavetakentoavoid missingclassesinthefuture. Table7.2 Exercise2:GettingProactiveaboutyourabsence Developaplanfor"gettingbackintotheloop."Whatareyougoingtodotocoverthematerialand activitiesyouhavemissed? GetPreventive.Describewhatyouaregoingtodonowtoavoidabsencesinthefuture. Shootfortheideal.Whatcanyoudoaboveandbeyondclassattendancetorealizeexemplaryparticipationinyourethicsclass.

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208 CHAPTER7.COURSEPROCEDURES 7.2.4Conclusion Exercise#3:GettingandStayingHonest Belowisatemplatethatyouneedtoduplicate,llout,andplaceintheclassattendancelethatwill beonthedeskinfrontofclass. Duplicateandsignthehonestypledgeattheendofthismodule. Studentsoftenwishtoprovideevidencedocumentingtheirclaimsregardingtheirabsences.Youmay dothis,butrememberthatthisisneitherrequirednorinthespiritofprospectiveresponsibility. Furthermore,beawarethatyouarenottoprovidecondentialinformationsuchaspersonalhealth informationorstudentidnumbersorsocialsecuritynumbers.Healthissuesaretobereferredto genericallybysayingsomethinglike,IwasunabletocometoclassTuesdaybecauseofhealthreasons. 1.ClassMissedDayofweekanddate: 2.Materialcoveredduringclass: 3.Reasonformissingclasspleasedonotprovidecondentialinformation: 4.ActionPlanforAbsence:Howyouintendtotakeresponsibilityforthematerialcoveredwhileyouwere absent;Howyouintendtomakereparationstoyourgroupfornotparticipatingingrouplearningactivities fortheclassyoumissed; 5.Howdoyouplantoavoidabsencesinthefuture: HonestyPledge Torealizethevalueofhonesty,youwillmakethefollowingarmation: TheinformationIhaveprovidedaboveistruthful,theexcusesIhaveennumeratedrigorouslyexaminedfromamoralpointofview,andtheresponsivecommitmentsIhave madeaboveareserious,andIwilltakeactiveandrealisticeortstocarrythemout. Signature:_____________________________________________

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INDEX 209 IndexofKeywordsandTerms Keywords arelistedbythesectionwiththatkeywordpagenumbersareinparentheses.Keywords donotnecessarilyappearinthetextofthepage.Theyaremerelyassociatedwiththatsection. Ex. apples,1.1 Terms arereferencedbythepagetheyappearon. Ex. apples,1 A AcademicIntegrity,7.2 Assessment,7.1 B Business,2.3,2.4,3.2, 3.4,6.2 BusinessandProfessionalEthics,5.5 BusinessEthics,2.4,3.1,3.3, 3.5,4.1,4.4,5.1, 5.4 C CaseAnalysis,5.3157 CECO,4.4 ClassAttendance,7.2 CodeofEthics,4.3111 CollaborativeLearning,1.4 ComplianceEthics,4.2 Computer,5.2 ComputerEthics,1.11,2.2, 5.1,5.4 Computers,5.6 Computing,5.3 Corporategovernance,2.3,3.1, 3.2,4.4 CorporateMoralResponsibility,4.1 CorporateSocialResponsibility,3.3 Corporations,4.1 D Debating,6.2 Decision,5.2 DecisionMaking,2.2 Decision-making,2.3 Deontology,2.1 Duty,2.1 E EACToolkit,3.1,4.1,5.1, 5.4 Engineering,2.4,4.3 EngineeringEthics,1.1,2.1, 2.2,6.1 EthicalDilemma,1.1 EthicalLeadership,2.3 EthicalTheory,1.1,1.2,2.1 EthicalValues,1.4 Ethics,1.1,1.3,1.4,2.1, 2.2,2.3,2.4,3.2, 3.4,3.5,4.1,4.2, 4.3,4.4,4.5,5.1, 5.2,5.3,5.4,5.6, 6.2,7.1,7.2 EthicsBowl,2.2,6.1,6.2 EthicsCaseAnalysis,6.1 EthicsinDecision-Making,6.1 EthicsofRisk,3.5 EthicsOcer,4.4 Exams,7.1 G GroupProjects,7.1 H Honesty,7.2 Humanities,4.5,5.1,5.4, 6.1 I IncidentatMorales,3.4 J JobCandidacy,4.5 M MoralCareer,3.2 MoralEcology,3.2 MoralExemplars,1.3 MoralPsychology,1.3 MoralResponsibility,3.1 P PirateCreedorCode,4.3 Professional,3.4 ProfessionalEthics,1.25,4.5 R Responsibility,3.3,3.4,7.2 Right,2.1 Rubric,7.1 S Safety,5.3 SocialImpacts,2.4 SocialResponsibility,2.3,5.5 Socio-technicalanalysis,2.2 Socio-TechnicalSystem,2.4 Socio-technicalsystems,5.6

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210 INDEX StatementofValue,7.2204 T TechnicalImpacts,2.4 Template,4.1 Toolkit,4.1 V Value,7.2 ValueOrientation,4.2 Values,4.2,5.5 VirtueEthics,1.2,1.3 W WorkTeams,1.4

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ATTRIBUTIONS 211 Attributions Collection: BusinessEthics Editedby:WilliamFrey URL:http://cnx.org/content/col10491/1.9/ License:http://creativecommons.org/licenses/by/2.0/ Module:"TheoryBuildingActivities:MountainTerroristExercise" By:WilliamFrey URL:http://cnx.org/content/m13764/1.11/ Pages:1-5 Copyright:WilliamFrey License:http://creativecommons.org/licenses/by/2.0/ Module:"Theory-BuildingActivities:VirtueEthics" By:WilliamFrey URL:http://cnx.org/content/m13755/1.11/ Pages:5-11 Copyright:WilliamFrey License:http://creativecommons.org/licenses/by/2.0/ Module:"MoralExemplarsinBusinessandProfessionalEthics" By:WilliamFrey,JoseA.Cruz-Cruz URL:http://cnx.org/content/m14256/1.8/ Pages:11-13 Copyright:WilliamFrey,JoseA.Cruz-Cruz License:http://creativecommons.org/licenses/by/2.0/ Module:"EthicsofTeamWork" By:WilliamFrey URL:http://cnx.org/content/m13760/1.7/ Pages:13-18 Copyright:WilliamFrey License:http://creativecommons.org/licenses/by/2.0/ Module:"EthicalRightsforWorkingEngineersandOtherProfessionals" By:WilliamFrey URL:http://cnx.org/content/m15554/1.1/ Pages:19-25 Copyright:WilliamFrey License:http://creativecommons.org/licenses/by/2.0/ Basedon:Theory-BuildingActivities:Rights By:WilliamFrey URL:http://cnx.org/content/m13758/1.4/ Module:"ThreeFrameworksforEthicalDecisionMakingandGoodComputingReports" By:WilliamFrey URL:http://cnx.org/content/m13757/1.12/ Pages:25-34 Copyright:WilliamFrey License:http://creativecommons.org/licenses/by/2.0/

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212 ATTRIBUTIONS Module:"Values-BasedDecision-MakinginGilbaneGold" By:WilliamFrey URL:http://cnx.org/content/m15783/1.4/ Pages:34-38 Copyright:WilliamFrey License:http://creativecommons.org/licenses/by/2.0/ Module:"Socio-TechnicalSystemsinProfessionalDecisionMaking" By:WilliamFrey URL:http://cnx.org/content/m14025/1.9/ Pages:38-46 Copyright:WilliamFrey License:http://creativecommons.org/licenses/by/2.0/ Module:"AShortHistoryoftheCorporation" By:WilliamFrey,JoseA.Cruz-Cruz URL:http://cnx.org/content/m17314/1.1/ Pages:47-55 Copyright:WilliamFrey License:http://creativecommons.org/licenses/by/2.0/ Basedon:EACToolkit-StudentModuleTemplate By:JoseA.Cruz-Cruz,WilliamFrey URL:http://cnx.org/content/m14291/1.9/ Module:"MoralEcologiesinCorporateGovernance" By:WilliamFrey URL:http://cnx.org/content/m17353/1.5/ Pages:55-63 Copyright:WilliamFrey License:http://creativecommons.org/licenses/by/2.0/ Basedon:EACToolkit-StudentModuleTemplate By:JoseA.Cruz-Cruz,WilliamFrey URL:http://cnx.org/content/m14291/1.9/ Module:"ThreeViewsofCSRCorporateSocialResponsibility" By:WilliamFrey,JoseA.Cruz-Cruz URL:http://cnx.org/content/m17318/1.5/ Pages:63-73 Copyright:WilliamFrey License:http://creativecommons.org/licenses/by/2.0/ Basedon:EACToolkit-StudentModuleTemplate By:JoseA.Cruz-Cruz,WilliamFrey URL:http://cnx.org/content/m14291/1.9/ Module:"TheoryBuildingActivities:"ResponsibilityandIncidentatMorales"" By:WilliamFrey URL:http://cnx.org/content/m15627/1.4/ Pages:73-81 Copyright:WilliamFrey License:http://creativecommons.org/licenses/by/2.0/

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ATTRIBUTIONS 213 Module:"EthicalIssuesinRiskManagementforBusiness" By:WilliamFrey URL:http://cnx.org/content/m19085/1.1/ Pages:81-90 Copyright:WilliamFrey License:http://creativecommons.org/licenses/by/2.0/ Basedon:EACToolkit-StudentModuleTemplate By:JoseA.Cruz-Cruz,WilliamFrey URL:http://cnx.org/content/m14291/1.9/ Module:"DierentApproachestoCorporateGovernance" By:WilliamFrey,JoseA.Cruz-Cruz URL:http://cnx.org/content/m17367/1.1/ Pages:91-103 Copyright:WilliamFrey License:http://creativecommons.org/licenses/by/2.0/ Basedon:EACToolkit-StudentModuleTemplate By:JoseA.Cruz-Cruz,WilliamFrey URL:http://cnx.org/content/m14291/1.9/ Module:"DevelopingaStatementofValues" By:WilliamFrey,JoseA.Cruz-Cruz URL:http://cnx.org/content/m14319/1.6/ Pages:103-111 Copyright:WilliamFrey,JoseA.Cruz-Cruz License:http://creativecommons.org/licenses/by/2.0/ Module:"PirateCodeforEngineeringEthics" By:WilliamFrey URL:http://cnx.org/content/m13849/1.10/ Pages:111-118 Copyright:WilliamFrey License:http://creativecommons.org/licenses/by/2.0/ Module:"CorporateEthicsComplianceOcerReport" By:WilliamFrey URL:http://cnx.org/content/m18646/1.1/ Pages:118-122 Copyright:WilliamFrey License:http://creativecommons.org/licenses/by/2.0/ Basedon:EACToolkit-StudentModuleTemplate By:JoseA.Cruz-Cruz,WilliamFrey URL:http://cnx.org/content/m14291/1.9/ Module:"BeinganEthicalJobCandidate" By:WilliamFrey URL:http://cnx.org/content/m14468/1.7/ Pages:122-131 Copyright:WilliamFrey License:http://creativecommons.org/licenses/by/2.0/

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214 ATTRIBUTIONS Module:"BiomatrixCaseExercises-StudentModule" By:WilliamFrey,JoseA.Cruz-Cruz URL:http://cnx.org/content/m15187/1.3/ Pages:133-149 Copyright:WilliamFrey,JoseA.Cruz-Cruz License:http://creativecommons.org/licenses/by/2.0/ Basedon:ToysmartCaseExercises-StudentModule By:JoseA.Cruz-Cruz,WilliamFrey URL:http://cnx.org/content/m14789/1.1/ Module:"GrayMattersfortheHughesAircraftCase" By:WilliamFrey URL:http://cnx.org/content/m14036/1.7/ Pages:149-157 Copyright:WilliamFrey License:http://creativecommons.org/licenses/by/2.0/ Module:"CaseAnalysisModule:Therac-25" By:WilliamFrey URL:http://cnx.org/content/m13765/1.1/ Pages:157-162 Copyright:WilliamFrey License:http://creativecommons.org/licenses/by/2.0/ Module:"ToysmartCaseExercises-StudentModule" By:WilliamFrey,JoseA.Cruz-Cruz URL:http://cnx.org/content/m14789/1.1/ Pages:162-177 Copyright:WilliamFrey License:http://creativecommons.org/licenses/by/2.0/ Basedon:EACToolkit-StudentModuleTemplate By:JoseA.Cruz-Cruz,WilliamFrey URL:http://cnx.org/content/m14291/1.9/ Module:"EthicsandLaptops:IdentifyingSocialResponsibilityIssuesinPuertoRico" By:WilliamFrey,JoseA.Cruz-Cruz URL:http://cnx.org/content/m14257/1.3/ Pages:177-179 Copyright:WilliamFrey,JoseA.Cruz-Cruz License:http://creativecommons.org/licenses/by/2.0/ Module:"CaseAnalysisandPresentation:Machado" By:WilliamFrey URL:http://cnx.org/content/m13818/1.2/ Pages:179-186 Copyright:WilliamFrey License:http://creativecommons.org/licenses/by/2.0/ Module:"PracticalandProfessionalEthicsBowlActivity:Follow-UpIn-DepthCaseAnalysis" By:WilliamFrey URL:http://cnx.org/content/m13759/1.12/ Pages:187-196 Copyright:WilliamFrey License:http://creativecommons.org/licenses/by/2.0/

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ATTRIBUTIONS 215 Module:"EthicsBowl:CasesandScoreSheets" By:WilliamFrey URL:http://cnx.org/content/m13852/1.6/ Pages:196-200 Copyright:WilliamFrey License:http://creativecommons.org/licenses/by/2.0/ Module:"RubricsforExamsandGroupProjectsinEthics" By:WilliamFrey URL:http://cnx.org/content/m14059/1.7/ Pages:201-204 Copyright:WilliamFrey License:http://creativecommons.org/licenses/by/2.0/ Module:"IntegratingtheValuesofResponsibilityandHonestyIntoClassAttendanceModule" By:WilliamFrey,JoseA.Cruz-Cruz URL:http://cnx.org/content/m13788/1.3/ Pages:204-208 Copyright:WilliamFrey,JoseA.Cruz-Cruz License:http://creativecommons.org/licenses/by/2.0/

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BusinessEthics BusinessEthicsisaderivedcopyfromtheCorporateGovernancecoursepreviouslypublishedinConnexions. Whilemanycoursesusingthistitleplaceemphasisonapplyingclassicalphilosophicalandethicaltheory,this course'sapproachisdecidedlyinterdisciplinaryandpractical.Itisnotdesignedasasocio-humanisticelective, aservicephilosophycourse,orevenanappliedphilosophicalethicscoursebutasalaboratory,skills-based coursewherestudentsdevelop,practice,andrenedecision-makingandproblem-solvingstrategiesthatthey willcarrywiththemintotheworldofbusinesspractice.Emphasishasbeenplacedonrespondingtothe fourethicalthemesidentiedbytheAACSBethicstaskforce:EthicalLeadership,EthicalDecision-Making, SocialResponsibility,andCorporateGovernance.Modulesincludetheorybuildingactivitiesresponsibility,rights,virtue,problemspecicationframeworksemphasizingsocio-technicalsystembuildingand analogieswithdesign,3specicmodulesrespondingtoAACSBethicsthemesmoralecologies,corporate socialresponsibility,corporategovernance,andahistoryofthemoderncorporationandmodulesthat providethecoursewithacapstone,integrativeexperienceBusinessEthicsBowl,SocialImpactStatement Reports,andCorporateEthicsComplianceOcerReports.Whileaquickglanceshowsthatthiscollectionholdsmoremodulesthancanpossiblybecoveredinasinglesemester,thisapproachgivestheuser exibilityastothemethodusedforintegratingethicsintothebusinessadministrationcurriculum.Modules canberecombinedintodierentstandalonecoursessuchasbusinessethics,business/government/society, orenvironmentoforganizations.Sinceeachmodulecanbecoveredindependently,theycanbeintegrated intothebusinessadministrationcurriculumasspecicinterventionsinmainstreambusinesscoursesinareas likeaccounting,nance,management,informationsystems,humanresourcesoroceadministration.In factmanyhavebeenwrittenforandtestedinthesecircumstances.BusinessEthicshasbeendeveloped throughtheNSF-fundedproject,"CollaborativeDevelopmentofEthicsAcrosstheCurriculumResources andSharingofBestPractices,"NSFSES0551779. AboutConnexions Since1999,Connexionshasbeenpioneeringaglobalsystemwhereanyonecancreatecoursematerialsand makethemfullyaccessibleandeasilyreusablefreeofcharge.WeareaWeb-basedauthoring,teachingand learningenvironmentopentoanyoneinterestedineducation,includingstudents,teachers,professorsand lifelonglearners.Weconnectideasandfacilitateeducationalcommunities. Connexions'smodular,interactivecoursesareinuseworldwidebyuniversities,communitycolleges,K-12 schools,distancelearners,andlifelonglearners.Connexionsmaterialsareinmanylanguages,including English,Spanish,Chinese,Japanese,Italian,Vietnamese,French,Portuguese,andThai.Connexionsispart ofanexcitingnewinformationdistributionsystemthatallowsfor PrintonDemandBooks .Connexions haspartneredwithinnovativeon-demandpublisherQOOPtoacceleratethedeliveryofprintedcourse materialsandtextbooksintoclassroomsworldwideatlowerpricesthantraditionalacademicpublishers.