Ibo van de Poel and Lambr Royakkers

Ethics and Technology.

Moral reflections in engineering practice

with contributions by
Michiel Brumsen (chapter 10) and Peter-Paul Verbeek (chapter 7)

Ma nu s c ri p t o f bo ok to be p u bl i sh ed by B l ac k wel l . I t i s n o t al l o wed to c o p y
or o th er wi s e r ep r o d uc e p ar ts of th i s ma nu s c r i p t wi t h o u t p ri or a g r e em en t
f ro m t he a u t h or s a n d Bl ac k wel l .
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Ta bl e o f c o n t en ts

1 Th e r es p o n s i bil i ti es o f en g i n eers

1.1 Int ro ducti on

1.2 Re s po nsibi lit y
1.4 Pass i ve res po ns ib il it y
1.3 A ct ive res po n sib ility a nd t he ideals of engin eers
1 . 4 .1 T ec hno lo g i ca l e nt hus ia sm
1 . 4 .2 E f f ec ti ve ne s s a nd e f f i c i en c y
1 . 4 .3 Hu ma n w e l f a re
1.5 E ng ineer s ve rs us ma n ager s
1 . 5 .1 Se pa r a t i sm
1 . 5 .2 T ec hno cr a c y
1 . 5 .3 Wh ist l e -b l ow in g
1.6 T he s ocial co nte xt of t ec hno lo gical de ve lo pm ent

2 C o de s o f e th i c s

2.1 Int ro ducti on

2.2 Cod es of cond uct
2 . 2 .1 P r of e ss io na l co de s
2 . 2 .2 C or p o ra t e c od e s
2.3 Pos sibilities an d lim ita tio n s of cod es of ethi cs
2 . 3 .1 C od e s of e t hi cs a n d s e l f -i nt e r e st
2 . 3 .2 V ag u e ne s s a nd p ote nt i a l c ont r a di ct io ns
2 . 3 .3 C an e t hi c s b e co d if i e d ?
2 . 3 .4 C an c od e s of et hi cs be l i ve d b y ?
2 . 3 .5 E nf o r ce me nt
2.4 Cod es of cond uct in a n inter nat ional co nte xt
2 . 4 .1 Gl ob a l c od e s f o r m ul t i na ti o na l s
2 . 4 .2 Gl ob a l c od e s f o r e n g i n e er s

3 N o r ma ti v e e th i cs

3.1 Int ro ducti on

3.2 E thi cs a nd m ora lity
3.3 De scri ptive an d norma tive judgm ents
3.4 Points of d epartu re: value s, no rm s a nd virt u es
3 . 4 .1 V al u es
3 . 4 .2 N or m s
3 . 4 .3 V ir t ue s
3.5 Re lati vism and a bs olutism
3 . 5 .1 N or ma t i ve r el a t i vi s m
3 . 5 . 2 A bs ol ut i sm
3.6 E thi ca l t heor ies
3.7 Ut ilitaria n ism
3 . 7 .1 Je r e m y B e nt ha m
3 . 7 .2 M il l a nd t he f r e e d om p r i nc ip l e
3 . 7 .3 C ri t i ci s m of ut i li t a r ia ni sm
3 . 7 .4 A pp l yi ng u t il it a r i a ni sm t o t he F or d P i n t o c as e
3.8 Kant ia n t he or y
3 . 8 .1 C at e g or i ca l im p e r a t iv e
3 . 8 .2 C ri t i cis m of Ka nt i a n t h e or y
3 . 8 .3 A pp l yi ng K a nt s t he or y t o t he F or d Pi nt o ca se

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3.9 V irtue et hi cs
3 . 9 .1 A ri st ot l e
3 . 9 .2 C ri t i cis m of v i r t ue e t hi cs
3 . 9 .3 V ir t ue s f o r m or a l ly r e sp on si b le e ng in e e rs
3.10 Care et hi cs
3.11 A pplied et hics a nd t he ro le of e th ical th eorie s

4 N o r ma ti v e a r g u me n t ati o n

4.1. Int ro ducti on

4.2. V alid argu me nts
4.3. Ded uctive a nd non -dedu ct ive ar gume nt s
4.4 A rg ume nts in ethical t he ories
4 . 4 .1 A rg ume nta t i on b y ana l og y
4 . 4 .2 A rg ume nt s i n a ut il i t a r i a n p l e a
4 . 4 .3 A rg ume nta t i on i n Ka nt ia n re a so n in g
4 . 4 .4 A rg ume nta t i on i n v ir t u e-e t hi ca l r e a s o ni ng
4.5 F allac ie s
4 . 5 .1 So me c omm o n f al la ci e s i n e t hi c a l d i s c us s i ons
4 . 5 .2 F a ll ac ie s of r i s k

5 Th e e th i ca l c y cl e (n o t i n cl u d ed )

6 E thi c a l q u es ti o ns i n th e d es i g n of te c h n o l og y

6.1 Int ro ducti on

6.2 E thi ca l is su es durin g the de sig n pr o ces s
6 . 2 .1 P r ob le m a na l y s i s a nd f or m ul a t i o n
6 . 2 .2 C on ce p t ua l d e s i g n
6 . 2 .3 Sim u l at i on
6 . 2 .4 De ci si o n
6 . 2 .5 De t a il d e si g n
6.3 T rade -off s
6 . 3 .1 C os t- b e ne f i t a na l ys i s
6 . 3 .2 M ul t i - cr i t e r i a a na l y s i s
6 . 3 .3 T hr e s ho ld s
6 . 3 .4 Re a so n in g
6 . 3 .5 I nn ov a t i o n t hr oug h va l ue s e ns i t i ve d e s i g n
6 . 3 .6 A c om p ar is on of t he d i f f e r en t me t h od s
6.4 Re gu lat ive fram ewor ks : Norma l a n d ra dical d esi gn

7 D es i g ni ng th e m or a l i ty of tec h no l og i ca l ar te fa c ts (n o t i n c l u d ed )

8 E thi c a l as p ec ts o f t ec h n i ca l ri s k s

8.1 Int ro ducti on

8.2 So me defi nitio ns
8.3 T he en gi nee r 's re sp on sib ility fo r s afet y
8.4 Ri s k a ss es sme nt
8 . 4 .1 T he r e l ia b il i t y of ri s k a sse ss me nt
8.5 Wh en are ri s ks a ccept able ?
8 . 5 .1 I nf or m e d c o ns e nt
8 . 5 .2 Do t he a d va nt a g e s o ut w e ig h th e r is k s ?

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8 . 5 .3 T he a va il a b i l it y of a l t e rna t i ve s
8 . 5 .4 A re r i sk s a n d b en e f it s j ust l y d i st ri b ut e d ?
8.6 Ri s k comm unicat ion
8.7 Dea li ng wit h un cer tain ty an d ig no ra nce
8 . 7 .1 T he p r e c a ut io na r y p r i n ci p l e
8 . 7 .2 E ng i ne e r in g a s a s oc ie t a l e xpe r i m e nt
8 . 7 .3 I nf or m e d c o ns e nt
8.8 Con cl us io ns : t he res po ns ibi lit y of enginee rs f or safet y

9 T h e d i s tri bu ti o n o f r es p o ns i bi l i ty i n en g i ne er i ng

9.1 Int ro ducti on

9.2 T he pr ob lem of m an y ha nd s
9 . 2 .1 T he C it iC or p B ui l d in g
9 . 2 .2 C au se s of t he p r obl e m of ma ny h a n ds
9 . 2 .3 Di st r i b ut in g r e s po n sib i l it y
9.3 Re s po nsibi lit y an d t he law
9 . 3 .1 Lia b il it y ve rs us re g ula t io n
9 . 3 .2 Ne g li ge n ce ve rs us st ri ct lia b il it y
9 . 3 .3 C or p o ra t e li a b i l it y
9.4 Re s po nsibi lit y in orga n iz ati ons
9.5 Re s po nsibi lit y distr ib u tio ns and te chn olog ica l de si gn s
9.6 Con cl us io ns

10 Su s ta i n a bi l i ty , et hi c s a n d tec h n o l o g y

10.1 Int ro ducti on

10.2 E nvir onme nta l proble ms
10.3 S us tai nable d evelopm e nt
1 0 . 3.1 T he B r u nd t l a nd d e f i ni t i on
1 0 . 3.2 M or a l j us t i f i ca t io n
1 0 . 3.3 O p e ra t i ona li s a ti o n
10.4 Can a su sta in able s o ciety be rea liz ed ?
10.5 E ng ineer s a nd s u stain abil it y
1 0 . 5.1 P oi nt s of a t t e nt i on d ur i ng t he d e si g n p r o ce ss
1 0 . 5.2 Lif e c y c l e a na l y si s
10.6 T he res po ns ibility of e ngineer s f or t he e nviron me nt

R ef er en c es

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C h a p ter 1. Th e R e s p on s i bi l i ti es of E n gi n e er s

1.1 In tr o d uc ti o n

Ca s e: Cha l l en g er 1

T he 2 5 t h l a u nc hi n g of t he s pa c e s hut t le w a s to b e
som e t hi ng s p e c ia l. I t wa s t he f ir st t im e t ha t a
ci vi li a n, t he te a c he r C hr i st a M c A u lif f e , o r a s Pr e si d e nt
Ron a ld Re a g a n p ut i t : o ne of Am e r i c a s f i ne st w ou ld
g o i nto s p a ce . T he r e wa s t he r e fo r e mo re m ed i a
a t t e nt i on t ha n us ua l a t c ol d C a p e C a na ve r a l ( Fl or i da ,
U nit e d St a t e s ) . Whe n, on t he mo rn i ng of 2 8 t h
Ja n ua r y 1 9 8 6, t he mis sio n c o nt r ol le r s c ount d ow n
b e ga n it w a s a lm os t f o ur d e g re e s C e l si us be l ow
f r e ez i n g p oi nt ( or a bo ut 2 5 d e g re e s F a hre n h ei t ).
A ft e r 7 3 s e c on d s t he C hal le ng e r sp a ce s h utt l e e x p l od e d 1 1 ki l om e t r e s a b ov e t he
A tl a nt i c O ce a n. A l l s e v e n a st r ona ut s w e r e k il le d . At t he t im e i t wa s t h e b i g ge st
d isa s te r e ve r i n t he hi st o r y of Am e ri ca n s pa c e t r a ve l .

A ft e r t he a c ci d e n t a n i nve s ti g a t i on com m it t e e w a s se t up t o e st a b l i sh t he e xa ct
ca use of t he e xp lo si o n . The c omm i t te e co n cl ud e d t ha t t he e x pl os io n le a d i n g t o t he
los s of t he 1. 2 b i l li o n dol la r s p a c es hi p w a s a t t r i but a b l e t o t he f a il u r e of t he r ub b e r
se a l i ng r i ng (t he O -r i n g ). A s t he c om p o ne nt w a s u nab le t o f un ct i o n p r op e rl y a t l ow
t e mp e ra t ur e s f ue l ha d st a rt e d t o l e a k f r om t he b o os t er r oc ke t. T h e f ue l t he n
ca ug ht f ir e , ca us i ng th e C ha l l e ng e r t o e xp lo d e.

M or t o n T h io k ol, a N AS A s up p l i e r, w a s t he c om p a ny r e sp ons i b l e f or t he c on st r uc t i o n
of t he r o c ke t b oo st e rs de si g ne d t o p r ope l t h e Sh ut t le i nt o s pa c e . I n Ja nua r y 19 8 5
Rog e r B oi s j ol y, an e ng i ne e r a t t he M or t o n T h io kol comp a ny, ha d ai r ed hi s d o ubt s
a b out t he r e li a b i l it y of th e O -r i ng s. I n Jul y 1 9 85 he ha d s e n t a c o n f id e nti a l m e m o
t o t he M or t o n T hi o ko l ma na ge m e nt b oa r d . I n t ha t m e m o he ha d e x p re s se d hi s
co n ce r ns a b o ut t he e ff e ct i v en e s s of t he O - r i ng s a t l ow t e mp e r a t ur e s: I a m r ea l l y
a f r ai d t ha t if w e d o not t a ke imm e di a t e st e p s w e w i ll p l ac e b ot h t h e f lig ht a nd t he
la u n c hi ng p a d i n se ri o us da ng e r. T he c on se q ue n ce s wo u ld be ca t a s t r o ph i c a nd
h um a n l i ve s w oul d b e p ut a t r i s k. T he me m o i n st a ntl y le d t o a p r oj e c t g r ou p b e i ng
se t u p i n or d er t o i n ve st i g a te t h e p r o b le m. H ow e ver , t h e p r o je ct gr ou p r e ce i ve d
f r om t he m a na g em e nt in s uf f ic i e nt ma t e r ia l a nd fu nd i ng t o ca r r y o u t it s w or k
p r op e r l y. E v en a f t e r o ne of t he p r o je ct gr o u p m a na g e r s ha d se nt a me m o he a d ed
H e lp ! a nd e n di ng w it h t he w or d s : T hi s i s a r ed fla g ! t o M or t o n T hi o kol s v i c e -
c ha ir ma n no t h i ng c onc r e t e wa s a c tua ll y und e rt a k e n.

O n t he d a y of t he fa t a l f l i g ht t he la un ch i ng w a s del a ye d f i ve t i m e s , pa r t l y f or
w e a th e r -r e la t e d re a s o ns. T he n ig ht of t he ul t i ma t e l a un ch i ng wa s v er y c ol d ; i t
f r oz e 10 d e gr e e s Ce l si us ( or 1 4 d eg r e e s F a h r e nhe it ) . NA SA e ng in e e rs c onf e s s ed t o
r e me m b e r i ng ha vi n g h e a r d t h a t i t w o uld not b e sa f e t o la u n c h a t v e r y l ow
t e mp e ra t ur e s . T he y t h e r e f or e d e c id e d t o ha v e a t e le p ho ne c onf e r e nc e o n t he e ve
of t he la un c hi n g b e t w ee n NA SA a nd M or t o n T hi o ko l r epr e se nt a t i ve s , B ois j ol y a ls o
p a rt i c ip a t e d . T he M o rt on T hi ok ol C om pa n y u nd e r l in e d th e r is k of t he O - r i ng s
e r od i ng a t low t e m p e r a tur e s. T he y ha d ne ve r b e e n t e st e d i n s ub ze ro c o nd it io n s.
T he e n gi nee r s r e c omm e nd e d t ha t i f t he t e mp e ra t ure f e ll be l ow 1 1 d e g r e e s Ce l s i us
( or 5 2 de g r ee s Fa hr e nhe i t ) t he n t he la u n c h s ho ul d not g o a he a d . The w ea t he r
f ore c as t i nd i ca t e d t hat t h e te m pe r a t ur e w ou l d not r i s e a b o ve f r e e zi ng p oi nt o n t he
1
B a s ed o n W ir t z ( 2 0 0 7 , p p . 3 2 ) , V a u g h a n ( 1 9 9 6 ) , a n d t h e B B C d o c u m en t a r y C h all en ger :
G o f o r L au n c h o f B l a s t ! F il m s .

1
mor ni n g of t he l a u nc h. Tha t wa s t he ma i n r e as o n w h y M or t on T hi ok ol in it ia ll y
r e c om me nd e d t ha t t he la unc h s ho u ld not b e a l lo w ed to g o a he a d .

T he p e opl e a t NA SA cl a i me d t ha t t he d a t a d i d not p ro vi d e s uf f i cie n t gr o und s f o r

t he m t o d e c la r e t he l a u nc h in g , w hi c h w a s e x t re m e l y i mp or ta nt t o N A SA, u ns a f e.
Wha t w a s r a t he r c u ri o us wa s t he f a ct t ha t t he b ur d e n of p r oof w a s p la ce d w i t h
t h os e w ho we r e opp os e d t o t he la u nch i ng ; t he y w e re r e qu e st e d t o p r ove t ha t t he
f li g ht w oul d b e unsa f e . T he of f i ci a l NA SA p ol i c y, t h ou g h, w a s t ha t i t ha d t o b e
p r ove d t ha t it w oul d b e sa f e t o m a ke t he f l ig ht .

A br ie f c on s ult a t i on s e s si o n w a s c o nv e n e d s o t ha t the d a ta co ul d o nc e a g a i n b e
e xa m in e d . Whi l st t he c onne ct io n wa s br o ke n f or f i ve m in ut es t he G e ne ra l M a na g e r
of T hi ok ol com m e nt e d t ha t a m a na g e me nt d e ci s i o n ha d t o b e m a d e . La t e r o n
se ve r a l e mp l o ye e s a ct ual ly s t a t e d t ha t s hor t ly a f t e r t he la unc hi ng NA SA w ou ld
ma ke a d e c i si on r e ga r d i ng a p os si bl e c o nt r a ct e xt e n si on w it h t he co mp a n y. I t w a s
a t le a st t he ca s e t ha t B oi s j ol y f el t t ha t pe op l e w e r e no l ong e r l is t e ni ng t o hi s
a r g ume nt s. F or M ort o n Th io k ol i t w a s t o o mu c h of a p ol it ic a l a nd f i na nc ia l r i s k t o
p o st p o ne t he la u n ch. Af t e r d i s c u ss in g ma t t e rs a m ong st t he m se l ve s t h e fo u r
ma na g er s p r e se nt , t he en g i ne e rs ex c lu d ed , p ut i t t o t he v ot e . T he y w er e
r e c o nne ct e d a nd T h io k ol, i gn or i ng t h e a d v i c e of B o is j ol y, a nn ou nc e d t o NA SA it s
p o sit i v e r e c omm e n d a t i on s c on ce r ni ng t he la u nc hi ng of t he C ha l l e ng e r . It w a s a
d e c is i o n t h a t w a s i mm e d ia t e l y f oll ow e d b y N A SA w i t h o ut a n y f ur t he r q ue s ti o ni ng .
A s a gr e e me nt ha d b e e n r ea ch e d t he w h ol e p r ob l e m s ur ro u nd i ng t h e i na d e q ua t e
op e r a t i ng of t he O -r i n g a t l ow t e mp e ra t ur e s wa s not p as se d on t o N A SA s hi g her
ma na g em e nt le ve l . Se ve r a l mi n ut e s a f te r t he l a u nc h one of th e m i ssi on c on tr ol
t e a m c on c lu d ed t ha t t he r e ha d : ob vi ous l y b e e n . . . a m a j or ma l f un ct i o n.

A Pr e si d e nt i a l C om mi s sio n de t e r m i ne d t ha t t he w h ol e d i sa st e r w a s d ue t o
ina d e q ua t e co mm u ni ca t io n a t NA SA. A t t he s a me t ime , t he y ar g ue d f or a c ha ng e i n
sy s te m a nd e t ho s t ha t w o ul d e ns ur e t ra ns p a re n c y a n d e n co u ra g e w hi st l e b lo w i ng.
A s a c o ns eq ue nc e , t he e nt i r e s p a ce p r og r a m me w a s st o pp e d f or t w o ye a r s so t ha t
t he s a fe t y of t he S hut t le co u ld be i mp ro ve d . Mor t on T hi ok ol di d no t lo se it s
co nt ra ct w it h NA S A b u t he l p e d , i n st e a d , to w or k o n f i nd i ng a s ol ut i on t o t he O -r i ng
p r ob le m . E n g i ne e r s w e r e g i ve n m or e of a sa y i n m a t te r s. I n t h e f ut ure , t h ey w i ll
ha ve t h e p ow e r t o ha l t a f li g ht i f t he y ha d t h e ir do u b t s.

I n t hi s c a s e we se e ho w t he Cha ll e n g e r d i s a s t e r w a s ca u se d b y t e c h ni ca l e r r or a nd
ina d e q ua t e co mm u ni ca t io n. Fo r t he d e si g n e r s of t he O -r i n g s, t he e n g i ne e r s a t
M or t o n T h io k ol, t he d i s a st e r d id not ha ve le g al imp li ca t io ns. D oe s t ha t me a n th a t
t he c a s e is t h us c lo se d or d o t he y b e a r s om e k i nd of r e s p o ns ib il i t y ? I f s o, w ha t
t he n is t he i r r e s p ons i b i li t y ? T h is c ha p t e r f ir st i nv e st i ga t e s w hat e xa ct l y
r e sp ons i b i li ty i s ( s e ct i on 1 . 2 ) , d i s t i ng ui s hi ng b e tw ee n p a ss i ve r e s p ons i b il i t y f or
t hi n gs t ha t hap p e ne d i n t he p a st ( 1. 3 ) an d a ct i ve re sp ons i bi lit y f or th i ng s not ye t
a t t ai ned ( se c t i on 1. 4 ) . T he f i na l t w o se c ti on s d is c us s t he p os i ti o n of e ng i ne e r s
vi s - - vi s m a na g e r s, t he w i d e r c ont e xt of t e c h nol o gi ca l d e ve l o pm e nt , a nd e xa mi ne
t he c ons e q ue nce s for t he r e s p o ns i b il i t y of e n gi ne e r s of t hi s w id e r c on t e x t.

1.2 R es po ns i bi l i ty

Wh e ne v e r so me t hi n g g oe s w r o ng or t he r e i s a d i s as t er li ke t ha t of t he C ha l l e ng e r
t he n t h e q ue st io n w h o is r e sp o ns i b le f o r i t o f t e n qui c k l y a ri se s. He r e r e sp o ns ib il it y
me a n s i n t he f i r s t p la c e b e in g he l d a c c ou nt a b l e f or y our a c t i on s a nd f o r t he e f fe c t s
of your a ct i o ns. T he m a ki n g of c hoi c e s, t he t a ki n g of d e ci s i o ns b ut a ls o f a i l i ng t o
a ct a re a l l t hi ng s t ha t w e r e ga r d a s t yp e s of a ct i o ns. F a ili ng t o sa v e a c hi l d w ho i s
d r ow n i ng is t he re f ore a ls o a t y p e of a ct i on. T he r e a r e d if f e r e nt k i n d s of
r e sp ons i b i li ty t ha t ca n b e d i st i ng ui s he d. A c omm o n d is t i nc t i on i s b e t w e e n a ct iv e

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r e sp ons i b i li ty a nd pa s s ive r e s p o ns i bi lit y. A ct i ve re s po n si bi l it y is re s p o ns ib i l it y
b e f or e som e t hi ng ha s ha p p e ne d. I t re f e r s t o a d ut y or t a sk t o c a re f or c er t a in
st a t e -of -a f fa i rs or p e r s ons. P a s si ve re sp on si b il it y i s a p p li c a b l e af t e r s ome t hi ng
( und e si r a b le ) ha s ha p p e n e d.

Re s p o nsi b i lit y ( b ot h a c ti v e a nd p a ss iv e ) is of t e n li n ke d t o t he r ole t hat y o u ha ve i n

a p a r t i c ul a r s i t ua t i o n. In t he c a s e de s c r i be d he r e B oi s jo l y f ulf i l le d the r ol e of
e ng i ne e r a nd n ot t ha t of , f or e xa m p l e , f a m i l y me m ber . Y o u of te n h av e t o f ul f il a
n um b er of r ol e s si m ul t a ne ous l y s u c h a s t ho s e of f ri e nd , p a re nt , c it iz e n, e m p l oy e e ,
e ng i ne e r , e xp e r t a nd c oll e ag ue . I n a r ol e yo u ha v e a r e la t io n sh ip wi t h ot he r s, f o r
in st a n ce , a s a n e m pl oye e y o u ha ve a r e l a t i o ns hi p w it h y our e mp lo ye r , a s a n e x p e r t
yo u ha v e a re l a ti on s hi p w i t h yo ur c u st ome r s a nd a s a c ol l e ag ue you ha ve
r e la t io n sh ip s w it h ot h e r co l le a g ue s. E a c h ro l e b r i ngs wi t h i t c er t a i n r es po n si b i l it i e s .
A pa r e nt , f o r e xa m p l e , i s e x p e c t e d t o ca r e f o r hi s ch il d . I n t he r ol e of e mp lo ye e it
is e x p e c t e d t ha t y o u w il l e x e c ut e yo ur job p r op e r l y, a s la i d d ow n i n c ol la b or a t io n
w it h you r e m p l o ye r; i n t h e r ol e of e xpe r t i t w ill be p r es um e d t ha t yo u f ur n is h y o ur
c ust ome r w i t h i nf or m a t io n t ha t i s t r ue a n d i n th e r ol e of c ol le a gu e yo u w i l l b e
e xp e ct ed t o be ha ve i n a c ol le g ia l f a s hi on w i t h ot her s in t he sa m e w or k s it ua t i on.
A n e n g i nee r is ex p e ct e d t o ca r r y out his w or k i n a c omp e t e nt w a y. Rol e s a n d t he ir
a c co mp a n yi ng r e sp o ns ib i l it i e s ca n b e for ma l l y la id d ow n, f o r i ns ta n ce le g a ll y, i n a
co nt ra ct or i n p r of e s si ona l or c or p o ra t e c od e s of c ond uc t ( se e C ha p t e r 2 ) . I n
a d di t io n, t he re a r e mo re i nf or ma l r ol e s a n d r e sp o ns i b i l it ie s, li ke th e o b li g a t i o ns
on e ha s w i t h i n a f a m il y or t ow a r d s f ri e nd s. He r e , too, a g r e e me nt s a r e of t e n m a de
a nd r ule s a r e a s s u me d b ut t he y a r e n ot us ua l l y p ut d ow n in w r it i ng . We w i ll ca l l
t he r e sp ons i b i l it y t ha t is b a se d o n a r o le y ou p la y i n a ce r t ai n c ont e xt ro le
r e sp ons i b i li ty.

Si n ce a pe r s o n of t e n ha s d i ff e r e nt r ole s i n l if e he ha s va r i o us r ole r e sp o ns i b i li t ie s.
F r om one r ol e re s p o n s ib i l it i e s c a n e ns ue t ha t c o nf l i ct w it h t he r es p on si b i l it i e s t ha t
a c co mp a n y a not her r o l e . Bo is jo l y f or e xa m p l e i n t he C ha l le ng e r ca se b ot h ha d a
r ol e a s e m p l o ye e a n d a s e ng i ne e r . As e m p l oye e h e wa s e xp e c t e d t o b e l o ya l t o hi s
co mp a n y a nd t o l is t e n t o hi s s upe r i or s, w ho e ve nt ua ll y de ci d e d t o gi ve a p os i ti ve
a d v ic e a b out t he l au n c h. A s e ng i ne e r h e w a s ex p e ct ed t o g i ve a t e c hni ca l s ou nd
a d v ic e t a k in g i n to a c c ou nt t he po s s ib le r is k s to t he a s tr o na ut s a nd , i n h i s v ie w ,
t hi s i mp lie d a ne g a t i ve a d vi ce w it h r e s p e ct t o t he la u nc h.

A lt ho ug h r ole s d e f i ne re s p o ns ib il i t ie s, m or a l r e sp o ns ib il i t y i s no t c onf i ne d t o t he
r ol e s o ne p la y s i n a s it ua t i on. Ra t he r i t i s b a se d o n t he o b l ig a t io n s , nor m s a nd
d ut i e s t ha t a r i se f r om mora l co ns i d er a t io n s. In C ha p t e r 3 , w e w i ll d is c us s i n m or e
d e t ai l w hat w e me a n w i t h t e rm s l i ke m ora l it y a nd e t hi c s, a nd w ha t d i f fe r e n t ki nd s
of e t hi c a l t he or ie s c a n b e d i s t i ng u is he d . M or a l r e sp o ns ib i li t y ca n e xt e nd b e y ond
r ol e s. I n t he Cha lle n g e r ca s e, i t w a s p a r t of B oi s jol y s m or a l r e s p o ns ib i lit y t o ca re
f or t he co ns e q ue n ce s of hi s a d v i c e f or t he a s tr on au t s a n d f or ot he r s. M or a l
r e sp ons i b i li ty c an, h o we ve r , a l so li mit r ole r e s p o nsi b i l it ie s b e ca us e w it h s ome r ol e s
im m or al re s p o ns ib i l it ie s m a y be a s s oc ia t ed . ( Thi n k of t he r ol e of M a f ios o. ) I n t hi s
a nd t he ne xt c ha p te r w e a r e ma in l y i nt e r e st e d i n p r ofe s si o na l r e s p on si bi l it y of
e ng i ne e r s. P r of e ss io na l re sp o ns ib i l it y is t he r e s p o nsi b i lit y t ha t i s b a s e d o n y our
r ol e a s p rof e ss i ona l e n g i ne er i n a s f a r t he y s t a y w it hi n t he li m it s of w ha t i s mo ra l l y
a ll ow e d . P r of e s si ona l r e sp o ns i b i l it ie s a r e not j ust pa ss iv e b ut t he y a l so co nt a i n a n
a ct i ve co mp on en t . We wi ll ex a m i ne t he c ont e nt of t he p r of e ss i ona l r e sp o ns ib ili t y of
e ng i ne e r s in m or e de t a il in s e c t io n 1. 4 , b ut f i rs t w e t ur n t o a m or e de t a il e d
d e s cr ip t io n of p a s si ve r e sp o ns ib il i t y.

3
1.3 Pas s i v e r es p o ns i bil i ty

T yp i ca l f or p a s s i ve re s po ns ib i lit y i s t ha t t he p e rs on w h o i s h e ld re s p o ns ib l e m u st
b e a b l e t o p r o vi d e a n ac co unt w hy h e f ol l ow e d a p a rt i cu la r c our se of a c ti on a nd
w h y he ma d e ce r t a i n d e ci s i o ns . In p a rt i c ul a r, i t m us t b e p os sib le t o p r o vid e
j ust if i ca t i o n f or th o se w ho a r e i n a p o si ti o n t o d em a nd t ha t t he i nd i v id ua l i n
q ue s t i o n a c c ou nt s f or hi s a ct i ons. I n t he ca s e of C ha ll en g e r N A SA ha d t o b e ab le t o
r e nd e r a c c o unt f or i ts a c ti o ns t o t he f a mi li e s of t he vi ct i m s, t o s oc i e t y a nd t o t h e
si t t i ng j ud ge . We w i ll ca l l t hi s ty p e of pa s s i v e r es p on si bi lit y a c c ou nta b il it y.

P a ss i ve r e s p o ns ib il it y of t e n i n v ol ve s not j ust a c c ou nt a b i l it y b ut a ls o
b la me w o rt hi ne s s . B la me w o r t hi ne ss me a ns t ha t it is pr op e r t o b l a m e s om e one f or
hi s/ he r a ct i o ns or t he co n se q ue n ce s of t ho se a ct io n s. Y ou a r e not a lw a ys
b la me w o rt hy f o r t he c ons e q u e n ce s of yo u r a c ti o ns o r f o r y ou r a ct i on s t h e ms e l v e s .
U s ua l l y, f ou r co nd i ti o ns ne e d t o a p p l y: wr o n g-d oi n g, ca u sa l c ont r i b ut i on,
f ore s ee a b il it y a nd f r e e d om. T he e x t e nt t o w hi c h y ou ca n b e b la m e d is de t e r m i ne d
b y t he d e g r e e t o w hi c h t he s e c ond i t i on s a r e ful f i ll ed . T he f o ur c o n d it i o ns w i ll be
il l us t r a t e d o n t he ba s i s of t he C ha l l e ng e r di s a st e r.

Wro ng- do ing

Wh e ne v e r one b la m e s a p e r s on o r i n st i t u ti on o ne us ua l l y ma i nt a i ns t ha t i n ca r r yi n g
ou t a ce r t a i n a c t i on t h e i nd i v id ua l o r t he i ns t it u ti on i n q ue st io n ha s v i ol a te d a
no rm or d id so me t hi ng w r on g . Th is ca n b e a no r m t h at i s la i d d ow n i n t he l a w o r
t ha t i s co mm on i n t he or ga n is a t i on. I n t he C ha l le nge r c as e , f or e x am p le , N AS A
vi ol at e d t he no rm t ha t it w a s t o b e p r o ve d t ha t t he f l i g ht w a s sa v e . In st e a d t he
b ur d e n of p r oof w a s r e ve r se d i n t hi s ca s e . I n t h is b o o k, we a r e no t j u st i nt er e st e d
in le g a l a n d or g a ni sa t i ona l nor m s, b ut i n m o ra l o nes. We w il l t he r e for e i nv e st ig a t e
d if f e r e nt ki nd of e t hi c a l f r a m e w o r ks t ha t ca n b e a p pl ie d i n j ud g i n g t he mo r a l
r ig ht ne ss o r w r o ng ne s s of a ct i o ns a n d t he ir co n se q ue n ce s. T hi s i n cl ud e s e t hi ca l
f r a me w or ks s u c h a s yo ur ow n c ons c i e n ce a nd mo r a l b el ie f s b ut a l so c ode s of
co n du ct ( c ha pt e r 2) a nd e t hi ca l t he or i e s (c h a p t er 3 ). T o ge t he r t he se f ra m ew or ks
f orm a m e a ns of t h in k i ng a b ou t ho w on e ca n ar r iv e at w ha t is g oo d , ho w one ca n
a ct i n t he r i g ht wa y.

Cau sal co ntr ib utio n

A se c o nd c r it e r i on i s t hat t h e p e r so n wh o is he l d res po n si b l e m u st ha ve ma d e a
ca usa l co nt r i b ut i on t o t he c o ns e q ue n ce s f or w hi c h he o r sh e i s he l d r e s p o ns i bl e.
T wo t h in g s a re t o be k e p t in mi n d w he n j ud g in g w he t he r so me o ne m a de a ca usa l
co nt ri bu t i on t o a ce r t a i n c ons e q ue nc e. F i r s t, a l s o a f a i l ure t o a c t m a y of t e n be
co n sid e r e d a ca u sa l c o nt r i b ut io n, l i k e i n t he ca s e of t he C ha ll e ng e r th e f a i lu r e to
st o p t he la u n ch. Se c on d, a ca u sa l c ont r ib ut i on is us ua l l y n ot a suf f i ci e nt co nd i t i o n
f or t he o c c urr e n ce of t he c ons e q u e nc e un d er c o nsi d e r a ti on. O f t e n, a r a ng e of
ca usa l co nt r i b ut i on s w il l ha ve t o b e p r e s e n t f or t he co ns e q ue n ce t o oc c ur . A c a us a l
co nt ri bu t i on w i ll of t e n be a ne c e s sa r y i ngr e d ie n t i n t he a ct ua l c ha i n of e ve nt s t ha t
le d t o t he co n se q ue n c e , i. e . w it hout t he ca u sa l c ont r i b ut i on t he c ons e q ue n ce w o ul d
no t ha ve oc c u rr e d .

B ot h t he NA SA p ro je ct t e a m a n d t he M or t on T hi oko l ma na g e me nt t e a m m a de a
ca usa l co nt r i b ut i on t o t he d i sa st e r be ca us e b ot h co u ld ha ve a ve r t e d t he d i s a st e r b y
p o st p o ni ng th e l a u n c h . I n f a ct , b e f o re t h e C ha l le nge r co u ld b e la un ch e d , b ot h
t e a ms ne e d e d t o m a ke a p os it i ve d e ci si o n. T he e ng i ne e r, B oi sj ol y, m a i nt ai ne d t ha t
he no lo ng er ha d t he c ha nc e t o t ak e a ct i on. I nt e r na l l y he ha d do ne e ve r y t h i ng i n
hi s p ow e r t o pr e ve nt t he c o ns e qu e nce s b ut he di d no t ha ve e n oug h i nf l ue n ce . I n
r e tr os p e ct he c o ul d p os si b l y ha ve g one p ub li c b y i nf or mi ng t he p r e ss. He s ho ul d
a ls o p os si bl y ha ve i nt e r ve ne d e a r l ie r o n in t he p r oc es s be f or e t he t e le p ho ne
co nf e re nc e t o e n s ur e t ha t t he O -r in g p r o b l e m ha d b e e n be t t e r t a c kl e d .

4
F ores eeab ilit y
A pe r s o n w h o i s he ld r es p o nsi bl e f o r som e t hi ng m us t ha ve be e n a bl e to kn ow t he
co n se q ue n ce s of hi s o r he r a c t i ons . T he c ons e q ue n ce s m us t b e u n d er s t o od t o b e
t he p os si b le da m a g e o r t he d am a ge a ct ua ll y a r is i ng f r om t ra n sg r e s si ng a no r m.
P e op l e c a n no t b e he l d re s p o n si b le i f i t i s t ot a l l y u nr e a so na bl e t o e xp e c t t ha t t he y
co u ld p os s ib ly ha v e b e e n a wa r e of t he co ns e que n ce s. What w e d o e xp e ct i s t ha t
p e op l e d o e ve ry t h i ng t ha t is r e a s ona b l y p o ss i b le t o b e c ome a cq ua i nt e d w it h t he
p o ssi b l e c ons e q ue n ce s .

I n t he Cha ll e n g e r c a s e e n g i ne e r B o is jo l y, t he M or t on T hi ok ol ma na g e me nt te a m
a nd t he N AS A r e p r e s e nt a t i ve s ( i. e . t he p r oj e c t t e a m) a l l co u ld ha v e e x p e ct e d t he
C ha l le ng e r di sa st e r be ca use a l l t hr e e w e r e a w a r e of t he ri s ks of e r osi on w he n t he
O -r i ng s a r e e xp ose d t o l ow t e m p e r a t u r e s, a f ac t or w hi c h t hu s me a nt tha t sa f e
la u n c hi ng c oul d no t b e g ua r a nt e e d und e r s uc h c on d it io n s. Th o ug h t her e w a s no
co n cl u si ve s cie nt if i c e vi de nc e t hat t he la un c hi ng w a s unsa f e , a ll p a r t ie s w e re
ce r t a i nl y a w ar e of t he d a ng e r of a p os si b le d is a s t er , w h ic h me a nt t ha t t h e
co n di t io n of f or e s e ea b il it y w as f ul f il l e d.

F reed om of A ction
F ina l l y, t he o ne w h o i s he ld re sp on si b le m us t ha ve ha d f re e d om of ac t i o n, i . e . he
or s he m us t n ot ha ve a ct e d u nd e r co mp ul si o n. I nd i vid ua l s a re e i t h e r no t
r e sp ons i b l e or a r e r e s p o ns ib l e t o a l e ss e r de g r e e i f t he y a re , f or i n st a nc e , c oe r ce d
t o ta k e ce r t a i n d e c i s io ns. T he q ue s t i o n i s, h ow e ve r, wha t e xa c tl y co unt s a s
co e r ci on. A p e r s on ca n , f or e xa m p le , b e f or c ed or ma n ip ula t e d t o w or k o n t he
d e v e l opm e nt of a p a r t i c ula r t e c hno lo g y un d e r t he th r e a t t ha t if he d oe s not
co op er a t e he w il l sa c r i f i ce hi s c ha nc e s of p r om oti o n. I n t h is ca se , t hi s p er so n is
st r i ct l y sp ea k i ng no t c oe r ce d t o w or k o n t he d e v e l opm e nt of t he p a rt i c ul a r
t e c h no l og y, h e c a n st i l l a ct d if f e r e n t l y. T h er e f ore t h e p e r s o n re m a i ns re sp o ns ib le
f or hi s / he r a c ti o ns . H ow e ve r , s in ce he/ sh e i s a l s o not e nt i re l y fr e e w e c oul d sa y
t ha t h e r r e sp on si b il it y is s om e w ha t sm a ll e r t ha n i n t he ca se w he r e sh e ha d f re e l y
c ho se n t o b e in v ol ve d i n t he de ve l op m e n t of t hi s t ec h n ol og y.

T he N A S A p ro je ct t e a m w a s und e r p r e s s ur e . T he la u nch i ng ha d a lr e a d y be e n
p o st p o ne d s e ve r a l t i m e s, w hi c h m e a nt t ha t t he ti me a va i la b l e f or o t he r s pa ce
mi s si ons w a s b e c omi n g ve r y l im i t e d . T he r e wa s a l s o t he p r es s ure of t he e a g e r
p ub l i c, l a r g e l y b e c a us e of t h e p r e s e nc e of M cA ul if f e , t he cr e wm e m b er w h o w a s a
t e a c he r . M or t o n T hi o k ol mi g ht a l so ha ve f e l t t h e p re s s ur e of NA SA b e ca u se
ne ga t i v e r e co mme nd a t i o ns c oul d w e ll ha ve p re v e n t e d f u r t he r c o op e r a ti on w it h
NA SA a nd t ha t w o uld ha ve ha d i ts f i na nc i a l co n se q ue n ce s. T he p o ssi bi lit i es op e n t o
t he e ng i ne e r B oi s j ol y w e r e l im i t e d. T he on l y t h i ng he co ul d ha ve p os sib l y d o ne t o
p r e ve nt t he d isa s te r w a s i nf orm t he p re ss b u t t ha t w o ul d ha ve ha d ne ga t i ve
co n se q ue n ce s ( e . g. d i s mi s sa l) f or h im a n d h i s f a mil y. I n a l l t hr e e ca s es , t he
p r es s ure w a s p ro b a b ly n ot st r o ng e noug h to sa y t ha t N A SA, M ort o n Th io k ol or
B oi s jo l y l a c ke d f r e e d o m of a c t i on; t he y co ul d ha ve d o ne ot he r t hi ng s t ha n t h e y
a ct ua l l y d id , t he y w e r e n ot c om p e l le d t o a c t a s t h ey d i d . N e v er t he l e s s, e s p e cia l l y
in t he c a s e of B oi s jo l y y o u co ul d a r g ue t ha t t he n eg a t i ve p e r s ona l co n se q ue n ce s he
co u ld e x pe ct d im in is he d hi s r e s p o ns i bi lit y.

1.4 Ac ti v e R es p on si bi l i ty an d th e I d ea l s of E n gi n eer s

We co n si d e r e d a b ove q ue st io ns of r e sp o ns i b ili t y w he n s om e t hi ng h a s g one w ro n g .

Re s p o nsi b i lit y is al so s ome t h in g t ha t c om e s i nt o p la y b e f or e h a n d, i f n ot hi ng ha s
ye t g on e w ro ng o r if t her e i s t he ch a nc e t o r ea l i se so me t hi ng g oo d . We w i ll r e f e r
t o t h i s a s a c t i ve r es po ns i bi lit y. I f s om e o ne i s a cti ve l y r e sp ons i b le f or so me t hi ng he

5
is e x p e c t e d t o a ct in s u ch a w ay t ha t und e s i r e d c onse q u e nce s a r e a v oid e d a s m uc h
a s p os si bl e a nd s o t ha t p os i t i ve c o nse q ue nc e s a r e be i ng r ea l is e d . A c ti ve
r e sp ons i b i li ty i s not p r ima r il y a b o ut b la m e b ut re q u ir e s a ce rt a i n p osi t i ve a t t i t u de
or c ha r a ct e r t r a i t of d e a li ng w it h ma t t er s. P hi lo s op h e r s c a l l s uc h p osi t i ve a t t i t u de s
or c ha r a ct e r t r a i t s v i rt ue s ( s e e c ha p t e r 3 ) . A ct i ve r e sp o ns ib i li t y, m ore o ve r , i s n ot
on l y a b o ut pr e ve nt i ng t he ne g a t i ve e f fe c t s of t e ch nol og y a s a b o ut r e al i si ng c e r t a in
p o sit i v e e f f e ct s.

Ac ti v e R es p o n s i bi l i ty

M a r k B o ve n s m e nt i on s t h e f o l l owi ng f e a t ur e s of a ct i ve r es po ns i b i li t y 2:
A de q ua t e p e r c e p t i on o f t h r e at e ne d vi ola t i ons of n orm s
C ons i de r a t i o n of t he c on se q u e nc e s
A ut o nom y, i. e . t he a b i li t y t o ma ke o ne s ow n i nd e p e nd e nt m or a l d e ci si on s
Di sp la y i ng c ond u ct t ha t is b a se d o n a ve r if ia b le a n d co n si st e nt c od e
T ak i n g r ole o bl ig a t io ns se r i o us l y

O ne wa y i n w hi c h t he a ct i ve r e sp o ns ib i li t y of e n g i nee r s c a n b e g i ve n s ub s t a nc e i s
t hr o ug h t h e i d e al s of eng i ne e r s . I d e a l s, a s w e w i ll und e r s t a nd t he n oti o n he r e ,
ha ve t w o s p e cif i c c har a ct e r i st i c s. F ir s t i d e a l s a r e id e a s or st r i vi ng s w hi c h a re
p a rt i c ul a rl y mo t i va t i n g a n d i n sp ir i ng fo r t he p e r s o n ha vi n g t h ose id e a ls. Se co n d, i t
is t y p i ca l f o r i de a l s t h a t t he y a im a t a c hie vi ng a n op t i m um or ma x i m um. O f te n,
t he r e f o re , i de a l s ca nn ot be e nt ir e l y f ul f i ll e d b ut re ma i n a s t r i vi ng . I n t he c our se of
p r a c ti si ng t he i r p r of e s s io n e ng i ne e r s c a n b e dr i ve n b y se ve ra l i d e a l s. T hos e ca n b e
p e rs ona l i d e a l s su c h a s t he d e sir e t o e a r n a l ot of mo ne y or t o s at i sf y a ce r t a i n
d e gr e e of c ur i os i t y bu t t he y ca n a l so b e s o ci a l o r m or al id e a ls, s uc h a s w a nt i ng t o
im pl e me nt t e c hn ol og i c a l e nd s t o im p r o ve t he w o rl d . T h os e ar e a l so t h e t yp e s of
id e a l s t ha t ca n s p ur p e op le o n t o op t f or a n e ng i nee r i ng f ie l d of st ud y a n d ca r e e r .
So me of t he se id e a ls a r e d i re ct l y l in ke d t o p r of e s s i ona l pr a ct ic e b e c a us e t he y a r e
cl os e l y a lli e d t o t he e n g i nee r i ng p r of e s si on o r c a n o n ly b e as pi re d t o b y ca r r yi n g
ou t t he pr of e ssi on of eng i ne e r. We ca l l s uc h id e a ls p r of e ss io nal i d e al s. A s
profe ss io na l i d e a l s, t h es e i d e a s a r e p a rt of p r of e ssi ona l r e sp ons i b i l i ty i n a s fa r
t he y s t a y w i t hi n t he l i mi t s of w ha t is m or a l l y a l l ow ed . B e l ow, w e s ha l l t he r ef o r e
d is c us s t he s e t hr ee d if f e r e nt p rof e ss io na l i d e al s of e n g i ne e rs a nd w e s hal l
e st a b li s h w he t he r t he s e i d e a l s ar e a l s o m or a l ly c om me nda b le .

1 . 4 .1 T ech no logical En th us ias m

T ec hno lo g i ca l e nt hus ia sm p e r t a i ns to t he id e a l of w a nt i n g t o d e ve l op ne w
t e c h no l og i c al p os si b il it ie s a n d ta ke up t e ch n ol og i ca l c ha l l e ng e s. T hi s i s a n id e a l
t ha t m ot i v at e s m a ny e ng i n ee r s. I t i s f it t i ng t ha t Sa mu el F lo rm a n r e f e rs t o t his a s
t he e x ist e n t ia l p l e a s u r e s of e n g i ne e ri ng . 3 O ne g o od e xa mp le of t e c hn ol og i ca l
e nt h us i as m i s t h e d ev e l op m e nt of G oo g le E a rt h, a p ro g ra m m e w i t h w h i ch, v ia t he
I nt e r net , it i s p os s ib le t o zo om i n o n t he ea r t h s s u r f a ce . It is a b e a uti f ul co nc ep t
b ut i t g iv e s ri se t o a l l ki nd s of m or a l q u e st io ns, f or i ns ta n ce i n t he a r e a of p r i va c y
( y ou ca n s t u d y t he op p o sit e n e ig hb o ur s g a r d e n i n gr e a t d e t a i l) a n d i n t h e f ie ld of
se cu r it y ( te r r or i s t s co ul d us e i t t o p la n at t a c ks) . I n a r e ce nt d o c u me nt a r y o n t he
su b je ct of G oog le E a rt h one of t he p r og r a m me d e v el ope r s a d m it t e d t ha t t he se a r e
im p or t a nt q ue s t i o ns . 4 N e ve rt he le ss , w h e n de v e lo p i ng t he p ro g r a m m e t he s e w e r e
ma t t e r s tha t t he d e ve l op e r s ha d fa i le d t o co ns id e r b e c au se t h e y w e r e so dr i ve n b y
t he c ha l le ng e of ma ki n g it t e c hno log i ca l l y p o s si b le f o r e ve r y o ne t o be a b le t o st ud y
t he e a r t h f r o m b e hi nd hi s or he r P C.

2
B o v en s ( 1 9 9 8 ) .
3
F lo r m a n ( 1 9 7 6 ) .
4
G o o g l e: A c h t er h et s c h er m ( i . e . Go o g l e: B eh i n d t h e S c r een ) , T e g en l i c h t , b r o a d c a s t o n
7th May 2006.

6
T ec hno lo g i ca l e nt hus ia sm i n i t se lf i s no t m or a l l y im p r o p e r; it is i n f a c t p o si t i ve f or
e ng i ne e r s t o be i nt r in s ic a ll y mot i va t e d a s f a r a s th e ir w or k i s c onc e r ne d . T he
in he re nt da n g e r of t e c hno lo g i ca l e nt hus ia sm l ie s i n t h e p o ss i b le ne g a t i ve e f f e c t s of
t e c h no l og y a nd t he re l e va nt s oc ia l c ons t r a i nt s b e i ng e a s i l y o ve r l o oke d . T h is ha s
b e e n e xe m p li f ie d b y t h e G oog l e E a rt h e xa m p l e . I t i s e xe mp lif i e d t o a n e xt r e me
e xt e nt b y t he e xa mp le of We r n he r vo n Br a un ( se e b o x) .

W er n her v o n Br au n (19 1 2- 1 97 7 ) 5

We r nhe r v on B ra u n i s f a mo us f or b e i ng th e c r e a to r of t he s p a c e p r og ra mm e t ha t
ma d e it p os s ib le t o p ut t he f i rs t p e r s o n o n t he mo o n on 2 0 t h Jul y 1 9 69 . A co up le of
d a y s b e fo r e , on 1 6 t h Jul y, t he A p ol lo 1 1 s pa ce s hi p u se d b y t h e a st ro na uts t o t r a v el
f r om t he e a rt h ha d b e e n l a un c he d w i t h t he he l p of a Sa t u rn V r o c ke t a nd V o n
B ra u n ha d b ee n t he m ai n d e si gn e r of t ha t r o c ke t . Sa m P hil li p s , t he d i r e c to r of t he
A me r i ca n Ap ol lo p r og r am me , w a s r e p or te d t o ha ve sa i d t hat w it h o ut V on B ra u n t he
A me r i ca n s w oul d ne ve r ha v e b e e n a bl e t o r e ac h t he m oo n a s s oo n a s t he y d i d .
La t e r, a f t e r ha v i ng sp ok en t o co lle a g ue s , he r e vie w e d h is c om me n t b y cl a i m i ng
t ha t w it h o ut V on B ra u n t he Am e ri ca ns w o uld ne ve r ha ve l a nd e d on t h e m oon f u ll
st o p .

V on B ra un gr e w up i n Ge r ma n y. F r o m a n e a r ly a g e he w a s f a sc i na t e d b y r oc ke t
t e c h no l og y. A c c or d i ng t o o ne a ne cd ot e V o n B r a un w a s not p a r t i c ul a rl y b r il li a nt i n
p hy s i cs a nd ma t hem a ti cs un ti l h e r e a d a b oo k e nt i tl e d Die Ra ke te z u de n
Pla nete nra m en b y He r ma nn n O b e r t h a n d r e a l is e d t ha t t hos e w e r e t h e s u b j e c t s he
w o ul d ha v e t o g e t t o g r ip s w it h if h e w a s l at e r g oi ng t o b e a b le t o c on st r u ct
r o c ke t s . I n t he 1 9 3 0s Von B r a un w a s i n vo l ve d i n de ve l op i ng ro c ke t s f o r t he Ge r ma n
a r m y. I n 1 9 37 he j oi n ed Hi t l e r s Na t io na l Soc ia li st Pa r t y a nd i n 1 9 4 0 he be ca m e a
me m be r of t he SS. La t e r he e x pl a i ne d t ha t h e ha d b ee n f or ce d t o j oi n t ha t p a rt y
a nd t ha t he ha d ne ve r p a r t i cip a t e d i n a n y p ol it i c a l a ct i v it i e s , a m a t t e r t ha t i s
hi st or i ca l l y d is p ute d . Wha t i s in a ny c a s e s t ri ki ng i s t he a r g um e nt t ha t he i n
r e tr os p e ct g a ve f or j oi ni ng t he Na ti ona l S oc i a l is t P a rt y w hi c h w a s t hi s: M y re f usa l
t o j oi n t he p a r t y w oul d ha ve m e a nt t ha t I w ou l d ha ve ha d t o a b a n do n t he w or k of
my l if e . T he r ef o r e , I d e ci d e d t o jo i n. 6 Hi s lif e s w or k w a s, of c our s e , r oc k et
t e c h no l og y a nd a d e vot i on t o t ha t ca us e i s s om et h in g t ha t r a n t h ro ug h V o n B r a u n s
li f e l i ke a r e d t h re a d .

D ur i n g t he Se c o nd Wor ld Wa r Vo n Br a un p la ye d a m a j or r ole i n t he d e ve lo pm e nt of
t he V 2 -r o c ke t wh i ch w a s d e p l o ye d f r om 1 94 4 o nw a r d s t o b om b , a m ong s t o t her
t a rg e t s, t he c it y of Lo nd on. I nc id e nt a ll y m or e w e r e ki lle d d ur i ng t he V 2 -r o c ke t s
d e v e l opm e nt a n e st i ma t ed 1 0 , 00 0 p e op le t ha n d uri ng t he a c t u a l b om b i ng s . 7
T he G e r ma n s ha d d e p l oy e d p r is on e r s f r om t h e M i tt e lba u-D or a c o n c e nt r a t i o n c am p
t o he l p i n t he pr od uct i on of t he V 2 -r oc ke ts . Von B ra un w a s p ro b a b l y a wa r e of
t h os e p e op le s a b omi na b le w o rk i ng c o ndi t i ons .

T he r e i s t he re f o r e m uc h t o i nd i ca t e t ha t Vo n Br a u n s ma i n r e a s o n f or w an t i ng t o
jo i n t he S S wa s c a re f u ll y c a l c ula t e d: in t ha t w a y he w ou ld b e a b l e t o c ont i n ue hi s
im p or t a nt w or k i n t he f ie ld of r o c ke t t e c hno l og y. In 1 9 43 he w a s a r r e s t ed b y t he
Na z i s a nd l at e r r e l e a s e d. I t wa s c la i m ed t ha t h e had a ll e ge d l y sa b ot a ge d t he V 2
p r og r a mme . O ne of t h e p i e c es of e v i de n ce u se d a g a i n st h im w a s t ha t he had
a p pa r e n tl y sa i d t ha t a f t er t he w a r t he V 2 -t e c h no l og y s h o ul d be f u rt he r d e ve lo p e d
in t he i nt e r e st s of s p a ce tr a ve l a nd t ha t i s i nd ee d w hat ult im a t e l y ha p p e ne d
w he n he la t e r st a r t e d t o w or k f or t he Ame r i c a ns. Wh e n, i n 19 4 5 , Von B r a un

5
B a s ed o n W ik i p e d i a ( 2 0 0 6 ) , S t u h li n g er a n d O r d w a y ( 1 9 9 4 ) , Ne u f e l d ( 1 9 9 5 ) , a n d W er n h e r
vo n B r a u n , W i ki p e di a . R et r i ev e d No v e m b er 2 4 , 2 0 0 6 .
6
W er n h e r vo n B r a u n , W i k i p e di a . R et r i ev e d N o v em b er 2 4 , 2 0 0 6 .
7
N eu f e l d ( 1 9 9 5 , p . 2 6 4 ) .

7
r e a li s e d t hat t he Ge rm ans w e r e goi n g t o l os e th e w a r he a rr a ng e d f or h is t e a m t o
b e ha nd e d ov e r t o t he A me r i ca ns.

I n t he U ni t e d S t a t e s V on B r a un o r ig i na ll y w o r ke d o n t he d e v e l o pm ent of ro c ke t s f or
mi li t a r y p ur p os e s b ut l a t e r he f u lf il le d a ke y r ol e i n t he sp a ce t r a v e l p r o g ra m m e , a
p r og r a mme t h at w a s u lt im a t e l y t o c u lm i na t e i n ma n s f ir st st e ps on t h e m oon. V o n
B ra u ns b i g d re a m d i d t he re f o r e ul t i ma t e l y c ome t r ue .

1 . 4 .2 E ffective ne ss a n d E fficie ncy

E ng i ne e r s t e nd t o st r i v e f or e f f e c ti ve ne ss a nd e f f i ci e n c y. E f f e ct i ve ne s s ca n be
d e f i ne d a s t he e x te nt to w h ic h a n e s ta b li s he d g oa l i s a c hi e ve d ; e f f i c ie nc y a s t he
r a ti o b e t w e e n t he g oa l a c hi e v e d a nd t he e f f o rt r e q ui r e d . T he d r i v e to st r iv e
t owa r d s e f f e c t i ve ne s s a nd e f f i ci e nc y i s a n a t t r a c t i ve id e a l f or e n g i ne e r s b e ca use it
is a p p a re nt l y s o ne ut ra l a nd ob j e c ti ve . I t d oe s not se e m t o i nv ol ve a ny p o lit i ca l
or m o ra l c hoi c e s, w hi c h i s s ome t h in g t ha t m a n y e n g ine e r s ex p e r ie n ce a s su b j e c ti ve
a nd t he re f or e wi s h t o a v oid . E ff i c ie nc y i s al s o s om e t hi ng t ha t i n c ont r a st , f or
e xa m p le , t o huma n w e l f a re ca n b e d e f i ne d b y e n g i nee r s a n d i s a ls o of t e n
q ua nt if i ab l e. E ng i n ee r s a r e , for e x a mp le , a b l e to de f in e t he e f f i cie n cy of t he
e ne r g y p r od u ct i o n i n a n e le ct r ic a l p o w e r s ta t io n a nd t he y c a n a ls o m e as ur e a nd
co mp a r e t ha t e ff i cie n c y. A n e xa m p le of a n e ng in ee r w ho sa w e f f i ci e nc y a s a n id e a l
w a s F r ed e r i c k W. T a y l or ( se e b ox ) .

Fr ed er i c k W . T ay l o r (18 5 6- 1 91 5 ) 8

F r e de r ic k T a yl or wa s a n A m e r i ca n m e c ha ni c a l e ng in e er . H e b e ca me k n ow n a s t he
f ound e r of t he e f f i c i e n c y m o ve me n t a nd wa s s pe c if ica l l y r e no w ne d f or a f or m of
sc ie nt i f ic ma na g em e nt a ls o k n ow n a s T a yl or i sm .

O ut of a ll hi s r e se a rc h T a y lo r b e ca me b e st k no w n f or hi s t im e -a nd -m ot i on s t u d ie s.
T he r e he e n d ea vo u r ed t o s cie nt if i c a l l y e st a b l is h w hi c h a c t io n s mo ve m e n ts
w or ke r s w e r e r e q ui r e d t o c a r r y o ut d uri ng t he p r od u ct io n p r oc e s s a nd h ow m uc h
t im e t ha t t o ok. He d i v i d e d th e r el e va nt a c t io ns i nt o se p a r a t e mo ve me nt s ,
e li m in a t e d a l l t ha t w a s s up e r f l uo u s a nd e nde a v ou re d, w it h t he a i d of a st op w a t c h,
t o e s t a b l i s h p re ci se l y ho w l ong t he ne ce ssa r y mo ve m e nt s t oo k. H i s a im w a s t o
ma ke t he w h ol e p ro d uc t i o n p r o ce s s a s e f f i ci e nt a s p os si b l e o n t he b a s i s of s uc h
in si g h t . T ay l o ri sm is of t e n se e n a s a n a t t em pt t o sq ue e ze a s m uc h a s p o ss i b l e out
of w or ke r s a nd i n p ra c t i c e t ha t w a s oft e n w ha t it a m ou nt e d t o b ut tha t ha d
p r ob a b ly not b e e n T a y lor s p r i ma r y g oa l . He b e li e v ed t ha t i t wa s p os si b l e to
d e t er mi ne , i n a sc i e nt i f ic f a s hi on, j us t w ha t wo uld b e t he be s t w a y of ca r r yi ng o ut
p r od uc t i on pr o ce sse s b y o r ga ni s i ng s uc h p r oc e s se s in s u c h a wa y t ha t op t im a l us e
co u ld b e m a de of t he op p or t un it i e s pr ov id e d b y w or ke r s w it h out h a vi n g t o d e ma nd
t oo m uc h of t he m . H e m a i nt ai ne d t hat his a p p r oa c h wo ul d p u t a n e nd t o t he o n-
g oi n g c onf l i ct be t w e e n t h e t r a d e un io n s a nd t he ma na g e r ia l e c he l o ns, t hu s m a k i n g
t r ad e u ni o ns re d und a nt . He w a s a ls o c r i t i ca l of ma na g e me nt w hi c h he f o un d
u ns ci e n t if i c a n d i ne f f i c ie n t . To h is m i n d ha vi ng t he in si gh t of e ng in e e rs a nd t he i r
a p pr oa c h t o t hi n g s w oul d c ulm in a te i n a b e tt e r a nd m or e e ff i cie nt for m of
ma na g em e nt .

I n 1 9 1 1 T a y lo r p u b li s he d hi s P rin cip le s of Scient ific Man agem en t i n w hi ch he

e xp la i ne d t he f o ur p r i nc ip le s of s ci en t if i c m a na g e me nt :
Re p la c e t h e p r e se nt ru le s of t h um b f or wo r k i ng me t hod s w it h me t hod s b a se d on
a s ci e nt if i c st ud y of t he w o r k p r o ce ss;
Se l e c t , t ra i n a nd d e ve l op e v e r y w or k e r i n a s ci e nt if i c f a sh io n i ns te a d of al l ow in g
w or ke r s t o d o t ha t t he mse l v e s ;

8
B a s ed o n T a y lo r ( 1 9 1 1 ) , L a y t o n ( 1 9 7 1 ) , a n d N e l s o n ( 1 9 8 0 ) .

8
 Re a l l y w or k t o ge t he r w it h t he w o r ker s s o t h a t t he w or k ca n b e c o m pl e te d
a c co r d i n g t o t he d e ve l op e d s c ie nt i f i c p r i nc ip l e s;
Wor k a nd re s po n si b i l it y a r e vi rt ua l l y eq ua ll y d i v id ed b e t w e e n ma na g e me nt a nd
w or ke r s. T he m a na g e me nt d oe s t he w o r k f o r w hi c h i t i s b e s t e qu i p p e d i ns t ea d
of a l low i ng th e w or ke r s t o d o t h e g r e a te st p ort i on of t he w or k w hi le a l s o
b e a ri ng t he m os t of t h e r e sp on si b i l it y.

T ho u g h T a yl or w a s a p r om in e nt e ng i nee r f or a t i me he wa s , f or i ns t a nc e ,
p r es id e nt of t he inf l ue nt ia l A me r i ca n So ci e t y of Me c ha n i ca l E n g i ne er s ( A SM E ) he
on l y had a l i m it e d de g r e e of su c ce s s w he n it ca me t o th e ma t t e r of c o nv ey i ng h is
id e a s t o pe o p le . T he y w e re n ot e m b r a c e d b y a l l e ng i ne e r s b ut , t ha nks t o a n um be r
of f ol l ow e r s , t he y w er e u lt i m at e ly ve r y i nf l u e nt i a l. T he y f i t t e d i n w e ll w it h t h e
moo d of t he ag e . I n t h e U. S. t he f ir st t wo d e ca d e s of t he tw e nt ie t h c e nt u ry w e r e
k now n a s t he P ro g r e s si ve E r a . It w a s a t im e w he n e ng i nee r s cl e a r l y m a ni f es t ed
t he m se lv e s a s a p r ofe s si o na l g r o up c a p a b le of p r o mot in g t he i nt e r e st s of i nd u st r y
a nd s oc ie t y. It w a s f re q ue nt l y i mp l i ed t ha t t he en gi ne e ri ng a p p r oa c h t o s oc i a l
p r ob le m s w as s ome h ow s up e ri or . T a yl or s e nde a v o ur s t o a c hie ve a f or m of
ma na g em e nt t ha t w a s e f f ici e nt a nd s ci e n t if i c f i tt e d p e r f e ct l y i nt o t ha t p i ct ur e .

T ho u g h m a n y e n gi ne e r s w oul d p r oba b l y n ot ha ve t a k e n t hi ng s a s f a r a s T a yl or di d,
hi s a t t e m p t t o e f f ic i e nt ly d e si g n t he w h ol e p rod uc ti o n p r oc e s s a nd ult im at e l y
so ci e t y a s a w h ol e c on st it ut e d a t y p i ca l e n g i ne e ri ng a p p r oa c h t o ma t t e r s.
E f f ici e n c y i s a n i de a l t ha t en d o ws e ng i ne e r s wi t h a ut ho r it y b e ca us e it is s om et h in g
t ha t a t le a st a t f i rs t s ig ht o ne ca n ha r d l y op pos e a n d t ha t ca n s e e m in g l y b e
me a s ur e d ob je ct i ve l y. T he a s p i ra t io n a m on gs t e ng i ne er s t o a c hie ve a ut h or i t y
p la ye d a n i m p or t a nt p a rt i n T a ylo r s t i m e . I n t he Unit e d Sta t e s t he e f f ic i e n c y
mo ve me nt be c a m e a n a ns w er t o t he r i se of l a r ge ca p it a li st i c c om p a nie s w h e r e
ma na g er s r u le d a nd e ng i ne e r s w e re me r e s u bor d i na te i mp le me nt e r s. I t c o ns t i t ut e d
a n e ff or t t o i m pr o ve t he p o sit io n of t h e e ng i ne e r i n re l a t i on t o t he ma na ge r . What
T ay l or w a s r e a ll y a r g ui ng w a s t ha t e n gi nee r s w e r e t he onl y r e a l l y c a pa b l e
ma na g er s.

F r om a m ora l p oi nt of vi e w, h ow e v e r , e f f e ct i ve ne s s a nd e f f i c i e nc y a r e not a l w a ys
w ort h p ur su i ng . T ha t i s b e ca u se e ff e ct i v e ne s s a nd e f fi cie n c y su p p o s e a n e xt er na l
g oal i n re l a ti on t o w hi c h t he y a re me a su r e d . T ha t e xt e r na l g oa l ca n b e t o c o ns ume
a mi ni mu m a mo unt of no n -re ne wa b l e na t ur a l r e s o ur ce s t o g e ne r a t e e n e r g y, b u t
a ls o w a r or e v e n g e n oc i d e . It w a s no c oi nc i d en ce t ha t N az i e n gi ne e r s li ke
E ic hma n n we r e p r o ud of t he e f f i c ie nt w a y i n w hi ch the y w e re a b l e t o c on t r i b ut e t o
t he s o- ca l le d r e s ol vi n g of t he Je w i sh q ue s ti on i n E u r op e w hi c h w as t o l ea d t o t he
mur d er i ng of s i x m i l li on Je w s . 9 The ma t t e r of w he t he r e f f e ct i ve ne s s or ef f i c ie n cy i s
mor a ll y w or th p ur s ui ng t her e f or e d e p e nd s v e r y m u c h o n t he e n ds f or w hi c h t he y
a r e e m pl oy ed . S o, a l t h ou g h som e e ng i ne er s ha ve ma i nt a in e d t h e op p o sit e , t he
me a s ur e me nt of t he e f f e ct i ve ne s s a nd e f f i c ie n cy of a t e c h no l og y i s va l ue -l a d e n. It
p r op o se s a ce r t ai n g oa l f o r w hi c h t h e t e c h no l og y i s t o b e e m p l oy e d and t ha t g oa l
ca n b e va l ue -la d e n. M ore o ve r , t o me a s u r e e ff i cie n c y o ne ne e d t o c a lc ul a te t h e
r a ti o b e t w e e n t he o ut p ut ( t he e x t e r na l g oa l ) a n d t he i np ut, a nd al so t he c ho ic e of
t he i np ut ma y b e va l ue -la d e n. A t e c hn ol og y ma y f or e xa mp le b e e ff i ci e n t i n t er ms
of co st s b ut n ot i n t e r ms of e ne r g y c ons um p ti on.

1 . 4 .3. Huma n welfa re

A t hir d id e a l of e ng in e e rs is t ha t of c on tr i b ut in g t o or a u g me nt i n g h uma n w e l fa r e .
T he p r of e s s i o nal c ode of t he A me r i ca n So c i e t y of M e c ha n ic al E n g i n e e ri ng a nd of
t he A me r i ca n S oc ie t y of C iv il En g i ne e rs st a t e s t ha t e ngi ne e r s s ha ll us e t he ir
k now l e d g e a nd sk i l l f o r t he e n ha n ce m e n t of h uma n w el fa r e . T hi s a ls o i nc l u de s

9
A r en d t ( 1 9 6 5 ) .

9
va l ue s s uc h a s h e al t h, t h e e n vi ro nme nt a nd su st a ina bi lit y. A c co rd i ng t o m a ny
p r of e ss io na l co de s t ha t al so me a ns t ha t : E n gi ne e r s s ha ll ho ld p a ra m ou nt t he
sa f e t y, he a l t h a n d w e l f a r e of t he p ub l ic ( a s , f or e xa m p le , st a t e d b y t he c od e of
t he N at i ona l S o cie t y of Pr of e s si on a l E n gi ne e r s, se e C ha p t er 2 ). I t i s w or t h n oti ng
t ha t t he re l e va nt va l u e s w ill d i f fe r so me w ha t d e p e nd i n g on t he pa r t i c ula r
e ng i ne e r i ng sp e c ia li sa t io n. I n t he ca se of s o f t wa r e e ng i ne e r s, f or i ns t a n ce , va lu e s
su c h a s t he e n vir o nm e nt a n d he a lt h wi ll b e l e s s re le v a nt w hi ls t ma t t e r s s u c h a s t he
p r i va c y a nd r e lia b il it y of s y st e m s w il l b e m or e i m por t a nt. O ne of t h e mo st
im p or t a nt va l ue s t ha t f a ll s u nd e r t he p ur s ui t of h um a n w e lf a r e a m on g s t e ng i ne e r s
is sa f e t y. O ne of t h e e ng in e e r s w ho w a s a gr e a t p r o p one nt of sa f e t y w a s t he D ut ch
ci vi l e n g i ne e r Joha n v a n V ee n.

J oh an va n V e en (18 9 3-1 95 9 ) 10

Joh a n v an V ee n is k no w n a s th e f a t he r of t h e D e lt a Wor ks, a ma s s ive p la n de v i se d

t o pr ot e c t t h e coa st s o f Sou t h-w e st e r n p a rt o f the Ne t he r l a nd s w h ic h ma t e r i a l is e d
a f t e r t he fl ood d isa s te r of 19 5 3 . D ur i ng t he d is a s te r 1 8 35 p e op le d ie d a nd m or e
t ha n 7 2 , 00 0 w e re f o rc ed t o e va c ua t e t he i r h ome s.

B ef or e t he d i sa s te r o c c urr e d t he r e we r e i nd i ca t i o ns t ha t t h e d y ke s i n Z e e la nd w e r e
no t up t o s t a n d a r d . I n 1 9 34 , f oll ow i ng a st ud y i nt o t he c o nse q ue n ce s of t he
p la nne d d a m c r e a t i on in t he B ie s b os c h, i t w a s d is c ov e r e d t ha t a nu mb e r of d y ke s
w e re p r ob a b l y t o o l ow . I n 19 3 9 Wem e lsf e ld e r , a P ub li c Wo r k s A ge n c y e mp l o ye e
w or ki ng f o r t he Re se a r c h Se r v ic e f o r t he E s t ua r ie s, L ow e r Ri ve r Re a c he s a nd
C oa st s se ct or , w a s a b l e t o s up p o rt t h at a ss um pt i on w it h a s e ri e s of m od e l s . E ve n
b e f or e t he b i g d is a st e r of 1 9 5 3 J oha n v a n V e e n ha d e m p ha s i se d t h e n ee d t o c lo se
of f c e rt a i n e st ua ri e s.

V an V ee n s t ud ie d c i v il e ng i ne e r i ng i n De l f t b e f ore t he n g oi n g on, i n 1 92 9 , t o w o r k
f or t he Re se a r c h Se r v i ce w h i ch he w a s l a te r t o he a d . O n t he b a si s of hi s i nt e re st in
t he h is t or y of hy d r a ul i c e n g i nee r i ng a nd hi s a ct i v it ie s w it h t he P ub l i c Wor k s
A ge n cy, he gr a d ua l l y b ec a m e c o nv i nc ed t ha t t he da n ge r p os e d b y st o r m -d r i ve n
f loo d i ng ha d be e n va st ly u nd e r e st i ma t e d a nd t ha t t he d y ke s w e r e i nd e e d to o low .
V an V ee n w a s q ui t e a d a ma nt a b o ut h is be l ie f s w hi c h so on e a r ne d hi m t he
ni c k na me , w it hi n t he s e r v i ce , of t h e ne w C a s sa nd r a a f t e r t he Tr o j a n p r i e st e s s w h o
ha d p e r pe t ua ll y p r e di c t e d t he f al l of Tr oy. H e e ve n a d op t e d t he p s e ud o n ym
C as sa n dr a i n t he e p il o g ue t o t he f o ur t h e d it i on of h is b oo k Dred ge, Drai n, Re cla im
t ha t w a s p ub l i s he d i n 19 5 5 . A cc or d i ng t o Va n V e e n Ca s sa nd r a ha d b ee n w a r ni ng
p e op l e a b out t he to o l ow st a t e of t he d y ke s si nc e 19 3 7 . I n t he f if t h imp r e s si on of
hi s b o ok, wh i c h a p p e a r e d i n 19 6 2 , Va n Ve e n re ve a l e d t ha t he w a s i n f a c t
C as sa n dr a . Va n Ve e n s r e p or t i ng of t h e l ow ne s s of th e d y k e s w a s n ot so me t hi ng
t ha t w a s w e lc om e d . I n f a ct it w a s d e li b e r at e l y ke p t se cr e t t o t he p ub li c. I t i s e ve n
sa i d t ha t V a n V e e n w a s s w o r n t o s i le nc e on t he m at te r .

I n 1 9 3 9 V a n V e e n b e c a me se cr e t a r y of t he n e w l y cr e a te d S to r m F l oo d C om m it t ee .
I n t ha t ca pa c i t y he w a s g i ve n t he sp a ce t o e l a b or ate se ve r a l of hi s p la ns f or t he
f urt he r d e f e n ce of t he N e t he r la n ds . I n p ub li c d eb a t e s h e c on si st e nt l y ba se d hi s
a r g ume nt s f or t h os e p l a ns on t he ne e d t o c o mb a t si l ti ng up an d t he f or ma t i o n of
sa l t -w a t e r b a s in s. U nd oub t e d l y t ha t w a s b e c a us e e ve n t he n he w a s u na bl e t o
p ub l i c l y a i r hi s vie w s a bo ut sa f e t y.

E ve n t h o ug h pr e -19 5 3 the r e wa s g r owi ng d o ub t w it hi n t he P ub l i c W or ks Ag e nc y a s

t o t he a b ili ty of t he e x i st i n g d y ke s t o b e a b le t o w it hs t a nd a st or m - d r i ve n f l ood
t ha t w a s not a ma t t e r t ha t be c am e p u b li c ly k now n. It w a s n ot o nl y t he P ub l i c
Wor k s A g e n c y a nd t he r e l e va nt m in ist e r t ha t ke p t q uie t a b o ut t he p os si b i l it y of a

10
B a s ed o n t en H o r n - va n Ni s p en ( 2 0 0 2 ) , v a n d er H a m ( 2 0 0 3 ) , a n d D e B o e r ( 1 9 9 4 ) .

10
f loo d di s a st e r. A t t ha t t ime t he p r e ss w a s n ot ke e n t o p u b li s h su c h d o om a n d
g lo om st or ie s e i t h e r. A s t her e w a s lit t le or no p u bl i ci t y a b o ut t h e i na de q ua c y of t he
d y ke s t he i nha b it a nt s of Z e e l a nd w e re t hu s t ot a l l y s u rp r is e d b y t he d i sa s t e r . T he r e
a r e no i nd i ca t i o ns t hat i n t he pe r io d le a d i n g up to 1 9 53 st e p s w e r e t a ke n t o
im pr o ve t he st o r m w a r ni ng s y st e m s a n d t he a id ne t w o r k s. I f t ha t h a d ha p p e ne d
t he n it i s u nd o ub t e d ly t he c a s e t ha t c ons i d e r a b l y f e w e r p e o pl e w ou ld ha ve l os t
t he i r l i ve s.

F r om a m ora l p oi nt of vi e w t he pr of e ssi ona l i de a l of h um a n w e lf a r e is h a rd l y

co nt es t a b l e. O n e co ul d m a yb e w o nd e r w he t he r se r vi ng hu m an w e l f a re i s a m ora l
ob l ig a t io n for e ng i ne e r s, b ut if t he y c hoo se t o d o s o t hi s s ee m s ce r ta i nl y l a u da b le .
T he r e f or e f r om a m ora l a ng l e , t hi s i d e a l h a s a not h er s ta t u s t ha n t h e ot he r t w o
id e a l s d i sc u sse d a bo ve . A s w e ha ve se e n t e c h nol o gi ca l e nt hu si a s m a nd
e f f e ct iv e n es s a nd e f f i c i e nc y a r e id e a ls t ha t a r e not ne ce s sa r il y m o r a ll y
co mm e nd a b le , a lt hou g h t he y a re a l s o n ot al w ay s m or al l y r e p r e he n si b l e ; i n b ot h
ca s e s m uc h d e p e nd s o n t he g oa l s f or w h ic h t e c hno lo gy i s us e d a nd t h e s id e -e f f e ct s
so c r e a t e d . B ot h i d e a l s, m or e ov e r, ca r r y t he d a ng e r of f o rg e t t i ng a b o ut t h e m or a l
d ime n si on of t e c hn ol o g y. O n t he ot he r ha n d , t he id ea l of h uma n w e l f ar e c o nf ir ms
t ha t t he pr of e s si o na l p r ac t i ce of e ng i ne e r s i s n ot s om e t hi n g t ha t i s mo ra l l y ne ut r a l
a nd t ha t e n g i ne e rs d o mor e t ha n m e r e l y de v e l op ne utr a l m e a ns f or t h e g oa l s of
ot he r s.

1.5 En g i n e ers v ers u s Ma na g er s

E ng i ne e r s a re of t e n s a l a ri e d e mp l oye e s a n d t h us h ier a r ch ic a ll y b e lo w ma nag e r s.

Jus t a s w it h o t he r p r of e ss i ona l s th is c a n l e a d t o si t u a t i o ns of c onf li ct be ca use t he y
ha ve , o n t he o ne ha nd , a r e s p o ns i b il i t y t o t h e c om pa ny i n w h i ch t he y w o rk a nd , on
t he ot he r ha nd, a p r of e ss io na l re sp o ns ib i l it y a s e ng i ne e r i ng , i nc l ud i ng a s w e
ha ve s e e n a r e s p o ns ib i l it y f or h um a n we l fa r e . We wi ll d i s c u ss b e l ow t h r e e mo de l s
of de a l i ng w i t h t hi s t e ns io n a n d t he p ote nt ia l co nfl i c t b e t w e e n e ngi nee r s a n d
ma na g er s: s e p a r at i sm, t e ch no cr a c y a nd w hi s t l e- b l ow i n g .

1 . 5 .1 Separatis m

Se ve ra l m ont hs a f t e r t he C hal l e n g er d isa s te r Bo i s j ol y, t he e n g i ne e r , sa i d t he

f oll ow i n g : I mu st e m p ha si ze , I ha d m y sa y, a n d I ne ve r [ w ou ld ] t a ke [ aw a y] an y
ma na g em e nt r ig ht t o t a ke t he i n p ut of a n e n gi nee r a nd t h e n m a ke a d e ci si o n b a se d
up o n t hat i np ut , a nd I t r ul y b el ie ve t ha t . I ha ve wor k e d a t a l ot of c omp a ni e s, a nd
t ha t h a s b e e n d o ne f r om t ime t o t i me , a nd I t r ul y be l i e v e t ha t , s o t he r e i s n o p o in t
in me d o i ng a n yt h in g f ur t he r t ha t I ha d a lr e a d y a t te m p te d t o d o. 11 I t i s a v ie w
t ha t f i t s i nt o w ha t m ig ht b e t er m e d se parat is m : t he not io n t ha t s ci e nt is t s a nd
e ng i ne e r s s ho ul d a p p l y t he te c h ni ca l i np ut s, b ut a pp r op r ia t e ma na g e me nt an d
p ol it i c a l org a n s sh o ul d m a k e t he va l ue d e ci si on s. " 12 S e pa r a t i sm i s w e ll i ll u st r a t e d
b y t he t ripart ite mo del .

I n t he t ri pa r t it e mo d el t hr e e se pa r a t e se gm e nt s a r e d i st i ng ui s he d ( F ig u re 1 . 1 ). T he
f ir st i s t he se g me nt of p o lit i c ia ns, p ol i c y m a ke r s a n d ma na g e r s w ho e st a b li s h t he
ob je ct i ve s f or e ng i ne e r i ng p r oj e c t s a n d pr od u ct s a nd ma ke a va i la b l e r e s o ur ce s
w it ho ut i nt e rv e n i ng i n e ng i ne e r i ng m a tt e r s. T he y a ls o s ta ke o ut t h e ul t im a t e
b o und a r i e s of t he e ng i ne e r i ng p r oj e c t s. T he se co nd s e g me nt r e l a te s t o t he
e ng i ne e r s w h o t a k e ca r e of t he d e s i g ni n g , d e ve l op i ng , cr e at i ng a n d e xe cu t i ng of
ce r t a i n pr oj e c t s or p r o du ct s. T h e f i na l s e gm e nt , t he u se r s, i n cl ud e s t h os e w h o
ma ke use of t he va r i o us t e c h nol og i e s. A c c or d i ng t o t his m od e l e n g ine er s c a n o n l y
b e he l d r e s p o ns ib le f or t he t e ch n ica l c r e a t i o n of p r o d uc t s.
11
Go l d b er g ( 1 9 8 7 , p . 1 5 6 ) .
12
Go l d b er g ( 1 9 8 7 , p . 1 5 6 ) .

11
 F i gu r e 1. 1 : T he Tr i pa r t it e M od e l

T he t r i p a rt i te mo d e l 13 i s b a s e d o n t he as s ump t i o n t ha t t he r e s po n si b i lit y of
e ng i ne e r s is c o nf i ne d t o t he e ng i ne e r i ng ch oi c e s t ha t t he y m a ke . T he f or mu la t i o n
of t he d e sig n a s sig n m e nt , t he w a y i n w hi c h t he t e c hn ol og y i s use d a n d t he
co n se q ue n ce s of a l l of t ha t a r e no t t hus co n si d e r e d t o b e p a r t of t he re s p o n si b il it y
of e ng in e e r s . A c c or d i n g t o t hi s vi ew t he re sp on si b il it y of e ng i ne e r s l im i t s i t se l f t o
t he p r of e s si o na l r e sp ons i bi lit y t ha t t h e y ha v e t o the i r e mp l o ye r , c us t om e r a n d
co ll e a g ue s, e x cl ud i ng the g e ne r a l p ubl i c. T he ca s e of We r ne r v on B ra u n i ll us t ra t e s
t hi s w e ll . V o n B r a un w a s r e c on ci le d t o t h e s ub or di na t e r ol e of e ng i nee r s b ut
p e rp e t ual l y s o ug ht w a ys of p ur su i ng h is te c h no lo g i ca l i d e a l s a nd , in s o d oi n g,
d is p l a ye d a d eg r e e of in d if f e r e nce t o t he s oc i a l c on se qu e n ce s of t h e a p p l i ca t io n of
hi s w or k an d t o t he i m m or a l i nt e nt i ons of t h ose w ho h a d c om m is s i on ed t h e t a s k.
Hi s cr e e d mu st ha ve b e e n: In t i m e s of w a r , a m a n ha s t o st a nd u p f o r hi s co u nt r y,
a s a c om b a t so ld i e r a s a s c ie nt i st or as a n e ng i n eer , r eg a r d le s s of w he t he r or not
he a g r e e s w it h t he p ol ic y h is g o v e r nm e nt is p u r s ui ng. 14 I t is a r ole t ha t mi g ht
a lt e r na t i ve l y be d e s c r i b e d a s be i ng t hat of a hi r ed g u n. T he d a n g e r ou s s i d e of
t hi s r o le ca n pe r ha p s b e st b e s um me d up in t he w o r ds of t he s ong t e xt of t h e
B ri t i s h sa t ir i st T om Le hr e r 15:

O n ce t he r oc k et s g o up
Wh o ca r es w he r e t he y c ome d ow n
t ha t s no t m y d e p ar t m e nt
s a id We r nh er v o n B r a un.

1 . 5 .2 T ech no cra cy

A n a lt e r nat i ve f or t he e ng i ne e r a s a hi r e d g u n i s of f e r e d b y F r e d e r i ck T a yl or . H e
p r op o se d t ha t e ng i ne e r s s ho ul d t a ke o ve r t h e r ole of ma na ge r s i n t he g ov e r na nc e
of co mp a ni e s a nd t hat of p ol it ic i a ns i n t he g ov e r na nc e of s o ci e t y. T hi s p r op o sa l
w o ul d l e a d t o t he e st a b li s hm e nt of a t e c h noc ra c y, i . e . g o ve r nm e nt b y e x pe r t s.
A c co rd i ng l y, t he r ole o f e ng i ne e r s w oul d b e t ha t of te c h n oc r at s w h o, on t h e ba si s
of t e c hno lo g i ca l i ns ig ht , d o w ha t t he y c o ns i d e r b es t f or a c omp a n y or f or s oc ie t y.
T he r o le of t e c h n oc ra t ic is p r ob l em a ti c f or a n um b e r of r e a s o ns. F i r st , it i s no t
e xa ct l y c l e ar w hat a r e th e u ni q ue a r ea s of e xp e rt i se po ss e s se d b y e ng i ne er s t ha t
p e rm it t he m t o le g it i m a te l y l a y cla i m t o t he r ol e of t e ch no cr a t s. A s we ha v e se e n,
co n ce a le d be hi n d t he us e of a p p a re nt ly ne ut r a l t e rm s li ke e f f ic ie n c y t he r e is a
w h ol e wo r ld of v a l ue s a nd c o nf l i ct i ng i nt e r e s t s . A d mit t e d l y e ng i ne e r s d o h a v e
sp e ci f i c t e c hnol og i ca l k now le d g e a n d t he y d o k now ab o ut , fo r e xa mp le , t he r is k s
t ha t m a y b e in v ol ve d i n a te c hn ol og y . Wh e n it co me s t o t he u nd e r l yi ng g oa l s t ha t
sh o ul d be p ur s ue d t hr ou g h t e c hno lo g y or t h e ac ce pt a b le le ve l s of r is k t he y a r e no t
a n y m or e k now l e d g e a b le t ha n ot he r s ( t he t e c h no cr a t i c f a ll a c y, se e c ha p t e r 4 ) . A
se co nd ob j e c t i on t o t e c hn oc ra c y i s t hat i t i s u nd e mo cr a t i c a nd p a t e rna li st i c. We
sp e a k of p a t e rna li sm w he n a ce r t a i n g r o up of i nd i vid ua ls, in t hi s ca s e e ng i ne e r s,
co nt en d s t ha t i t k n ow s b e tt e r wha t i s g o od f or ot he r s t ha n t ho se s am e ot he r s
t he m se lv e s k n ow . I n t ha t w a y pa t e r na l is m d e ni e s t ha t p e o p le ha v e t h e r ig ht t o

13
S e e e . g . V a n d e P o e l ( 2 0 0 1 ) ; o r i g in a l l y b a s e d o n B o er s ( 1 9 8 1 ) .
14
S t u h li n g er & O r d w a y ( 1 9 9 4 , p . x i i i) .
15
T ex t f r o m t h e n u m b er ' W er n h er vo n B r a u n ' b y T o m L eh r er t h a t f ea t u r ed i n h is a l b u m
T h at w as t h e y e ar t h at w as o f 1 9 6 5 .

12
sha p e t h e ir o wn li ve s. Tha t c la s he s w it h t he p e o pl e s m or a l a ut ono my, i .e . t he
a b il i t y of p e op l e t o d e ci d e f or t h em s e l ve s w ha t i s g ood a nd r ig ht . M or al a ut o nom y
is of t e n c o ns i d e r e d a n i mp or t a nt m ora l va l ue .

1 . 5 .3 Wh is tle -blow in g

A t hir d ro l e m od e l i s o f f er e d b y V a n V e e n. J us t l i ke B oi s j ol y he a c c e p te d t o a n
im p or t a nt e xt e nt h is s ub or di na t e r ol e as e ng ine e r b ut he d i d e nd e a vo ur t o f i n d
c ha n ne l s, i nt er na ll y a n d e x te r na ll y, t o a i r hi s g r ie v an ce s o n sa f e t y. Th o ug h he
ne ve r w e nt p ub l i c a s s uc h his r ole ve r ge s on t ha t of w hi st l e - bl ow e r a s he r e p or t e d
int e r na l w r o ng s e xt e r na l l y i n o rd e r t o w a r n s oc i e t y T he te r m w h ist l e -b low i ng i s
us e d if a n e mp l oye e d i sc lo se s ce r t a i n a b u se s i n a comp a n y i n w h ic h he o r s he i s
e mp l o ye d wi t ho ut t he co n se nt of hi s s up e ri o rs a n d i n or d e r t o r e m e d y t he se a b us e s
a nd/ or t o w a rn t he p u bl i c a b o ut t he se a bu se s. 16 Ab u se s d o no t onl y in cl u d e t he
e nda n g e r m e nt of p u b li c he a lt h, sa f e t y or t he e n v ir onm e nt b u t a l s o in di ct a b l e
of f e nce s , v i ola t io n of t he l a w a n d of l e gi sla t i on, d e c ep t io n of t he p ub li c or t h e
g o ver n me nt , c or r upt i on, f r a ud , d es tr o y i ng or ma nip u la t i ng i nf or ma t io n, a nd a b use
of p ow e r , i nc l ud i n g s e xua l ha r as sme nt a nd d is cr i mi na t io n. T he ob li ga t i on
( c onf i de nt ia li t y ag r e e me nt ) e ma nat i ng f r om an e m p l oy e e s r ole m a y c onf li ct wi t h
t he o b li ga t i o n t o p r ote c t s oc ie t y f r om ne g at i ve s i t ua t i on s e ma na t i n g fr om t h e r ole
of t he e n gi ne e r .

G ui d e l i ne s f or w hi st le - bl ow i ng 17

A c co rd i ng t o t h e s t a nd a r d g u id e li ne s, w hi s tl e -b l ow in g i s m or a l l y re q u ir e d w he n:
1 . T he or ga niz a t i on t o w hi c h t he w ou ld -b e w hi st l e b l ow er be l on g s w il l , t hr o ug h
it s p r od u ct or p oli c y, d o s er i ou s a nd c ons i d er a b l e har m t o t he p u bl i c
( whe t h er t o us er s of it s p r o du ct , t o i n no ce nt b ys t a n d e r s , or t o t he p ub li c a t
la r g e );
2 . T he w o ul d -b e w hi st le b low e r ha s i d e nti f ie d th a t t hr ea t of ha rm , re p or te d it t o
he r i m me d ia t e s up e r i o r , ma ki ng c le a r b ot h t he t hr e a t it se lf a n d t h e
ob je ct i o n t o it , a nd c o n cl ud e d t ha t t he s up e r i or w i l l d o not hi ng e f f e ct iv e ;
3 . T he w o ul d -b e w hi st le b low e r ha s e xh au st e d ot he r i nt e r na l p r o ce d ur e s w i t hi n
t he o r g a ni za t i o n ( f or e xa mp le , b y g oi ng u p t he or g a niza t i ona l la d d e r a s f a r
a s a l l o we d ) or a t l ea s t m ad e u se of a s ma ny i nt e r nal p r o ce d ur e s a s t he
d a ng e r to o t he r s a nd he r ow n sa f e t y ma ke r e a so na bl e ;
4 . T he w o ul d -b e w hi st le b low e r ha s ( or ha s a c ce ssi b le ) e vi d e n ce t ha t w oul d
co n vi n ce a r e a s o na bl e , imp a r t i a l ob s e r ve r t ha t h e r v i ew of t he t hre a t i s
co r re c t; a n d
5 . T he w o ul d -b e w hi st le b low e r ha s g oo d r ea s on t o be l ie ve t ha t re ve a l i ng t he
t hr e a t w il l ( p r ob a b l y) pr e ve nt t h e ha r m a t r e a s ona b le c os t (a l l t hi ng s
co n sid e r e d) .

Wh ist l e -b l ow e rs ar e of te n se e n a s p e op le w h o a r e m ora l l y t o be c o mm e nd e d . I t
d oe s no t , h ow e ve r , se e m d es i r a b l e t o le t t he p r of es si o na l e t hi cs of e ng i ne e r s o r
p e op l e of a n y ot he r p r ofe s si on t o b e e x c l u si ve l y d e p e nd e nt o n s u ch p r a c t i c e s . I n
t he f i r s t p l a c e w his t l e -b lo w i ng us ua l l y f o rc e s pe opl e t o m a k e b ig sa cr i fi ce s a nd o ne
ma y q ue s t i o n w he t he r it i s l e g i t i ma t e t o e x p e ct t he a ve r ag e p r of e s s io na l to ma ke
su c h sa cr if i c e s. In t he s e co nd p la ce t he e f f e ct i ve ne ss of w hi st le -b l ow i ng i s of t e n
li mi t e d b e c a us e a s s oo n a s t he w hi st l e i s b lo w n t h e co mm u ni ca t i o n be t w e e n
ma na g er s a nd p r of e ss i ona ls ha s i ne vi ta b l y b e e n d i s rup t e d. I t w o ul d b e m uc h m or e
e f f e ct iv e if a t a n e a r li e r s t a g e t he c o nc er ns of t he p r of e s s i o na l s w er e t o be

16
C f . M a r t in & S c h i n z i g er ( 1 9 9 6 , p . 2 4 7 ) .
17
We t a ke t he ve r si on o f De Ge or g e (1 9 90 ) .

13
a d dr e ss ed b ut i n a mo r e co ns tr u ct i ve w a y. T hi s d e ma nd s a r ol e m od e l i n w hi c h t he
e ng i ne e r a s p r of e ss i o na l i s n ot ne ce ssa r il y op p o se d t o t he m a na g e r. I t me a ns t ha t
e ng i ne e r s ha ve t o b e ab l e t o r e c og ni s e m or a l q ue st i o ns i n t he ir p r of e ss i o nal
p r a c ti ce a nd d i sc us s t he m i n a co ns t r uc ti ve wa y w it h ot he r pa r t i e s .

1.6 T h e So c i al Co n te x t of Te c h n o l o gi c a l D ev el o pm en t.

E ng i ne e r s a re n ot t he onl y on e s w h o a r e r e s po ns i bl e f or t he d e ve l opm e nt a nd
co n se q ue n ce s of t e c hn ol og y. Ap a r t f r o m ma n a ge r s a nd e ng i ne e rs t he r e a r e ot he r
a ct or s t ha t i nf l ue nc e t he d i r e c ti on t a ke n b y t e c h nol og i c a l d e v e l op m ent a nd t he
r e le va nt s oc i a l c o nse q ue n ce s. We u se t he t e rm a ct or he re f or a ny p e rs o n or g r o up
t ha t c a n ma ke a d e c is i on how t o a ct a n d t ha t ca n a ct on t hat d e ci s io n. A c omp a ny
is a n a c t o r b e ca u se it us ua ll y ha s a b oa r d of d i r e ct o rs t ha t ca n ma ke de ci si on s o n
b e ha l f of t ha t c om pa n y a nd i s a b l e t o e f f e c t ua t e t ho se d e ci s i ons . A m ob o n t he
ot he r ha n d i s u su a ll y no t a n a c t or . A va r ie t y of a ct or s ca n be d is ti ng ui s he d t ha t
us ua ll y p la y a r ole i n t ec hno lo g i ca l d e ve lo p m e nt :
De ve l op e r s a nd p r od uc e rs of t e ch nol og y. T hi s i n cl ud e s e ngi ne e r i n g c omp an ie s ,
in d u st r i a l la b o ra t o r ie s, c o ns ult i ng f i r m s, uni v e rs it ie s a nd re se a r c h c e nt r e s, a ll
of w hi c h u sua ll y em p lo y s cie nt is t s a nd e ng in e e r s.
U s er s w h o us e t he t e c hno lo g y a nd f or m ul a te ce r t a i n wi sh e s o r r e q ui re me nt s f or
t he f u n ct i o ni ng of t he t e c h nol o g y. T h e use r s of t e c hno lo g ie s a r e a ve r y d i ve rs e
g r ou p , i nc l ud i n g b ot h c om p a ni e s an d ci t i ze ns ( c on s ume r s) .
Re g u la t or s l i ke t he g o ve r n me nt w ho f orm ul a t e r ul e s or re g ula t io n s t ha t
e ng i ne e r i ng pr od uct s ha ve t o m e e t s uc h a s r u li ng s co n ce rn i ng hea l t h a nd
sa f e t y, b ut a ls o r uli n g s l i nk e d t o r e la t i on s b e t we e n c omp e ti t or s. R e gu la t or s ca n
a ls o s ti m u la t e ce rt a i n t e c h no l og i c al a d va n ce s b y mea ns of s ub s i d ie s.
A ls o ot he r a ct or s m a y b e i n v ol ve d i n t e c hn ol og i ca l d e v e l op m e n t i n cl ud i ng, f o r
e xa m p le , p rof e s s i ona l as s o cia t io ns, e d uc at i ona l i ns ti t ut e s, i nt e r e st gr o ups a nd
t r ad e u ni o ns . A l l t he se a ct or s ha ve c e r t a in i n te r e st s, i .e . t h in g s t he y st r i ve f or
b e ca us e th e y a re b e ne f i cia l or a d v a nt a g eo u s f or t he m. T he i nt e r e s t of t he v ar i o us
a ct or s wi ll of t e n c onf li ct , s o t ha t t he r e is n o a gre e me nt on t he d e si ra b le d ir e ct io n
of t e c hno lo g i ca l d e ve l op m e n t.

F ig u re 1 . 2 : T e c hn ol og i c a l D e ve l op m e nt M a p of A ct or s

I n a d d it i o n t o a ct or s t ha t i nf l ue n ce t he d i r e c t io n of t e c h nol og i c a l d e ve l op me nt w e
d is t i ng ui s h st a ke hol d e r s. St a ke ho ld e r s a re a ct or s t ha t ha ve a n i nt e re s t ( a st a ke )
in t he d e ve l op m e n t of a t e chn ol og y, b ut w ho ca n not ne ce ssa r il y i nf lue nce t he
d ir e ct io n of t e ch nol og i c a l d e v e l op m e nt . A n e xa mp le is pe op le li vi n g i n t h e vi ci ni t y
of p l a nne d c ons t r u ct io n sit e f o r a n uc l e a r p l a nt . O b v i ous l y t h es e p e op le ha ve a n
int e r e s t i n w ha t t yp e o f re a ct o r i s b ui l t a nd h ow s a fe i t i s b ut t he y m a y not b e a b l e
t o inf lu e nce t he te ch n ol og y d e ve l op e d. O f c ou r se , s u ch gr o up s m a y or g a ni ze
t he m se lv e s a n d t r y t o ge t a sa y i n t e c hno lo g i ca l de ve lo p me nt a nd t he y m ay d o so
mor e or le s s s uc ce ss f u l l y. S ta k e h ol d e r s a r e n ot o nl y r el e va nt b e ca us e t he y ma y

14
b e c om e a ct or s t ha t ac tua l l y i nf l u e nc e t e c hn ol og i ca l d e ve l op m e nt , t he y a r e a ls o
im p or t a nt f r om a m ora l p oi nt of v i e w . A s w e ha ve see n st a ke hol d e r s a r e a ct or s
w h os e i nte r e s t s a r e a t st a ke i n t e c hn ol og i ca l de ve l op me nt . It i s of t e n a s su me d t ha t
mor a lit y a n d e t h i cs re q u ir e t ha t w e d o not j us t neg l e c t t he i nt e r e s t of th o se a ct or s
b e ca us e th e y a re p ow er l e s s b ut t ha t w e s h o ul d t a ke t he m s ome ho w i nt o a c co unt . 18

Th e I n v e n ti o n o f T ef l on 19

Roy P lu n ke t t a 28 - ye a r- old ch e mi s t a t D u P on t w a s r e q ue st e d i n 1 93 8 t o
d e v e l op a ne w , no n -p o iso n o us c o ol a nt f or f r i d g e s. He t he r e f ore f il l e d a m e ta l t ub e
w it h a l it t le - us e d m ix t ur e a nd w it h t e tr a f lu or e t h yl e e n t ha t w ou ld p e rha p s p os se ss
co ol i ng q ua l i t ie s. Whe n he w e nt t o ge t t he m ix t u re o ut of t he t ub e n ot hi ng ca m e
ou t b ut t he t ub e w a s 6 0 g r a m s he a vi e r t ha n n or m a l. T he r e t he r e f or e ha d t o b e
som e t hi ng i n it . Af t e r ha vi ng sa w n o p e n t he t ub e i t w a s d is c o ve r e d t ha t a p a l e a nd
f a t ty , w a x -li k e, w h it e pow d e r w a s st u c k t o t he si de . No b o d y k ne w wha t it w a s s o
t he y b e g a n t o e xpe r im e nt w it h t he su b s t a nc e w h i ch t ur ne d out t o b e c om p le t e l y
u ni q ue . I t w a s g i ve n t he na me T ef l on, a f t e r t ef t he ni c k na m e g i ve n b y ch e mi s t s
t o t e t r a f l u or e t h y le e n f ol low e d b y l o n a s uf f i x t ha t D u Po nt fr e q ue nt l y u se d f or
it s ne w p r o d uc ts .

D u P ont d e vo t e d a g r e a t d e a l of t ime a n d m one y t o di sc o ve r i ng t h e e xa ct

c ha r a c te r i s ti cs of Te f l on. I t t u r ne d o ut t o be c om p l i ca t e d a n d e xpe ns i v e t o p r od u ce
T ef l o n. T he f i rs t t i m e tha t it w a s e ve r use d wa s du r i ng t he Se c on d Wor l d Wa r in
or d e r t o r e i nf or c e t h e cl os i ng r i ng s of t he a t om b o mb . T ef l on t h us r e ma i ne d a st a te
se cr e t . It w a s n ot u nt i l 1 9 46 t h a t i t w a s i nt r od u ce d t o t he g e ne r a l p ub li c.

T ef l o n ha s now a d a y s a w id e ra n g e of us e s. I t i s ma y b e b e s t kn ow n f or a s c oa t i ng
f or n on -s ti c k f r y in g p a ns. Al t h ou g h T ef l on w a s l o ng se e n a s a w o nd e r ma t e r i al , it
ha s r e c e nt l y c om e u nd er s om e s us p i c io n. 20 I n 2 0 0 5, t he s c i e nt if i c a d vi so r y b oa r d of
t he E n v ir onm e nt a l P r ot e ct i on A ge n c y ( EP A ) i n t he U S f o u nd t hat p e r fl uor o o ct a no ic
a ci d ( PF O A ), a c he mi c a l co mp oun d use d t o ma ke T ef l on, i s l ik e l y ca r c i n og e n ic.
A lt ho ug h Du P o nt ma i nt a in s t ha t PF O A sh oul d n ot b e de te ct a b le i n f in is he d p a n s
w it h Te f l o n, a st ud y i n 2 0 05 b y t he U. S. F o od a nd Dr u g Ad m in i s t ra t io n (F D A )
d e t e c te d P F O A i n T ef l on co o kw a re . I n 2 0 0 6, D uP o nt , t he o nl y c om pa n y i n t he US
t ha t p r od u ce s P F O A, h a s co mm i t t ed it s el f t o e li m in a t i ng t he r el e a s e PF O A t o t he
e n vi r onm e n t ; it ha s no t a gr e e d t o p ha s e o ut t he u se of P F O A a s lo ng a s i t ha s n ot
b e e n a b le t o fi nd a n a l t e r na t i ve p r od u ct io n m e th od for Te f l on t hat d oe s not r e q ui r e
P F O A.

T he e a se of st e er i n g t e c hno lo g i ca l de ve lo p m e nt is not o n ly r e st r ai ned b y t he f a ct

t ha t a la r g e numb e r of a ct or s a re i nv ol ve d in t he d e v e l op m e nt of t e c hn ol og y b ut
a ls o b e ca u se t e c hn ol o g i ca l d e ve l op me nt i s a n u np re d ic t a b l e p r oc e s s ( s e e b o x) . I n
t he c our se of t i me , a var i et y of m e t ho d s a n d ap p r oa c he s ha ve be e n de ve l op e d to
d e a l w it h t h is un p re d i c ta b le c ha r a c t er of t e c hno lo gy de ve lo p me nt . Thi s i s d o ne b y
a d i s ci p li ne k now n a s Tech no lo gy A ss es s me n t (T A) . I nit i al l y T A w a s d ir e ct e d a t t he
e a r l y d et e ct io n a nd e a r l y w a rn i ng of p o ss i b l e ne g a ti ve e f f e c t s of t e c hn ol og i ca l
d e v e l opm e nt . A lt ho ug h s uc h e a r ly d e te ct i on a n d w a r ni ng is im p o r t a nt , i t b ec a m e
in cr e a s in g l y cl e ar t hat i t i s of te n n ot p os si b l e to p r ed i c t t he c o ns e que n ce s of ne w
t e c h no l og ie s a l re a d y i n t he e a r l y p ha s e s of t e c h nol og i ca l d e ve l o pm ent , a s is al s o
u nd e r s co r e d b y t he T e f lo n e xa m pl e . O n t he ot he r ha nd , i t a p p ea r e d t ha t o nce t he
( ne g a t i ve ) c on se q ue nc e s m a t er ia l ize d it ha s oft e n b ec om e v er y d if f ic ul t t o c ha ng e
t he d i r e ct i o n of te c h n ol ogi ca l d e v e l op me nt b e ca u se th e t e c h no lo g y ha d b e c ome

18
We w i l l d is c us s t he r e a so ns f or t hi s a s s um pt io n in m or e de t a il s i n l a t e r c ha p t e r s.
19
Gr a u l s ( 1 9 9 3 ) , p p . 1 2 3 f f .
20
ht t p : // e n. w i k i p e d ia . o r g/ w i ki /P o l yt e t ra f l uo r oe t h yl e n e . A cc e s se d J ul y, 1 4 2 0 0 9.

15
d e e p l y em be d d e d i n s oc ie t y a n d i t s d e si g n w a s m or e or le s s f i xe d . T hi s p r ob le m i s
k now n a s t he C o lli ng r i d g e di le mm a, a f t e r D a vi d C ol li ng r id g e wh o f i r st d e s c r i b e d
it . 21 Va r i o us a p pr oa c he s ha ve b e e n d e ve lo p ed t o ove r c ome t h e C ol li ng r i d g e
d il e m ma , one of t he b e st k now n i s Con str u ct ive Te chn olog y As s es s men t ( C TA ). T he
id e a b e hi nd CT A i s t ha t T A -li ke e f f o r ts a re t o be ca r r i e d o ut p ar a ll e l t o t he pr o ce s s
of t e c hno lo g i ca l d e ve l op m e n t a nd a re f e d b a c k t o t he d e ve lo pm e nt a n d d e s i g n
p r oc e s s of t e c hn ol og y. 22 C TA a i m s a t b roa d e ni ng t he d e s i g n p r oc e s s , bo t h i n t er m s
of a ct or s i nvo l v ed a n d i n t e r m s of i nt e re s t s , c on si d er a t io n s a nd va l ue s t a ke n i nt o
a c co u nt i n t e c h nol o gi c a l d e ve l o pm e nt . A m ong o t he r thi ng s, t h is i m p li e s t ha t
st a ke hol d e r s g e t a l a r g e r sa y in t e c hno log i c a l d e ve lo p me nt .

Wha t a r e t he i m p li ca t i on s of t he s o ci a l co nte xt of t e c hno lo g i ca l d e v e lo p me nt f or

t he r e sp ons i b i l it y of e ng in e er s? I n o ne se n s e , it dim i n is he s t he r e sp ons i b il i t y of
e ng i ne e r s b e ca us e it ma ke s c le a r t ha t e n gi ne e r s a r e ju st o ne of t h e ma ny a ct or s
in v ol ve d i n t e c hn ol og y d e ve l op me nt a nd ca n not a l o ne de t e r mi ne t e c hn ol og i ca l
d e v e l opm e nt a nd i t s s oc ia l c onse q ue nc es . In a not he r s en se , ho w e v e r , it e xt e nd s
t he r e sp ons i b i l it y of e ng in e er s b e c a u se t he y ha ve to t a ke i nt o a c c ou nt a r a n ge of
st a ke hol d e r s a n d t he ir i nt e r e s t s . E ng i ne e r s c an not j us t a s t e c hn oc r a t s d e cid e i n
is ol a t io n w ha t t he r i g ht t hi ng t o d o i s, b ut t h ey ne e d to i n vo lv e ot he r s t a ke ho l de r s
in t e c hnol og ic al d e ve l op m e n t a nd t o e ng a g e i n d is c us si o ns w it h t he m.

1.7 C ha p te r s u mma r y

I n t hi s c ha p t e r w e ha v e d i s cu s se d t he r e s p ons i bi li ty of e ng i ne e r s. The n oti on of

r e sp ons i b i li ty ha s d if f e r en t me a n i ng s. O ne se ns e of re s p o ns ib i lit y, a c co u nt a b il it y,
im pl ie s t he ob li g at i on t o re nd e r a n a c co unt o f y ou r a ct io ns a nd t he c o nse q ue n ce s
of t he se . M ig ht y o u not b e a bl e t o g i ve a sa t i sf a ct or y a c c o un t y ou a r e
b la me w o rt hy. U s ua ll y f ou r co nd it i ons ne e d t o a p pl y i n or d e r t o b e b l a me wo r t hy :
w r ong -d oi n g , ca us a l c on tr i b ut i o n, for e se e a bi li t y a nd fr e e d om . I n a d di t i o n t o
a c co u nta b il it y a nd b la me w o rt hi ne ss , r e s p o ns ib i l it y ha s a n a ct i ve c o mp o ne nt
r e la t in g t o p re ve nt i ng ha r m a nd d oi ng g oo d .

T he r e a r e t w o m a i n gr ou nd s of r es po n si bi l it y : t he r ole s y ou p l a y i n s o c ie t y a nd
mor a l co n si d e r a t i on s. E ng i n ee r s ha ve tw o m a in r ole r e s p on si b i l it i e s , one a s
e ng i ne e r s, t he ot he r a s e m p l oye e s. A s e ng i ne e r y ou ha v e a p r of es sio na l
r e sp ons i b i li ty t ha t is g r ou nd e d i n y o ur r o le a s e ngi ne e r i ns of a r a s t ha t r o le st a y s
w it hi n t he li mi t s of w h at i s m or a l l y a ll owe d . Thr e e p r of e ss io na l i d e a ls of e n gi nee r s
w e re e xa mi ne d a s p ot e nt ia l p a r t of t he p r ofe s s io na l r e s p o ns i bi lit y of e ng in e e r s:
t e c h no l og i c al e nt h usi a sm , ef f e ct i v e ne ss a nd e ff i ci e n c y a n d h uma n w e l fa r e . T he
f ir st t w o i d ea l s a re n o t a l wa y s m ora l l y c omm e nd a bl e a nd ca n i n fa c t e ve n b e c om e
im m or al w he n pu r s ue d i n t he li g h t of i mm or a l g oa l s. Th e t hi r d i d e a l i s m or a l l y
la u d a b l e a nd t he r e f or e p a rt of t he p r of e s s i ona l re sp o ns ib i l it y of e n g i ne e r s .

Y our p r of e s si ona l r e sp ons i b il it y a s e ng i ne e r m a y s ome t ime s c onf li c t wi t h y o ur

r e sp ons i b i li ty a s e m pl oy e e . We ha v e d is c u ss e d t hr e e m od e l s f o r d e a li ng w it h t h is
p ote nt ia l c onf li ct : s e p a r a ti sm, t e c h noc r a c y a nd w his t le -b l ow i ng . Se p a r a t i sm i m p l ie s
t ha t yo u c onf i ne y ou r p r ofe s s io na l r es po ns i b i lit y to e ng in e e r i n g m a t t e r s a nd l et a l l
d e c is i o ns b e ma d e b y e ng i ne e r s a n d p ol it i ci a ns . T he di sa d va nt a g e of t hi s m od e l i s
t ha t yo u ma y e nd se r v in g i mm or a l g oa l s a nd l o os e s ig ht of t he e n g ine er i n g i d e a l of
p ub l i c w e lf a r e. T e c hno cr a c y me a ns t ha t y ou a s a n e n g i ne e r t a ke ov e r t he d e ci s i o n
p owe r of ma na g e r s a nd p ol it i c ia n s. O ne d i s a d va nt a ge of t hi s mo d e l i s t ha t
e ng i ne e r s d o not p os s e ss e x p e r t i se on b a si s of w hi c h t he y ca n d e ci d e f or ot he r s
w hat h u ma n w e lf a r e is or w ha t is s a f e e no ug h. A no t he r d i sa d va nt a g e i s t ha t t hi s

21
Co ll i n gr i d g e
22
S c h ot ( 1 9 9 2 ) , S c h o t & R i p ( 1 9 9 7 ) .

16
mod e l is pa t e r na l i st ic . Whi st le -b l ow i ng me a n s t ha t y o u, as a n e ng i nee r , sp e a k ou t
in p ub l i c a b out c e r t a i n a b use s or da ng er o u s si t ua t io n s i n a co mp a n y. A l t h oug h
w hi st l e - b l ow i ng m a y s ome t i me s b e r e q ui r e d i t i s n ot a ve r y a tt r a ct i ve mo d e l f o r t he
r e la t io n b e t w e e n e ng i ne e r s a n d m a na g e r s . I ns t e a d of a n y of t h e t hr e e m ode l s, it
mi g ht b e b e t t e r t o w or k o n a r e la t i on be t w e e n e n g i ne e r s a n d m a na g e r s t ha t is
mor e co op e r a ti ve a nd mut ua l l y s up p or t i ve , s u ch a s a mo de l i n w hi c h e ng i ne er s
t hi n k a b o ut b r oa de r i s s ue s t h a n j us t e n g i ne e r i ng d e ci si ons b ut d o no t d e c i de o n
t he s e is s ue s a l o ne .

T he r e s p o ns i b il i t y of e ng i ne e r s i s f ur t h er c o mp li ca t e d b y t he s o ci a l co nt e xt of
t e c h no l og i c al d e ve l op me n t . Ap a r t f r om e ng i ne e r s, a w hol e r a ng e of ot h e r a c t or s is
in v ol ve d i n t e c hn ol og i ca l de ve lo p me nt . T hi s d im i n ishe s t he re sp o n sib il i t y of
e ng i ne e r a s t he i r c a us a l c ont r ib ut i o n t o t e c hno lo g y a nd t he f or e s e ea b il it y of
co n se q ue n ce s i s di m i n i s hed . A t t he me a nt i m e , it i n tro d uc e s a d d i ti o na l
r e sp ons i b i li ti e s, b e c a u se e n g i ne er s a l s o ne e d t o t a ke i nt o a c c ou nt ot he r
st a ke hol d e r s a n d t he ir i nt e r e s t s in t he d e v el opm en t of ne w t e chn o log ie s.

Q u es ti o n s c h a p ter 1

1 . Wha t a r e t he f i ve f e a t ur e s of a ct iv e r es p o ns i b i l it y a c co r d i n g t o Bo v e n s?

2 . Wha t i s t he d if f e r e nc e b e t w ee n p a ss i v e a n d ac ti ve re sp o ns ib i l it y ?

3 . a . Wha t cr it e r ia ( c o nd i t i on s) a re us ua ll y a p p l i ed wh en d e c id i ng w he t he r
som e o ne i s p a ss i ve l y r e s p o nsi bl e ( b la me w o rt h y) f or a ce rt a i n a ct io n a nd it s
co n se q ue n ce s?
b . Sup p os e o ne p er so n 's a c ti o ns ha ve le d t o t he i n ju r y of a not he r p e r s on.
Wha t a d d it io na l cr it e r i a m ust b e s a t i sf ie d i n ord e r t o im pl y t ha t t he f i r st
p e rs on is pa s si ve l y r e s p o ns ib l e f or t he i n j ur y ?

4 . Do yo u c ons i de r M or t o n T hi o ko l r es po n si b l e f or t he C ha l le ng e r di sa st e r ? I n
a ns w e r i ng t h is q ues t i o n, r e f e r t o t he cr i t e r ia f or r e sp ons i b i li t y a n d us e t he
inf or ma t i on a va i l a bl e .

5 . C ons i de r t he f ol l ow i ng si t ua t i on: A n e ng i ne e r w ho ha s b e e n i nv ol v e d i n t he
d e s ig n of a sm a ll a e r op l a ne f or b us in e s s t r a ve l, t y pe XY Z, f in d s o u t t ha t he
us e d th e w r o ng s of tw a r e t o ca l c ul a te t he re q ui r e d s t r e ngt h of t he w in g. H e
ha s use d a st a n d ar d s of t wa r e p a c ka g e b ut n ow r e a l i ze s t hat his p a c ka g e wa s
no t f i t f o r t hi s sp e c if i c ty p e of a e r o p la ne. T h e v e r y sa me d a y he f i n d s t h is
ou t, a p la ne of t y p e XY X c ra s he s a nd a l l f o ur p a sse n g er s d ie . T he
in ve st i g a t i o n s how s t h a t t he p la ne ha s cr a s h e d d ue t o a n ina d eq ua t e d e si gn
of t he w i ng .
Do yo u c o ns i de r t hi s e ng i ne e r re s p on si b l e f o r t he pla ne c ra s h a n d t he d ea t h
of f our p e op le ? ( If y ou t hi nk t he r e i s not e n oug h i nf or ma t i o n t o a r r i ve a t a
j ud g m e nt , i nd i ca t e w ha t i nf o rm a t i o n y o u w o ul d ne e d t o m a k e a j u d g me nt o n
ho w t hi s i nf or ma t i o n wo uld a f f e c t y ou r j ud g me n t . )

6 . Gi ve a n e xa m p le i n e ng i ne e r i ng p r a ct ic e , a n d e xp la i n w ha t i s me a nt b y
m ora l r e s p o ns ib il i t y i n t ha t e xa mp l e a n d ho w it ex t e nd s b e y o nd r ol e
r e sp ons i b i li ty.

7 . I n g e ne ra l, no b od y w il l w a nt t o de n y t ha t e n gi ne e r s ha ve a n a ct i ve
r e sp ons i b i li ty f o r t e c hno lo g ie s t he y d e si gn a nd/ or w or k w i t h. I n p r a ct i ce ,
ho we ve r , m a n y e ng i ne e rs f i nd i t p r obl e ma t ic t o ac t on t hi s r e s p ons i bi li t y.
De sc r i be t hr e e p r ob l e ms f or t h e i de a t h a t e ng in e er s s ho ul d t a ke

17
 r e sp ons i b i li ty f o r t e c hno lo g ie s a n d g i ve a c o n cr e t e e xa m p le of e ac h p r obl e m
f r om e ng i ne e r i ng p r a c t ic e .

8 . E xp l a i n w ha t i s m e a nt b y se p a r at i s m , an d e xpl a i n w h y t he tr ip a r t i t e m ode l
il l us t r a t e s s e pa r a t is m s o w e l l .

9 . Wh y is i t s o d i ff i c ult t o s t e e r t e c hno lo g i ca l d e ve lo p me nt ?

1 0 . E xp l a i n w hy t h e i d e al p u bl i c w e lf a r e i n p r of e ss i o na l e t hi c s is t h e m os t
im p or t a nt o ne f o r e ng i ne e r s f ro m a m or a l p e rs p e c t i ve .

1 1 . Lo o k f or a n e x a m p l e o f t e c h nol og i c a l e nt h us i a sm in your ow n f il ed of s t u d y.
Wo ul d you c ha r a c te r iz e t his e nt h us ia s m i n t hi s c a s e a s m ora l l y
co mm e nd a b le , mo r al ly r e p r e he ns i b l e or j us t mor a ll y ne ut r a l ? A r g ue y o ur
a ns w e r.

18
C h a p ter 2. C o d es o f c o n du c t

2.1 In tr o d uc ti o n

Ca s e: Ba y Ar ea R a pi d Tr an s p o rt P r o jec t 23

I n M a r ch 1 9 7 2 t hr e e e ng in e e r s i n C a li for nia (U ni t ed St a te s) , w or ki ng o n t h e Bay

A rea Ra pid Tra ns po rt Pro je ct (BA RT ) a n d r e sp ons i b le fo r t he de s ig n a nd cr ea t i o n of
a n a ut oma t i c g u id e d t r a in s y st e m, w e r e d i s m i ss e d . T he se e ng i ne e r s ha d b e e n
e xp re s s i ng th e ir d oub t s a b out t he s a fe t y of t he s ys t e m v i a i nt er na l me m os s in ce
1 9 69 t o t he i r ma na g er s. T he r e sp ons e wa s " d on 't m a ke t r o ub l e ". I n 1 9 71 t he y
b r oug ht t he ir co nc er n s i n co nf i de nc e t o m e m b e rs of t he b oa r d of d i r e ct or s, t hus
b yp as si ng t he i r i m me d ia t e s up e r i or s. T ha t w as unc o nve nt i ona l f or t he B A RT
or ga ni s at i on a nd i nd e e d fo r a ny h i era r ch i ca l or g a ni sa t i o n. T he d i re ct or th e y f i nal l y
ma d e c o nt a ct w it h t ur ne d o ut t o b e ve r y i nt e r es t e d i n t he i r ca s e a nd s o he
p r om ise d t o ra is e i t w i th t h e m a na g e me nt . H e fu r t he r mor e p r omi s e d t o ke e p t he ir
na me s a n onym ou s a n d d o not h in g t o d a ma g e t h e ir i nt ere s t s . H ow e ve r, t w o d ay s
a f t e r t he e nc o u nte r t he fu ll s t or y wa s p ub l i s he d i n t h e Co ntra Cos ta T im es . At f i r st
t he e ng i ne e rs d e n ie d ha v i ng a ny i nvol ve me n t i n t he ma tt e r b ut o n ce t he i r
invo l ve m en t wa s c o nf i r me d t he y w e r e i mm e d ia t e l y f ire d wi t ho ut c a us e o r a pp e a l.
T he y s ub s e q ue nt l y t oo k t he ma tt e r t o co ur t .

I n t he wa ke of t he a ff a ir o ne of t he or ga n is at i on s t o b e com e i nvo l ve d wa s t he
I ns t it ut e of El e ct ri ca l a nd E le ct r o ni c E ng i ne e r s (I E EE ) . T he IE E E d e ci d e d t o s e n d
w hat i s k now n a s a n a mi c u s c ur ia e le t t er t o the la w c ou rt s. T he l e tt e r e mp ha s is e d
t he fa c t t ha t a c c or d i n g to t he I E E E 's p r ofe s s i ona l c ode , e n gi ne e r s a r e r e s p o n sib le
for t h e ` sa f e ty, he a l t h a n d w e lfa r e of t he p u b li c '. T he I E EE a ls o a r gue d t ha t t he
p r ofe ss io nal co de i s a n i mp li c i t a sp e c t of t h e e m pl oym e nt co nt ra c t . I f t hi s
a r gu me nt ha d b e en a c ce p t e d b y t he j ud g e t h e n it wo ul d h a ve m e a n t t hat
e mp lo ye e s w ho a ct i n a cc or d a nc e w i t h w ha t is st a t e d in t he p r of es sio na l c od e m a y
no t b e s i m p l y d is m i sse d .

A ft e r t he t hre e e ngi ne e r s ha d l o st t he ir j ob, the ir c o nc e r ns w e r e d e ci si ve l y

co nf i rm e d on 2n d O ct obe r 1 97 2 , t hr e e w e e k s af t e r B A RT b eg a n ca rr yi ng
p a s se ng e r s. T her e wa s a t ra i n s y s t em a c ci d e nt a n d se ve ra l pa s s e ng e r s w e re
w o un d e d. De s p i t e t hi s , t he t hr e e e ng i ne e rs ac c e p te d a n o ut-of- c o urt se tt le m e nt
r e po r t e d t o b e $ 2 5 , 00 0 p er p e rs on. T he p r e s um e d r e a so n fo r t hi s wa s t ha t t he y
ha d i n t he f i r s t i ns t a n ce l ie d a b o ut t he i r i nv ol ve me nt i n t he ma t t e r w hi c h ha d
w e a ke ne d t he i r ca s e. A p ar t f r om a ny t h i ng e l se , t he d i sm i ss a ls w e r e p r e tt y
d e t r i me nt a l f or t he ca r e e rs of a l l t hr e e e ng i n e e rs .

I n t hi s c a s e , th e t hr e e e ng i ne e r s a ct e d o ut of a se n se of pr of e s si on a l
r e sp ons i b i li ty. A r e s p o ns ib i lit y w hi c h w a s c o di f ie d i n t he IE E E c od e of c o nd u ct a nd
t ha t a m on g ot he r t hi n g s w a s r el a te d t o t he s af e t y, h e al t h a n d w e l fa r e of t he
p ub l i c. A lt ho ug h t he i r p r of e s s i o nal or g a niz a t io n su pp or t e d t he i r b e ha vi our , it co ul d
no t p r e ve nt t ha t t he y we r e di smi ss e d . I n t hi s c ha p t e r , w e di s cu ss t he r ol e of c od e s
of co nd u ct i n e ng i ne e r in g. I n pa r t ic u la r , w e f oc u s on p r of e ss i ona l c od e s a s t he y
ha ve b e e n pr op os e d b y p r of e s si on a l e n g i ne e r i ng so c i et i es a nd o n c or p ora t e c ode s ,
a s t he y ha ve b e e n f o r m ul a te d b y c omp a ni e s . In se ct i on 2 . 2, w e d i sc us s t he s e t w o
t yp e s of c od e s, t he i r s t ru ct u re a nd t he i r c on t e nt . In se ct i on 2 . 3, w e d i sc us s a
n um b er of co mm o n ob je ct i ons t ha t ha ve b ee n le ve l l e d a g a i n st c od es of c on d uc t .
T hi s i n cl ud e s t he p r obl e m t ha t is hi g h li g ht e d by t he ca se a bo ve , i. e . a ct i n g
a c co r d i n g t o t he co d e , ma y ne ve r t h el e ss le a d t o d i s mis sa l. I n s e ct i on 2 . 4 , w e w i ll
d is c us s c od e s of co n d uc t i n a n i nt e r na t i o nal c o nt e xt .

23
B a s ed o n A n d e r s o n et a l . ( 1 9 8 0 ) , A n d er s o n et a l . (1 9 8 3 ) , a n d U n g er ( 1 9 9 4 , p p . 1 2 - 1 7 ) .

19
2.2 C od es o f c o n d uc t

C od e s of c ond uc t a re co d e s i n w h i ch o rg a ni z a t io n s la y d ow n g u id e l ine s f or
r e sp ons i b l e be ha v io u r of t hei r m e mb er s. S u c h gu id e li ne s ma y be d e t ai le d a nd
p r es c r ip ti ve , b ut t he y ca n a ls o b e f or m ula t e d m ore b r oa d l y a nd e x p r e s s t h e va l ue s
a nd n or ms t hat s ho ul d g ui d e b e ha v i our a nd d e c is i o n-ma ki n g . 24 Co d e s of co nd uc t
a r e of t e n i nt e n d e d a s a n a dd i ti on t o t he r e q ui r e me nt s of t he la w . Whe n c od e s of
co n du ct a r e e nf o r c e d t hi s i s u s ual l y d one b y t he o rga ni z at i on t ha t f or m ul a t e d t he
co d e . Fo r e ng i ne e r s, t wo t y p e s of c od e s of c on d uc t a r e e s pe ci a ll y i mp or t a nt: o ne,
p r of e ss io na l co de s t ha t ar e f or m ul a te d b y p r of e s si on a l a ss oc ia t io ns of e n g i ne e r s
a nd, t w o, c orp or a t e co d e s of c ond u ct t ha t a r e f or m ula t e d b y com p a ni e s i n w hi c h
e ng i ne e r s a r e e m p l oy e d .

C od e s of c ond uc t a re f or m ul a t e d f o r a va r ie t y of r e a s o ns, l i ke in c r e a s i ng m or a l
a w a re ne s s, t he ex p l i ca t io n of t he m ora l no r m s a nd v a l ue s of a p rof e ss i o n or a
co mp a n y, t he st i m ul a t i on of e t hi ca l d is c us si o n, as a w a y t o i n cr ea s e a c c oun t a bi lit y
t o t he o ut s i d e w or ld a nd , f i na ll y, t o i m pr o ve t he im a ge of a p r of e s sio n o r c om pa n y.
De p e nd i ng o n t he e x a c t ob je ct i ve s of a co de of c on duc t , a d i s t i nc t i on ca n be ma d e
b e t we e n t hr e e t yp e s o f c od e s of co n d uc t:

A n asp ira tio na l c od e e xp r e s se s t he mo ra l v a l ue s of a p r of e s si on o r co mp a ny. T he

ob je ct i ve of s uc h a c o d e i s t o ex p r e ss t o t he o ut s id e w or l d t he ki nd of v a l ue s t he
p r of e ss io n o r co mp a ny i s c om mi t t e d t o.

A n ad viso r y co d e ha s t he ob je ct i ve t o he l p i nd i v id ua l p r of e s sio na ls or e mp lo ye e s t o
e xe r c ise m or a l ju d gm e nt s i n c o nc r e t e s it uat i on s o n b a s i s of t he m o r e g e n e r a l
va l ue s a nd no r ms of t he p r of e s s i o n or c omp a ny.

A di s ciplinary co d e ha s t he ob je ct i ve t o a c h i e ve t ha t t he b e ha v i o ur of a l l
p r of e ss io na l s o r e m p l oye e s m ee t s c er t a i n va l ue s a nd n or m s.

M os t pr of e s si on a l c od e s f o r e n g i nee r s a r e a d vi so r y. U s ua l ly, t h ey h a ve t he
f oll ow i n g m or e s pe ci f i c ob je ct iv e s: in c r e a s i n g aw a r e ne s s of a nd se ns it i v i t y f o r
mor a l i s su es i n t he d a i ly e x e r ci s i ng of t h e p r ofe s si on, he l p i ng in a n al y zi ng s u c h
mor a l i s su es a nd i n f o rm ul a t i ng ke y q ue s ti o ns or is su es wi t h r e sp e ct to t he se m ora l
is s ue s, a nd , f i na ll y, he lp i ng i n c omi ng t o a j u d g me nt o n t he se m or a l i s s ue s.
C or p o ra t e c od e s of c o nd uc t a r e mo re of t e n d is ci p l i na r y. I n s uc h c a se s, t he ir
ob je ct i ve i s t o a c hi e v e tha t a ll e m p l oye e s a c t a c c or d i ng t o ce r t a i n g u id e li ne s. T he
f orm ul a t i on of c od e s of c on d uc t i s o nl y o ne of t he a ct i vi t ie s t hat p r of e ss i o nal
a ss o ci a t i o ns a nd c om p a ni e s ca n und e rt a ke t o s ti m u la t e re s p on si b l e b e ha vi o ur b y
t he i r m e m b e r s . O t he r a c ti v it ie s i nc l ude t he a p p o i ntme nt of a co nf i d a nt or
co mm i t t e e w hi c h w ho m m ora l p r o bl e m s ca n b e d i s c us se d o r t he or g a ni za t io n of
t r ai ni ng s es si on s f or d e a li ng w it h mo ra l d i le mma s .

2 . 2 .1 Profes s io na l co d es

P r of e ss io na l co de s a r e g ui d e l i ne s f or t h e e xe r c is i n g of a p r of e s si o n t ha t a r e
f orm ul a t ed b y a pr of e s sio na l so ci e t y. P r ofe s s io na l c od es ha ve b e e n f or mu la t e d f o r
a va ri e t y of p r of e ss i o ns l i ke d o ct or s, n ur se s, la w ye r s , p r ie s t s , th e p ol i ce a nd
co r p or a t e m a na g e r s. A l so e ng in e e r s ha ve p r o f e ss io na l cod e s of c o n du ct .

Hi st or i c a lly, th e d e ve l opm e nt of pr ofe s si ona l co d e s fo r e ng i ne e r s b e g a n i n E ng l a nd

in 1 7 71 w it h t he co d e of t he Sm eat on ia n S ociety. M or e i nf lu e nt i al f or t h e c ur r e nt

24
H u m m els & K a r s s i n g ( 2 0 0 7 ) .

20
p r ofe ss io nal co de s fo r e ng i ne e r s wa s t he f or mu la t i o n of a ra ng e of p r of e s si ona l
co d e s f or d if fe r e nt e n gi nee r i ng pr of e s si on s l ike ci v i l, me c ha ni ca l a nd e le ct r i ca l
e ng i ne e r i ng i n t he f ir s t de ca d e of t he t we nt i e t h c e nt u r y i n t he U S. The e a r l y co de s
co mp r is e d r ul e s f or e n gi nee r s t ha t c hi e fl y pe r t a i ne d t o e t iq ue tt e . T he p rof e s si ona l
co d e r e g ula t e d p e opl e 's e nt r y i nt o t he p r ofe s sio n a nd t he b e h av i our of me m b e r s
t owar d s e a ch ot h e r a n d i n r e l a t i o n t o e mp lo ye rs a nd cl i e nt s. Whi l e the e a r l y co de s
d id n ot a d dr e s s br oa d e r s o ci a l i ss ue s ra is ed b y e ngi ne e r i ng , t h is c ha ng e d a f t e r t he
Se c ond Wor ld Wa r. B e c a us e of t he g a s c ha m b e rs a nd s ci e nt i f i c ex p e r ime nt s t ha t
ha d b e e n c a rr ie d o ut b y t he Ge r ma ns o n p e o pl e d ur i n g t he S ec ond Wor l d Wa r t he
b la zo n of s cie n ce a nd t e c h no l og y ha d b e e n t a int e d . T he a t o m b om b a l so s h ow ed
cl e a r l y t h a t t e c h no lo g y g a ve r ise t o ce rt a i n mora l i s s ue s. O ne of t he wa y s of
r e st o ri ng t he s oc ia l im a ge of s c i e nc e a nd t e c h no lo gy wa s b y e s t a b li s hi ng
p r ofe ss io nal co de s . I n 1 95 0 t he Ge r ma n e ng i ne e r s a s s oc ia t i on, t he VD I , d re w up
a n oa t h f or e ngi ne e r s, w h i ch wa s cl e a r l y i ns p ir e d by t he d ub io u s r ole of s om e
e ng i ne e r s a n d s c ie nt i s t s d u ri ng t he Se c o nd Wor ld War. O ne of t he t hi ng s s t at e d i n
t he p r ofes si o na l c od e wa s t h a t e n g i ne e r s s h ou ld n ot w o r k f or t h os e w ho fai l t o
r e sp e ct h u ma n r i g ht s. 25 Al s o in t he U S, mo st o f t he p r ofe ss i o nal c od e s we r e
r e for m u la t e d a f te r t he S e c o nd Wo r l d Wa r : t h e d ut y of t he e ng in e e r to se r ve t he
p ub l i c i nt e r e s t wa s e s p e c i a l l y st r e s se d i n t he n e w c ode s of co nd u c t . O r g a ni s a ti o ns
li ke t he Na t io na l Soc ie ty of P r ofe s si ona l E ng i ne e rs ( NS P E ), t he A me r i ca n Soc i e t y of
C i vil E ng i ne e r s ( A SC E) a n d T he A me r i ca n So ci e t y of M e c ha ni c a l E n g i ne e r i ng ( A SM E)
for m ul a t ed co d e s of c ond uc t s t a ti ng t ha t e n g i ne er s sh o ul d ho ld p ara mo u nt t he
sa fe t y, he a l t h a nd w el f a re of t he p u bl i c.

I n a d d it i o n t o na t io na l e ng i ne e ri ng s o ci e t i e s, E ur o p e ha s a n ove r a r c hi ng
p r of e ss io na l or g a ni za t i on, th e E ur op ea n F e de r a t i on of Na t i o na l E ng i ne e r i ng
A ss o cia t i on s ( F E A N I ). F E AN I w a s e st a bl i s he d i n 19 5 1 b y a g r oup of G er m a n a n d
F r e nc h e n gi ne e r s. A t t he mo me nt , p r of e s s io n a l a s s oc i a ti o ns f r om 2 9 Eur op e a n
co u nt r ie s a r e m e mb e r of F E A NI . 26 FE A N I ha s f or m ul a t e d a u ni ve rs a l st a t e m e nt
r e ga r d i ng t he c o nd u ct of p r of e s s io na l e ng i ne e r s, w hi c h ca n b e im pl e me nt e d b y
na t i o na l me mb e r s so c i et i e s in t he i r c od e of co n d uc t. P r ofe s si on a l co d e s f or
e ng i ne e r s p r ov i de co nt e nt t o t he r e s p on si bi l i t y of e ng i ne e r s. T he y e xp re s s t he
mor a l n orm s a nd va l ue s of t he p r of e s s i o n. M ost m od er n p rof e ss i on a l c od e s r e la t e
t o t h r e e do ma i ns : 1 ) c on d uc t i ng a p r of e s s io n wi t h int e g ri t y an d ho ne st y, a nd in a
co mp e t e nt w a y; 2) o bl ig a ti o ns t ow a r d s e m p l oy e r s a nd c lie nt s; 3 ) r e sp onsi bi li t y
t owa r d s t he p ub l ic a nd so c ie t y.

Inte gr ity a nd co mpet e nt profes s ional practic e

A ll p r of e s s i o nal c od e s in cl u d e t he o bl i g a t i o n t o p ra ct i ce one 's pr of e s si o n w it h
int e g r i t y a nd ho ne st y, a nd i n a c om p e t e nt w a y. T his i s t he t r a di t io na l co re of a l l
p r of e ss io na l co de s. T o pr a ct ic e on e s p r of es s io n in a c omp e t e nt w a y me a ns t ha t
t he p r a ct it i o ne r m us t b e co mp e t en t a nd t he pr of e ss io na l p r a c ti ce mu st b e
co n du ct e d s kil f ul l y. T hi s im p l ie s t ha t t he pr a ct i t i on e r m us t b e w e l l e n oug h
e d uc at e d , m u st ke e p u p t o d a t e i n hi s f ie ld a nd m ust t a ke onl y w o r k in hi s f ie ld of
co mp e t e nc e. Wi t h i nt e g ri t y an d hon e st y w e m e a n t ha t t h e p r of e s si on m us t b e
co n du ct e d i n a n h one s t, f a i thf u l a nd t r ut hf ul ma nn er . T hi s e nt a i l s, f or i ns t a n ce ,
t ha t f a c t s m a y n ot be ma n ip ula t e d a n d a gr e e me n t s m ust b e h o nou r e d. S ome t im e s
it i s a ls o st i p ula t e d t h a t t he p r of e s s i o n m us t b e pra ct i c e d i n a n in d e pe nd e nt a n d
im pa r t ia l w a y. U sua ll y t hi s is m e a nt t o i m p l y t ha t t he y sh oul d a vo id c o nf li ct s of
int e r e s t s. An e ng i ne e r ha s a c o nf li ct of i nt e r es t i f he / sh e ha s a n i n t e re s t t ha t ,
w he n p urs ue d , co nf l ic t s w i t h me e t i ng t he ob l ig a t i o ns t o hi s e m pl oy e r or c l ie nt s.
T hi s ma y b e a p e r so na l i nt e r e s t , li ke w he n y ou ha v e s to c k s i n a c om p a ny t hat
p r od uc e s a ce r t a i n ki nd of me a s uri ng a p pa r a t us a nd y o u ha ve t o a d v ic e a la r g e
cl ie nt a b o ut w ha t m e a s ur i ng a p p a r a t u s t o us e . It ca n a ls o b e a n i n t e r e s t t ha t

25
V D I , ` B e ke n t e n n is d er I n g en ieu r s ( 1 9 5 0 ) , i . e . ` T h e C o n f es s i o n o f E n g i n e er s in c lu d ed in
Le n k & R o p o h l ( 1 9 8 7 , 2 8 0 ) .
26
w w w .f e a n i.o r g v is it e d 2 4 A u g u s t 2 0 0 7 .

21
d e ri ve s f rom a not he r p rof e ss i o na l r ol e , f or e xa m p l e w he n yo u a d v i ce t w o
co mp e t i ng f i r m s. A l t ho ug h c o nf li ct s of i nt e r e st d o n ot ne ce s s a ri l y l e a d t o i mm or a l
b e ha v i our it i s b e t t e r t o a voi d t he m b e ca us e a c onf li ct c a n c or r up t yo ur
p r of e ss io na l j ud g e me n t a n d di m i ni s he s y our t ru st w ort h in e s s a s e ng ine er . I f a
co nf l i c t of i nt e re s t i s u na voi d a b le is s hou ld a t lea st be d i s clo se d t o t he i nt e r e st
p a rt i es .

E ng i ne e r s s ha l l p e rf o r m se r vi ce s o nl y in t he a r e a s of t he i r c omp e t e nc e. ( N SP E
C od e of c ond u ct )

E ng i ne e r s s ha l l is s ue p u b li c s t a t e me nt s o nl y i n a n ob je ct iv e a nd t r ut hf u l ma n ne r .
( N SPE C od e of c ond uc t)

E ng i ne e r s s ha l l n ot b e i nf l ue nc ed i n t he i r p r of e s si o na l d ut i e s b y c onf li ct i n g
int e r e s t s. ( N SPE C od e of c on d uc t )

E ng i ne e r s s ha l l ma in t a in t he i r r e le va nt c om p et e n ce s a t t he ne ce s sa r y le ve l a nd
on l y u nd e r ta ke t a s k s f or w hi c h t he y a re com p e t e nt. ( F EA NI )

Obligat io n s t owar ds client s and em plo yers

O b li g a t io ns t owa r d s c li e nt s a nd e m p l o ye r s ar e me nt i o ned i n mo st p r of e ss i o nal
co d e s. I n ma n y ca se s, i t i s st i p ula t e d t ha t e ng in e er s sh o ul d s er ve t he i nt e r e st s of
t he i r c lie nt s a nd e m p l oy e r s a nd t ha t t he y m us t ke e p s ec re t t he c o nf id e n ti a l
inf or ma t i on p a ss e d o n b y cl ie nts or e mp l o ye r s.

E ng i ne e r s s ha l l a c t f or e a c h e mp l o ye r o r cl i ent a s f a it hf ul a g e nt s or t r us t ee s .
( N SPE C od e of c ond uc t)

E ng i ne e r s s ha l l n ot d i s c lo se , w it hout c o nse nt , c onf id e nt i a l i nf or m a t i on c o nc e r ni ng

t he b us i ne s s af f a i r s o r t e c hn ic a l p r oc e s s es of a n y p re se nt or f o r me r c lie n t or
e mp l o ye r , or p ub l i c b o dy o n wh i ch t he y se r v e. ( N SPE C od e of c o n d uc t)

E ng i ne e r s s ha l l p ro vi de i m p a r t ia l a na l y s i s a nd j u dg e m e nt t o e mp l oye r or c li e nt s,
a vo id c o nfl i ct s of i nt e r e s t, a nd ob se r ve p ro p e r d ut ie s of c o nf id e n ti a lit y. (F E A NI )

S ocial res po ns ib ility and o bligatio ns towards th e p ublic

V ir t ua l l y a l l p r of e s s i on al co d es i n one w a y or a not he r e m p ha s iz e th e s oc i al
r e sp ons i b i li ty of e ngi ne e r s. M a tt e r s f r e q u e nt l y re f e r re d t o a r e : s a f et y, he a lt h, t he
e n vi r onm e n t , s us t a i na bl e de ve l op me nt , a nd t he w e lf a r e of t he p ub li c . A cc or d i ng t o
a li mit e d numb e r of p r of e s s i on al c od e s e n g i n e e rs m us t i nf or m t he pu b li c a b ou t t he
a sp e ct s of t he t e c hnol og y in w hi c h t he y a r e i nv ol ved a nd t h a t a r e r e le va nt t o t he
p ub l i c, su c h a s t h e r is ks a nd ha za r ds i nv ol ve d.

"E ng i ne e r s s ha l l h ol d p a r a m o un t t he s af e t y, he a l t h, a nd w e l fa r e o f t he p ub li c.
( N SPE C od e of c ond uc t)

E ng i ne e r s s ha l l a t a l l t im e s st r i ve t o se r ve t he p ubl i c i nt e r e st . ( N SP E C o de of
co n du ct )

E ng i ne e r s a r e e nc our a ge d t o ad he re t o t he p r i n ci p le s of s u st a i na b le d e ve l op m e nt
in or de r t o p r ote c t t h e e nv i ro n me nt f or fut ur e ge ne rat i on s. ( N SP E C od e of
co n du ct )

E ng i ne e r s s ha l l ca r r y ou t t he ir t a s ks s o a s t o p r e ve nt a voi da b le d a ng e r t o he a lt h
a nd s a fe ty, a n d p r e ve n t avoi da b le a d ve r s e i m p a ct on t he e nv ir o nm e nt. ( F EA NI )

22
2 . 2 .2 Corpo rate cod es

C or p o ra t e c od e s ar e v ol u nta r il y c omm i tm e nt s m a d e b y i nd i vid ua l c omp a ni e s o r

a ss o ci a t i o ns of c om p a nie s s et t i ng ce r ta i n v a lue s, s t a n d a r d s a nd p r in ci p l e s f or t he
co n du ct of c or p o r a ti on s. A cc or d i ng t o a s ur v e y t h a t w a s ca r r ie d i n 2 0 0 1 a nd 2 00 2 ,
5 2 % of t he 2 0 0 l a rg e s t c om p a nie s i n t he w o r ld ha ve a c or p or a te c od e . 27 A
d is t i nc ti on ca n b e m a d e b e t we e n t hr e e ty p e s of c or p or a te c od e s: s t a ke hol d e r
st a t ute s , va l ue s ta t e m e nt s a nd co d e s of c on d u ct . 28 St a ke h old e r st a t ut e s st a t e t he
r e sp ons i b i li ty of a co m p a ny t ow a rd s i ts st a k e ho ld e rs. Va l ue st a t e m e nt s co nt a i n t he
co r e va l ue s of a co mp a n y, a nd c od e s of co n d uc t c onta i n de t a il e d r ule s a n d no r m s
f or t he b e ha vi o ur of i n d i vi d ua l e mp l o ye e s. A numb e r of co r p or a t e c ode s c om b i ne
t he s e th r e e f u n ct i o ns. Be l ow , w e w il l d i sc u ss t h e ma i n e le me nt s of t he v a ri ous
ki nd s of c orp or a t e co d e s: t he mi ss i on, t he c or e va l ue s, t he r e sp on si b ili ti e s t owa r d s
st a ke hol d e r s a n d de t a i l ed r ule s a nd n or m s.

C o r p o ra te Soc i a l R es p o n s i bi l i ty

So me t i me s, t h e vie w i s m a i nt a i ne d t ha t t he r e sp o ns ib ili t y of a co m p a n y is l i mi t e d
t o m a k i ng pr of it w it hi n t he l i mit s of t he l aw . T hi s vie w ca n b e t r a c e d b a c k t ow ar d s
A da m S mi t h, t he fo u n de r of m od e r n e c ono m i c s. A c cor di ng t o Smi t h, t he i nv is i bl e
ha nd of th e ma r ke t ma ke s e ve r y o ne be t t e r of f if a l l p e o p le , p r od uc e rs a n d
co n s ume r s a li ke , o nl y p ur s ue t he i r o w n i nte r e st s. 29 A n i m p or t a nt c o n t em p or a ry
d e f en d e r of t hi s cl a ss i c a l v ie w w it h r e sp e ct t o c or p ora t e s o cia l r e s p o ns ib i l it y i s t he
e c on om ist a nd N ob le P r ize la ur e at e M i lt o n F ri e dm a n. A c co rd i ng t o F r ie d ma n,
co mp a ni e s o nl y ha v e r e sp o ns i b i li t ie s t o wa r d s t h ei r s ha r e hol de r s a n d not t o a n y
ot he r st a ke hol de r s, s o ci e ty o r t he e n vir onm e nt . 30 H e c on si d er s i t u n d es ir a b l e t ha t
co mp a ni e s t a ke in t o a c co u nt ot he r s ta ke ho ld e rs i nt e r e s t s a nd vie w s. He p r o vi de s
t w o a r g um e nt s f or t hi s st a t em e nt . F i r st , mo n e y sp en t b y a c or p ora t io n o n s oc ia l
r e sp ons i b i li ty i s ult ima t e l y t he m one y of t he s ha r e ho l de r s a nd t h is e xp e n di t ur e
co nf l i c ts wi t h t he i r g o a l t o ma xi m iz e p r of i ts . Se c o nd , co rp or at i on s a r e no t
d e m oc r a ti ca ll y e l e ct e d . Whe n c om pa nie s f or mu la t e th e ir ow n i d e a s a b o ut w ha t i s
mor a ll y a l l ow ab l e or d e s ir a bl e t he y a re e nf or ci ng t he i r ow n p a r t i c ul a r vie w up on
ot he r s w it ho ut a ny de m oc ra t i c l e gi t im i za t io n. I f a ny l i mi t s o n co r p or a t e be ha v io ur
a r e d e s i ra b le , t he y ha ve t o b e f or m ul a t e d b y t he g o ver nm e nt , not by c om pa nie s .

A nu mb e r of o b je ct i o ns ca n b e r a i se d a g a i n s t F r ie d ma n s vi e w. F i r s t , a lt ho ug h
r e sp ons i b i li ti e s t o ot h e r s t a ke ho ld e r s c a n c o nf li c t w i th s ha r e ho ld e r s i nt e r e st s, t hi s
is not a lw a ys t he c a s e . C om p a ni e s a r e a w a re t ha t c or p ora t e r e s po n si b i li t y
in it i a t i ve s d o n ot ne ce ss a ri l y ha ve a ne ga t i v e i m p a ct on t he i r b ot t om li ne , a nd t ha t
t he y c a n ha ve a n e xt r e m e l y p os it i ve im pa ct . I n ot her w o r d s , t he t ho u g ht t ha t
et hi c s i s a l u xu r y we ca n t a f f ord i s r e pl a c e d b y e t hi cs pa y s. 31 Se c on d , l a w s a re
no t a l wa ys a d e q ua t e o r e f f e ct i ve i n p re ve nt i ng i m mo r a l b e ha vi ou r . N ot e ve r yt hi n g
t ha t i s m or a l l y d e s ir a b le ca n b e la i d d ow n i n t he la w . Law s a l s o t e n d t o l a g b e hi nd
t e c h no l og i c al d e ve l op me n t a nd c om p a nie s mi g ht b e i n a b e t t er p osi t i on t o f o r e te l l
mor a l i s su es ra i se d b y ne w t e c h no lo g y t ha n t he g ov er nme nt . He n c e , t he y ha v e a
r e sp ons i b i li ty t ha t ext e nd s b e yo n d w ha t t he la w r e qui r e s.

Mis s io n s tate me nt
M a ny c or p or a t e c od e s c ont a i n a mi s s io n st a t e m e nt t hat co n ci s e l y f orm ul a te s t he
st r a t eg i c ob j e c t i v es of t h e co mp a n y a nd a ns w e r s t he q u es t io n w ha t t he
or ga n iz at i on st a nd s f or .
27
K a p t ein ( 2 0 0 4 ) .
28
Ka p t e i n (2 0 04 )
29
Sm it h (1 7 76 ) .
30
Fr i e d ma n ( 19 6 2 ).
31
P a in e ( 2 0 0 0 , p . 3 2 9 ) .

23
 At M icr os of t , w e w or k t o he l p p e op le a nd b us i ne s se s t hr ou g ho ut t he w o rl d r e a l i ze
t he i r fu ll p ot e nt ia l. T hi s i s o ur mi s si o n. E ve r y t hi ng w e d o r e f le c t s t h is m i ss i o n a nd
t he val ue s t ha t ma ke i t p os sib le . ( M i cr os of t mi s si on s t a t e m e n t)

T he m is si o n of M e r c k is t o p r o vi d e so c ie t y w it h s u pe r io r p ro d uc ts a nd se r vi ce s b y
d e v e l opi ng i nn ova ti ons a nd s ol ut i o ns t ha t i m pr o ve the q ua l it y of l if e a nd sa t i s f y
c ust ome r ne e d s, a n d t o p ro v id e e mp lo ye e s w it h me a ni ng f u l w or k a nd a d va n ce me nt
op p or t un it i e s , a nd i nv e st ors wi t h a s up e ri o r r a t e of r e t ur n. ( M i s si on s t a t e m e nt of
M e r c k, a p ha rm a c e ut ic al co mp a ny)

Cor e value s
C or e va l ue s e xp r e s s th e q ua l it ie s t ha t a c om p a n y c o ns id e rs de si r a b le a nd w hi c h
g r ou nd b us i ne s s c on d u ct a nd o ut c ome s . T he y imp l y a n a pp e a l on t he a t t it ud e s of
e mp l o ye e s b ut d o not co nt a i n d e t a i le d r ul e s of c ond u ct . O f t e n me n ti o ne d va l ue s
in cl ud e t e a mw or k, r e s p ons i bi li t y, op e n c om mu ni ca t io n a n d cr ea t i v i t y. 32 A l so va l ue s
li ke c us t om e r or ie nta t i on, f le x ib il it y, e f f ic i e n c y, p r of e s si o na l is m a nd l o ya lt y a r e
r e g ula r l y m e nt i o ne d .

A s a c om pa ny, a n d a s i ndi v id ua l s, w e va l ue :
I nt e g r it y a nd hone st y.
Pa ss i on fo r c us t om e r s, for ou r p a r t ne r s , a nd for t e ch nol og y.
O p e nne s s a nd re s pe ct f ul ne ss.
Ta ki ng o n b i g c ha l l e ng e s a nd se e i ng t he m t h r oug h.
C ons t r uc t i ve s e lf- cr i t i c ism , s e lf-i mp r o ve me nt, a n d p e r so nal e xce l le n ce .
A c co unt a b il i t y t o cu st o me r s, s ha re ho ld e rs , p a r t ne r s, a n d e m pl o ye e s for
co mm it me nt s, re s ul t s , a nd q ua l i ty. ( Mi cr os o ft )

Re s po nsibi lit y to sta keho lde rs

M os t c orp ora t e c od e s a ls o e xp re s s re s p o n sib il it ie s t o a va ri e ty of s t a ke h ol d e r s l i ke
co n s ume r s, e m p l o ye e s , in ve st o rs , s o c ie t y a nd t he e n v ir onm e nt . Co mp e t it o rs a nd
su p p l ie r s a r e a l s o so m e t ime s m e nt i o ne d a s s t a ke h old e r s. Ty p i c a l l y, r e s p o ns i b il i t y
t o t he e nv ir onme nt i s m or e of te n me nt io ne d in E ur o pe a n t ha n i n A me r i ca n c ode s.
C on ve r se l y, r e s p ons i b i li ti e s t o c om pe t it o r s a r e f a r mo r e of t e n m e nt i on e d i n
A me r i ca n t ha n i n Eu r op e a n or A sia n c od e s .

Wit h r es pe c t t o c u st o me r s, t he s u p p l y of q u a lit a t i ve l y go od pr od u ct s a nd se r v i ce s
is of t e n me nti one d a s a re sp on si b il it y. Al s o s us t a i na b i li t y, a n d e n ha nc i ng t he
he a l t h a nd sa f e t y of c on s ume rs a re im po r t a nt t o pi cs. Wi t h r e sp e c t t o e mp lo ye e s,
r e g ula r l y m e nt i o ne d r e sp ons i b il it i e s i nc l ude e n co ura g i ng p e r s o na l d e ve lo p me nt ,
r e sp e c t a nd e q ua l op p or t uni t y. Wi t h r e sp e ct to so ci e t y, t he mo st m e nt i o ne d
r e sp ons i b i li ty i s ob s e r vi ng t he l a w. A ls o b e i ng a g o od c or p or a t e c i t iz e n a n d
co nt ri bu t i ng to s o ci e t y a r e na m e d. Le ss of t e n ci t e d re sp on si b il it i e s i nc l ude
e n ha nc i ng t he q ua lit y of l if e , s us t a i na b il i t y a nd re s pe ct i ng h um a n r ig ht s.

I n a d d it i o n t o r e s p o ns i b il i t ie s t owa r d s s t a ke hol d e rs, s ome c or p or a t e c od e s a l s o

co nt a i n s take ho lde r p r in ciples t ha t g ui de t h e r e la t i on s hip b e tw e e n co mp a n y a nd
st a ke hol d e r s. T he m os t m e nt i one d s t a k e ho ld e r p r i n ci p l e s a r e t r an s p a r e nc y, h o ne s t y
( tr ut h) a n d f a i r n e s s ( i mp a r t i a l it y) . 33 I n Am e r i c an c od e s, hone st y i s more of t e n
in cl ud e d t ha n t ra n sp a r e n c y, w her e a s i n E ur o p e an a nd A s i a n co d e s t he r e la t i o n i s
r e v e r se d . Ja p a n es e co mp a ni e s r e l at i vel y oft e n ci t e t r us t a s a st a ke hol d e r p r i n ci p le
co mp a r e d t o Am er i c a n a n d E ur op e a n c om pa n ie s .

F r om Loc k he e d Ma r t in s Se tting t he sta ndar d ; Co de of et hics a n d b us ines s cond uct :

32
T h e d es c r i p t i o n o f t h e c o n t en t o f c o r p o r a t e c o d e s o f c o n d u c t h er e a n d b elo w is b a s e d o n
Kaptein (2004).
33
K a p t ein ( 2 0 0 4 ) .

24
O ur c om mi t me nts :
For o ur em plo yees : w e a r e c om m itt e d to h o ne s ty, j u st ma na g e me nt , fa i rn e s s , a
sa fe a n d he a lt hy e nv i ron me nt f r e e f rom t he fe ar of re t r ib ut i o n, a n d re s p e ct i n g
t he d i g ni ty d ue e ve r yo ne .
For o ur cus tom ers : w e a re co mm itt e d t o p ro d u ce re l ia b l e pr od uc t s an d se r vi ce s,
d e li ve r e d on t im e , a t a fa ir pr ic e.
For t he co mm un it ies i n w h ich we live a nd wor k : we a r e c om m it t e d t o o b se r ve
so u nd e nvir onm e nt a l b us i ne s s p ra c t i ce s a nd t o a ct a s c o n ce r ne d a nd
r e sp on si b le ne i gh b o rs , r e f le ct i ng a ll a s p e c t s of g ood c i ti ze n sh ip.
For o ur s hare ho lders : w e a re c omm i tt e d t o p ur s ui ng p rof it a b l e gr o w th, w it ho ut
t a k in g u nd ue r i s k , t o e xe r c is i ng f ina nc i a l d i sc ip l in e i n t he d e p loy me nt of o ur
a ss e t s a n d re s our ce s, a nd t o ma ki n g a cc ura t e , t ime l y, a nd c le a r d i s c lo s ur e s i n
a ll p ub li c re p o rt s a nd co mm u ni ca t i o ns.
For o ur s upp li ers and part ners : w e a re c om m it t e d t o fa ir co mp e t i t io n a nd t he
se nse of r e s p o ns ib il it y r e q uir e d of a g o od c u st o me r a nd t e am ma t e .

Norm s a nd r ules
N or m s a nd r ul e s c o nt a in g ui d e l i n es f or e m p l oy e e s how t o a ct i n s p ec if ic s it uat i ons.
T hi s ma y i n cl ud e s u b j e ct s l i ke t he a c ce p ta n ce of gi f t s , f ra ud , c onf li ct s of i nt er e st ,
co nf i d e nt i a l it y, t he f t , co r r up t io n, b r i b e r y , d i s c r im i na t i o n, r e s pe c t a nd se x ua l
ha ra s s me nt.

S ome r ule s fr om I nte l s H ow t he Co rp orate B us ines s P rin ciple s A ppl y to Yo u :

Em pl oye e s m us t fo l l o w t he la w w he r e ve r t h e y a r e a r ou n d t he w or l d a nd i n a l l
ci r c um st a nc e s . D o no t en g a g e i n b e hav i or t h a t h a r m s t he re p ut a t i o n of I nt e l or
yo urs el f. I f you w o ul d n t wa nt t o t e ll you r p a r e nt s or yo ur ch il dr e n a b o ut yo u r
a ct i o n, o r w o ul d b e e mb a r ra ss e d t o r e a d a b ou t it i n a ne w sp a p e r, t he n d on t d o
it .
E mp lo ye e s m us t a vo id b ot h a ct ua l a nd p er ce i ve d c onf li c t s of i nt e r e st .
C us t ome r s a n d s up p li e r s m us t b e d e a l t w i t h f a ir l y a n d a t a r m s le ng t h.
E mp lo ye e s m us t ne ve r a tt e mp t t o b ri b e or i mp r o pe r ly i nf l ue n ce a go ve r nm e nt
off i cia l , c us t om er o r s up p li er.

T wo e xa m p le s f r om t h e I B M d o c ume nt E t hi cs an d C om plian ce :

Ge ne ra ll y, it is not a p p r op r i at e f or a n e m p lo ye e t o a c c ep t a s upp l i e r s i nv i t at i on t o
a tt e nd a n e nt e rt a i nm e nt or s p o r t i ng e ve nt at t h e s up p li e r s e xp e ns e . A n i nvi t a ti o n
t o a n e n t er t a i nme nt or sp ort i ng e ve nt s u ch a s a g ol f or t e nn i s t ou r na m e nt m ay b e
a p pr o p r i a te i f i t de m o ns t ra bl y he l p s t o b uil d or m ai n ta i n a b us i ne s s r e l a t i o ns hi p.
B ef or e a c ce p t i ng s u ch a n i nvit a t i on, a n e mp l oye e m u st ob t a i n a pp r ova l f r om a V i c e
P r es i d e nt , a Re g io na l Sa le s M a na g e r or Co r p ora t e D ir e ct or of P ur c ha s i ng . So u nd
j ud g m e nt is ne c e s s a r y for de t e r m i ni ng w he n i nvit a t i on s t o s uc h e ve nt s a re
a p pr o p r i a te .

Pay i ng a f r ei g ht fo rw a r d er t o e x pe d it e a sh i p me nt t hr oug h c us t om s i s n ot
a cc e p t a bl e if t he a g e nt d oes n't fol l ow a p p li c a bl e rule s a nd re g ul a t i on s, a nd if t h e
a g e nt g i ve s m one y or p a yme nt i n ki n d t o a g ove r nme nt off ic ia l for p e rs ona l
b e ne f it . O n t he ot he r ha nd , e xpe d i t i ng b y fo l l ow i ng r ule s a n d r e g ul a ti ons a n d
w it ho ut b r i b in g off i ci al s i s a c ce pt a b le .

2.3 P os s i bi l i ti es a n d l imi ta ti o ns o f c o des o f c o n d u c t

A s w e ha ve se e n, c od e s of co nd u ct h el p to e xp r e s s t he r e sp on si b i li ti e s of
e ng i ne e r s. T he y a r e t h e r e fo r e a us ef ul p oi nt of d e pa rt u re f or di s cu ssi o ns a b o ut

25
t he s e re s p o n si b il it ie s. St i l l, i n t he c ou r se of t im e , a n um b e r of ob j e c ti o ns ag a in st
co d e of c on d uc t ha ve be e n l e v e ll e d. B e l ow , w e d is c us s t he ma i n o b je ct io n s. I n
j ud g i ng t h es e ob j e c t i o ns, o ne s ho ul d ke e p i n m i nd t ha t c ode s of co nd u ct ma y ha ve
d if f e r e nt o bj e c ti ve s. E s p e c ia ll y t h e d if f e re n c e b et w e e n a s p i ra t io na l , a d v is or y a nd
d is c i p l in a r y co de s i s r e le va nt he r e . O b je ct io ns a g a i n st di s cip l i na r y c od e s a r e n ot
a lw a ys s ou n d ob je ct i o ns a g a i ns t a d vi s or y co d e s a n d vi ce ver sa . A l t hou g h t he
ob je ct i o ns di s c us se d b e low s how so me of t he li mit a ti on s of co de s of co nd u ct , n one
of t he m i s st r ong or c on v in c i ng e n oug h t o c on c lu d e t ha t co de s of co n d uct a s s uc h
a r e u nd e s i r a bl e . M u ch de p e nd s on t he a ct ua l f or mu lat i o n a nd i mp le m en t a t i o n of
t he c od e .

2 . 3 .1 Codes of con duct an d s elf -i nte re st

O ne re a so n f or o r ga ni za t i on s t o d ra f t a c ode of c ond uc t i s t o im pr o ve one s i ma g e .

T hi s i s a s s uc h n ot ob j e ct i ona b le a s lo n g a s a t t he m e a nt i m e s e r i ous a t t e mp t s a re
ma d e t o l i ve b y th e co d e of co nd u ct . A co de of co nd u ct se r vi ng o nl y t he i nt e r e st s
of a c om p a n y or p r of e s si o n ma y a m o unt s t o w in do w - dre ss in g. We sp e a k of
w in d ow - d re s s in g i f a n i ce im p r e ss io n i s p r e s e nte d of w ha t t he co mp a n y i s d o i ng
b ut t ha t i m p r e s s io n do e s no t r e p r es e nt how t he c omp a ny a n d i t s e mp l o ye e s
a ct ua l l y b e ha ve . I n c a se s of wi nd ow -d r e s si ng , it ma y, f or e x a m p l e , w e ll be t h e
ca s e t ha t t he e xi st e n c e of t h e co de is un k no wn t o me m b e r s of t he or g a ni za t io n
w hi le a t t he me a nt ime t h e c od e is us e d i n c o mm un ic at i on w i t h t he ou ts id e wo r ld .
T he d a ng e r of w i n d ow -d r e s si ng is e sp e ci a ll y p r e s e nt i n t he c a se of a sp i r a t i o na l
co d e s b e c a us e t he y t e nd t o b e ve r y va g u e a nd g e ne r a l.

G o o gl e i n Chi n a: a c a s e o f wi n d o w- d r es s i ng ? 34
Whi le re m ov i n g s e a r c h r e s ul t s is i nc on si s t e nt w it h G o ogl e s m i ss i on, p r ov id i ng n o
inf or ma t i o n. . . i s m or e i n c ons i st e nt w i t h o ur mi s si on ( Go og le st a t e m e nt )

G oo g le , t he le a d i ng In t e r ne t se a r c h e n g i ne c omp a ny i n t he w or l d , e nt e r e d t h e
C hi ne s e m ar ke t i n e a rl y 20 0 0 b y c re a t i ng a C hi ne s e -l a ng ua g e ve r s i on of i t s h om e
p a ge , g o ogl e. c om , t ha t wa s l o ca t e d i n t he U ni t e d S ta t e s b ut t ha t c ou ld ha n d le
se a r ch re q ue st s f rom C h ina . I n t hi s w ay, t h e t e ch n ol og y wa s not s ub je ct t o C hi ne se
ce ns or s hip la w s a s t he fa c i l it i e s w e r e not w it hi n C hi na 's p hys i ca l b oun d a ri e s, a nd
G oo g le di d no t ne e d a li c e nse f r om t he C hi n e s e g o ver nm e nt t o op e r a te i ts
b us i ne ss. I n 20 0 2 , t he C hi ne s e ve r s io n of G o og l e wa s s h ut d ow n b y t he C hi n es e
g o ve r nm e n t f or t w o w e e k s. Whe n r e i nst a t e d , i t wa s ve r y sl ow fo r a l l C hi ne se us e r s
a nd c om pl e te l y i na c ce ssi bl e for Ch i ne se co l l e ge s a nd uni ve r si t ie s. B y 20 0 5 , the
C hi ne s e s ea r c h e ng i ne c omp a ny Ba i d u e me r g e d a s t he l e a d i ng i nt e r ne t se a r c h
co mp a ny i n C h ina . To co mp e t e w it h Ba id u, G oog l e d e ci de d i n 2 00 6 t o l a un c h a
C hi ne s e w e b s it e ww w. g o og l e. c n a n d a g r ee d t o ce ns or it s c ont e nt e nfor ce d b y
me a n s of f i lt e rs k now n a s T he Gr e a t Fi r e wa ll of C h i na . Ha r mfu l c ont e nt i ncl ud e d
ma t e r ia l c o nc e r ni ng d e mo cra cy (e . g ., f r e e do m) , r el ig i o us c u lt s ( e . g., Fa lu n G on g ),
or a nt ig o ve r nme nt p r o t e st s ( e .g ., T ia na nme n S q ua r e ) . G oo g le r e c e i ve d m u c h
cr it i c i sm fr om h uma n r i g ht s a d voc a te s b e ca u se it ce n sor e d i nf or ma t io n s uc h a s
h um a n r ig ht s.

A m ora l q ue s t io n i s he r e w he t he r Go og l e 's s l oga n Do n t b e E v i l ( I t s a bo ut

p r ov i di ng ou r u se r s u nb i as e d a c c e s s t o i nfo r ma t i on ) a nd t h ei r m i s s io n s t a t e me nt
Goog le 's mi ss io n i s t o or ga n ize t he wo r l d 's i nfor ma t i on a n d ma ke i t u n i ve r sa ll y
a cc e s s ib le a n d us e fu l ha ve b e e n c o ns is t e nt l y f ol l ow e d . B y c e ns or i ng i nfor ma t io n,
on e c ou ld a r g ue t hat G oo g le ha s st ra ye d f r om de d i ca t i on t o he lp i ng e ve r y use r g et
u nr e s t r i ct e d a c ce s s t o co nt e n t on t he i nt er ne t. G oo g le a d m i tt e d t ha t t he la u n c hi ng
of g oo g le . c n wa s pr o b l e ma t i c w i t h r e s p e c t t o t h ei r m i ss io n. I n th e w ord s of
S c hra g e , G oo gl e s vi ce p re s i de nt of G l oba l C omm uni cat i on s a nd P u b li c Affa i r s:
34
B a s ed o n M a r t in ( 2 0 0 8 ) , D a n n & H a d d o w ( 2 0 0 8 ) , a n d C o n g r es s i o n a l Tes t im o n y " I n t er n et
in China" of Schrage (2006).

26
[ G oo g le , I n c., fa c ed a c h oi ce t o] com p r o mi s e o ur m i ss io n b y fa i l i n g t o s e r ve ou r
us e r s i n C hi na or c om pr om i se ou r m is si on b y e nt e ri ng C hi na a nd c om p l yi ng wi t h
C hi ne s e l a ws t ha t re q u ir e us to ce ns or se a r c h r e s ult s. . . . Se lf- ce ns or s h i p, l i ke
w hi c h w e a r e now r e q uir e d t o p e r for m i n C hi na , i s some t h in g t ha t c onf li ct s d e ep l y
w it h our c or e p r i n ci p le s . .. . T his wa s no t s om e t hi ng w e di d e nt hus i a st ica l l y o r
som e t hi ng we 're p r ou d of a t a ll .

A not her i s s ue is t ha t s om e t i me s o nl y a li m it e d g r o up of pe op l e i s i n vol ve d i n

d r af t i n g t he c od e . T he r es ul t m a y be t ha t t h e c od e m e r e l y e x p r e s s e s t he i nt e r e s t of
t he c om pa ny o r t he pr of e s si on a nd n e g l e ct s le g i t i ma t e i nt e r e st of ot he r
st a ke hol d e r s.

2 . 3 .2 V aguen es s a nd p otentia l contradi ctio ns

I n t he a pp l i ca t i o n of c od e s of c ond u ct to co n cr e t e s i t ua t io ns, o ne i s f r eq ue nt l y
co nf r o nt e d w it h r a t h e r v a g ue co nc e p t s a nd r ule s t ha t ne e d i nt e r p r e t a t i on.
De p e nd i ng o n t he e x a c t i nt e r p re t a t i o n of s u c h co n ce pt s a nd ru le s , c od e s of
co n du ct s om e t i m e s r e s ul t i n c o nt r a di ct or y r e co mme nd a ti ons a b o ut w ha t t o d o i n a
sp e ci f i c s i t ua t i o n.

O ne re le va nt not i o n f r om c od e s of co n du ct t hat i s i n ne e d of f ur t he r cla r if i ca t i o n

a nd i nt e r p r e t a t i o n i s l oy al t y. T he N SP E c od e of c ond u ct , f or e xa m p le , r e q uir e s
t ha t e ng i ne e r s s ha ll a ct f or e a ch e m p l o ye r or cl ie nt a s f a i t hf ul a g e nt s or t r ust e e s.
T hi s m e a ns t ha t e ng i ne e r s n e e d t o b e l oya l t o t he ir c omp a n y. 35 Bu t wha t d oe s
lo ya lt y e x a c t l y a mo u nt t o ? T a ke , f or e xa m p le t he ca s e of t he t h re e B A RT e n gi ne e r s
d is c us se d a t t he b e g in ni ng of t hi s ch a p te r . D id t he e ng in e er s a ct e d di sl oy a l
b e ca us e th e y s p o ke o u t a ga i ns t t h e ir o rg a ni z a t io n ? T he a ns w e r t o t hi s q ue st io n is
ye s i f o ne i nt er p r e t s l oy al t y a s un critical loyalt y . Ha r ri s e t a l. d ef i ne u n cr it i ca l
lo ya lt y t o a n e mp l oye r a s p l a c i ng t he i nt er e st s of t he e mp l oye r , a s t he e mp l oye r
d e f i ne s t ho se i nt e r es t s , a bo ve a n y ot he r c on si d e r a t io n. 36 Su c h un cr i t i ca l lo ya l t y
ma y, h owe ve r , b e m i s g u id e d. 37 F ir st , o ne m i g ht d i sa g r e e a b o ut w ha t t he in t e re st s
of t he e mp lo ye r a r e . I n t he B A RT ca s e , it mi g ht w e l l b e a r g ue d t ha t i t w a s not i n
t he i nt e r e st of t he BA RT or g a niza t i on t o ke e p s il e nt t he t e c h ni ca l p r o bl e ms. So
co n ce iv e d , t he B A RT e ng i ne e r s a ct e d l o ya l t o t he i nt e r e st s of t he co m pa n y.
Se co nd , it mi g ht b e d o ub t e d w he t he r t he in t e r e s t s of t he co mp a n y s houl d a lw a ys
ov e rr id e a ny ot h e r c on ce r ns , e s p e c ia ll y in c a se s w he n t he p ub l i c i s p ut a t d a n g e r.
T o d e a l w it h s uc h ob j e ct i o ns, Ha r r i s e t a l. p r op ose t he n oti on of critica l lo yalt y
w hi c h t he y d e f in e a s g i vi ng d ue r e g a r d t o t he i nt er e st of t he e mp lo ye r , in s of ar a s
t hi s i s p os s ib le w it h th e c o nst r ai nt s of t he e m pl oy ee s p e r s o na l a n d p r of e s s io na l
e t hi c s. 38

A pa r t f r om va g u en e s s , c ode s of co n du ct ma y b e pl a gu e d b y i nc on si st e nc ie s, b ot h
w it hi n c ode s a nd b et w e e n c od e s. Le t u s lo o k at t he r ule s f or c o nf i d e nt ia li t y a nd
d is c l o su re of inf orm a ti on co nt a in ed i n t hr e e d if f e re nt c od es of c o n d uc t ( s e e b ox) .

35
H a r r i s et a l . ( 2 0 0 5 , p . 1 9 1 ) .
36
H a r r i s et a l . ( 2 0 0 5 , p . 1 9 1 ) .
37
M a r t in & S c h in z i n g er ( 2 0 0 5 , p p . 1 9 3 - 1 9 5 ) .
38
I t m a y b e d o u b t e d w h et h er t h is is s t i ll a n o t i o n o f l o y a lt y . R a t h er , it s e e m s a w a y t o
s o lv e t h e c o n f l ic t b et w e en l o y a l t y a n d o t h e r m o r a l c o n s id er a t i o n s . I t m i g h t b e m o r e
a p p r o p r i a t e t o d ef i n e c r i t ic a l l o y a l t y a s a c t i n g in t h e in t er es t o f t h e em p l o y er w i t h o u t
n ec es s a r il y a c c e p t i n g t h e em p lo y er s o w n d ef i n it i o n o f t h es e in t er es t s . T h i s c r it i c a l l o y a lt y
m a y t h en s o m et im es b e o v er r i d d en b y o t h er m o r a l c o n s id er a t i o n s . Th i s i s in f a c t t h e
a r g u m en t m a d e b y M a r t i n a n d S c h in z in g er ( 1 9 9 6 , p p . 1 9 4 - 1 9 5 ) . A ls o t h e s o l u t io n t h a t
H a r r i s e t a l . ( 2 0 0 5 , p . 1 9 9 ) p r o p o s e t o t h e c o n f l i c t b et w e en lo y a lt y a n d o t h er m o r a l
c o n c er n s m a y b e c r i t ic iz e d b ec a u s e t h ei r c o n c e p t o f c r i t ic a l lo y a l t y p r es u p p o s e s t h a t t h e
p er s o n a l et h i c s o f t h e e m p l o y e e a lw a y s o ve r r i d e s t h e in t er es t s o f t h e em p lo y e r , w h ic h is a
v er y s t r o n g s t a t em en t .

27
N SPE (N a ti o na l So c i e ty of Pr of es s i on al E n gi n eer s , U S):

E ng i ne e r s s ha l l not r e ve a l fa ct s, d a ta , or i nf or ma t i on w i t h out t he p r i or c onse nt of

t he c lie nt or e mp l o ye r e xce p t a s a ut hor iz e d o r r e q uir ed b y la w or t h is C o de . ( Ru le
of pra ct ic e 1 c)

E ng i ne e r s ha vi n g k now le d g e of a ny a ll e g e d v i ola t io n of t h is C ode sha ll re p or t

t he re o n t o a p pr op ri a te p r ofe s si ona l b od ie s a nd , w he n r el e va nt , a l s o t o p ub l i c
a ut ho r i t ie s, a nd c oop e ra te w it h t he p r op e r a ut ho ri ti e s i n fur ni s hi ng s u c h
inf or ma t i o n or a ss i s t a n ce a s m ay b e r e q uir e d . ( R ul e of p ra c t i ce 1 f )

FE AN I (E u ro p ea n F ed er a ti on o f N a ti on al E n gi n eeri n g As s o c i ati o n s ) :

E ng i ne e r s s ha l l o b s e r ve p r o pe r d ut i es of c onf i d e nt i a l i ty.

E ng i ne e r s s ha l l b e p r e p ar e d to co nt ri b ut e t o p u b li c d e b a te o n ma tt er s of t e c h ni ca l
u nd e r st a nd i ng i n f ie ld s i n w h i ch t he y a r e co mp et e nt t o co mm e nt .

IE EE ( I ns ti t u t e f o r E l ec tri c al a n d El ec tr o ni c En gi n e er s ) :

" We , th e me mb e r s of t he IE E E , [ . . .] a gr e e t o a c c ep t r e s p on si bi li ty w he n m a ki ng
e ng i ne e r i ng de ci si on s co n si s t e nt w it h t he sa f e ty, he a l t h a nd we l far e of th e p ub l i c,
a nd t o d is cl os e pr om p t ly fa c t or s tha t m ig ht e nd a ng er t he p u bl i c o r the
e nvir o nm e nt . "

T he r e a r e i m p or t a nt d i f f e r e nce s b e t w e en t he s e t hr e e c od e s. T he I E EE c od e d oe s
no t c ont a i n a c onf i de n t ia li ty r e q ui r e m e nt , w hi le t he ot he r t w o d o. C on ve r s e l y, t he
F E AN I co d e i s si le nt a b o ut i nf or mi ng t hi r d p ar t ie s w he n t he co d e i s vi ola t e d or t he
p ub l i c is p ut a t r i sk. N ot e a l s o tha t t he NS P E C o de i de nt if ie s d if f e r e nt p a r ti e s t ha t
sh o ul d be i nf o r me d i n t he ca se of c ode vi ol at i ons t ha n t he IE E E c od e . Wh er e a s t he
I EE E C od e w o uld e nc our a ge t he B A RT e ng i n e e rs to s p ea k o ut in p ub l i c, t he N SP E
co d e te l ls t h e m t o i nf o r m t he p r op e r a ut h or it ie s. T he p r e s cr i p t i o n f l ow i ng f r om t he
F AN I co d e is l e s s c l ea r . I f o ne i nt e r p r et s c o nt r i b ut in g t o p ubl ic d e ba t e a s
inf or m i ng t h e p ub li c a b out p os s ib le ha za r d s , one mig ht sa y t ha t e n gi ne e r s ha ve a
r ig ht t o s p e a k out o n b a si s of t he se c o nd r ul e i n t he b ox. O n t hi s i nt e r p r e t a t i o n,
co nt r ib ut i ng t o p ub l i c de b a t e co nf l i c ts wi t h t h e r u le a b o ut c o nf id e nt ia l i t y. T h is
co nf l i c t i s n ot r e sol v e d i n t he c od e . Th is c onf li ct m ig ht be a voi d e d b y a n
int e r p r e t a t i on of c on t ri b ut in g t o p u b l ic d e b a te t ha t e x cl ud e s ma ki ng p ub li c
co nf i d e nt i a l inf or ma t i o n, e ve n i f t hi s i s i nf or ma t ion a b o ut t he p os s ib le
ma l f un ct io ni n g of a t e c hni ca l s ys te m .

A s t hi s e xa mp l e r ev e a l s t he d e g r e e t o w hi c h co d e s of c ond u ct ar e v a g ue a nd
p ote nt ia l l y co nt r a d i ct o ry i s d if f e re nt f ro m c od e t o c od e . T hi s m e a n s t ha t a t te m pt s
ca n b e m a d e t o a voi d va g ue ne ss a nd c o ntr a d i ct i o ns. T he N SP E ha s g o ne s om e w a y
in d oi ng s o i n i t s co de . I n ad d it i o n, t he B oa r d of E t hi ca l Re vie w of t he N SP E ha s i n
t he p a st p ub l is he d a no n ym ous ca se s i n w hi c h a j ud g me nt w a s p r e se nt e d w he t he r
ce r t a i n be ha vio u r w a s in a c c or d an ce w i t h t he c od e of c o nd uc t or n ot . 39

2 . 3 .3 Can et hics b e co difie d?

So me a ut h or s ha ve a r g ue d t ha t t he id e a of d r a f ti ng a c od e of c o n du ct i s
mi s p e r c e i v e d b e ca use e th ic s ca n no t b e c od i fi e d. I n a s e ns e, t hi s ob je ct i o n is t h e
mi rr or of t he p r e vi o us one . Whe r e a s p e op l e wh o cr i ti c i ze t he va g u ene ss a nd
p ote nt ia l c ont r a d i ct io ns i n c ode s of c on d uc t a r e w or ri e d t ha t s uc h c od e s d o not
u ni f o rm ly p r e s c r i be ce r t a i n be ha vi ou r, p e op l e w ho a rg ue t ha t e t hi c s ca nnot b e
39
T h e c a s es c a n b e f o u n d a t h t t p : / / w w w .n ie e .o r g / c a s es / i n d e x .h t m ( vis it e d 2 4 A u g u s t
2007).

28
co d if i e d a r e of t e n w o r ri e d t ha t c od e s of co nd u ct c o nta i n s t r i c t p r e sc r ip t i on s w hi ch
co nf l i c t w it h w ha t e t hi cs i s a b o ut a c c ord i ng t o t he m. We w il l c ons i d e r t hr e e
d if f e r e nt a r g u me nt s w hy e t h ic s c a n no t b e co d if ie d .

O ne ar g u me nt i s t ha t e t hi c s r e q ui r e s i nd i vi d ua l m ora l ju d g m e nt, i ns te a d of b l i ndl y

f oll ow i n g a c ode . 40 I n t he t e r m i no lo g y of t he ph il os op he r I m ma nue l K ant , f ol l ow i ng
a c od e of c o nd u ct ma y b e b as e d o n he t e r on y mo us m ot i ve s , i . e . m o ti v e s or i g i n at i ng
ou ts id e th e a ct in g pe r so n li ke f e a r f or sa n ct i ons w h i le m ora l be ha v io ur r e q ui re s
a ut on om o us d e c i si ons a nd b e ha vi o ur ( se e f ur t he r c ha p te r 3 ). Ho w e ve r, e v e n if
e t hi c s r e q ui re s a ut ono mo us d e ci s i o n- ma ki ng , it d o es not f ol low t ha t c od e of
co n du ct a r e ne ce s s a r i l y ob j e c t i o na b le . Wha t i s ob j ec t i o na b le is a c e rt a i n u nc r i ti ca l
w a y of u si ng c od e s of c on d u ct , b ut a n a d vi s or y c od e ne e d no t co nfl ict w i t h t he
mor a l a ut o no my of pe op l e b ec a us e p e opl e r e t a i n t he i r a ut ono m y i n d e cid i ng
w het he r t o f ol low t he c od e or n ot . N e ve r t he l e ss, i n t he ca se of d is ci p li na r y co d e s
t he a r g um e nt m a y b e so und b e c a us e d is ci p l i na r y c od es s upp o se t ha t t he c od e i s
st r i ct l y a d h e re d t o. 41

A se c o nd a r g um e n t i s t ha t c od e s of c o nd u ct a r e no t m ora l l y b i nd i n g. 42 As t he b ox
sh ow s, a va r i et y of a r g u me nt s w hy co d e s of c o nd u ct a re b i nd in g c an b e gi ve n.
E ve n i f on e r e je c t s th e v ie w t ha t co d e s of c ond u ct en t a il a c on t r a c t , on e m ig ht s t ill
a r g ue t ha t co d e s of c ond u ct ex p r e ss a l r e a d y ex i st i ng m or a l r e s p o ns ib i l it i e s a n d
ob l ig a t io n s. I n t ha t ca s e, a c od e of c on d uc t c a nn ot c re a t e ne w mo r a l ob lig a t i on s
b e y ond w ha t w a s a lr e a dy m or a l l y r e q ui r e d. F r om t hi s, h ow e ve r , it do e s n ot f ol low
t ha t a c od e is s u p e rf l uou s. I t m ig ht s ti ll b e h e lp f ul , f or e xa m p le , t o r e m i nd p e op l e
of t he i r m or a l ob lig a t i on s a nd r e sp ons i b i li t i e s.

W h y a r e c o d es o f c o n d uc t m o ra l ly bi n di ng ?

O ne p os s ib le e x pl a na t i on i s t ha t co de s of c o nd u ct en t ai l a n i mp li ci t c o nt ra ct
b e t we e n e ng i ne e r i n g a s a p r of e s s i o n a nd t he r e s t of s oc ie t y. 43 A c c or d i ng t o t his
e xp la n a ti on, p r of e s s i o nal s se r ve a m ora l i de a l i n ex c ha ng e t o p ri vi le g e s a s s ta t us,
a mo n op ol y o n ca r r yi ng o ut t he o c c up a t i o n a nd g oo d s a la r ie s. I n t h i s e xp l a na t i o n,
p r of e ss io na l s a re b oun d b y pr of e s si o na l c od e s b e ca us e t h e y ha v e i mp li c i t l y si g ne d
a c o ntr a ct w it h s o cie t y . Thi s co nt r a ct cr ea t e s a m or a l ob l ig a t io n t o f oll ow t he co d e
of co nd u ct of a p r of e s s io n.

A not her e x p la na t i on i s off e r e d b y M i cha e l Da vi s . H e de f i ne s a p rof e ss i o n a s

f oll ow s: A p rof e s si on i s a nu mb e r of i nd i vi d ua l s in t he sa me o c c u p a t i on vo lu nt a ri l y
or ga n iz e d t o e a r n a l i v i ng b y op e nl y se r vi n g a c e rta i n m or a l i d e a l i n a m or a l l y-
p e rm is s i b le w a y b e y o nd w ha t l a w, m a r ke t , a nd mo r a l it y w o ul d ot h e rw i se re q ui r e . 44
O ne im p o rt a nt f e a t ur e of t hi s d e f i n it i o n i s t h a t b e in g a pr of e s s io n i s a v ol u nt ar y
c ho ic e . A cc or d i ng t o D avi s, t he e x i st e nce of p rof e ss i o na l c od e s f o r eng i ne e r s
t e st if ie s t ha t e ng i ne e r s i nd ee d h a v e m a de t h is c ho i ce . Su c h c ode s a r e b i ndi ng
b e ca us e be i n g a me m b e r of a p r of e s si on i m p l ie s a n im pl ic i t c o nt r a c t w i t h y o ur
co ll e a g ue pr of e s si on a l s . Th is c ont r a c t c re a t e s a le ve l p la y i ng f ie l d so t hat a ll
p r of e ss io na l s ca n p ur s ue th e m or a l i d e a l.

A t hir d e xp l a na t i o n i s t ha t t he c od e s of c on d uc t a s su c h a r e not m or a l l y b i nd i n g
b ut t ha t t h e y e xpr e s s m ora l r e s p o ns ib il i t ie s t ha t a r e g r o u nd e d ot h e r wi se . M i cha el
P r it c har d , f or e xa mp le , ha s a r g u e d t ha t e ng i ne e ri ng c od e s of c ond u ct a re b a se d o n
co mm on m or a lit y. 45

40
Ladd (1991).
41
T h er e m a y b e , h o w ev er , n o n - m o r a l a r g u m en t s f o r h a vi n g a d i s c i p l in a r y c o d e .
42
C f . La d d ( 1 9 9 1 ) .
43
H a r r i s et a l . ( 2 0 0 5 )
44
D a v is ( 1 9 9 8 , p . 4 1 7 ) .
45
P r it c h a r d ( 2 0 0 9 ) .

29
Sim i la r a r g ume nt s m a y be g i ve n f or c or p or a t e c od e s. T he se ca n a l s o b e s e e n a s a
co nt ra ct b e t we e n a c om p a ny a nd s oc ie t y or a s a c o ntr a ct b e t w e e n e m p l o ye e s of a
co mp a n y or , f i na ll y, as an e x p r e s s io n of t h e mora l r e s p o n sib il i t ie s a nd ob l i g at i ons
a c om p a ny a nd it s e m p lo ye e s ha ve on ot he r g r o und s.

A t hir d a rg ume nt a g a i ns t co d e s of c ond u ct i s t ha t t he y p r e su p p os e t ha t m or a li t y

ca n b e e xp r e s se d i n a s e t of u ni ve rs a l m or a l ru le s . O n e r e as on w h y th is i s
q ue s t i o na b le is t ha t e ng in e e r in g i s t o o d i ve r se , b ot h i n t e r m s of di sc ip l i ne s ( ci vi l
e ng i ne e r i ng , me c ha ni c a l e ng i ne e r in g , el e ct ri ca l e ngi ne e r i n g , a er os p a ce
e ng i ne e r i ng , e t c .) a n d i n t e r m s of a ct i vi t i e s (r e s e a r c h, d e si g n, t e st in g ,
ma i nt e na nc e , e t c. ) f or o ne c od e t o a p p l y. T hi s ob je c t i on ca n, how e ve r , b e d e a l t
w it h b y ha v in g a v ar i e t y of c ode s of co n d uc t . A m ore f u nda m e nt a l ob je ct i o n i s t ha t
so u nd m or a l j u d gm e nt a lw a ys r e q ui r e s t a ki n g i nt o a cc ou nt t he p a r t ic ul a ri ti e s of a
si t ua t io n. 46 A c co r d i n g t o t hi s li ne of re a so n in g , it is n ot am az i ng t ha t c od e s of
co n du ct a lw a y s r e q ui r e i nt e r pr e t a ti o n i n p a r t i c u la r s it ua t i on s.

T wo p o in t s a re w o rt h not i ng a b ou t t he s e t h r ee a r g um e nt s. F ir st , t he a r g um e nt s a r e
me r e l y d i r e ct e d a g a i ns t d i s ci p li na r y c od e s. S u ch co de s a r e st r i ct ly p r e s c r ip t i ve a nd
a r e e nf o r c ed . E nf or ce me n t us ua l l y r eq ui r e s t hat t he r o om f or i nt e r pr e t a t io n of t h e
co d e is l i mi t e d . M or e o ve r, e nf or ce m e n t ma k e s i t d e s ir a b le t ha t t h e c od e i s mor a l l y,
or a t l e a s t l e g a l l y, bi n di ng . T he a r g ume n t s a r e l e ss, i f a t a l l , c on vi nci ng i n t he c a se
of a d v i s or y a n d a s p i r a t i ona l co d e s. Se c ond , i n a s fa r as e s pe c ia ll y t he f ir st a nd
t hi r d a r g um e nt a r e s ou nd , t he y im p l y t ha t it is n e it he r p o ss i b le no r d e s i r a bl e t o t r y
t o a v oi d a l l r oom f or i nt e r p r et a t i o n in t he f o rm ul at io n of a c od e of c o nd u ct . T hi s
su g g e s t s t ha t o ne n e e ds to a c ce p t so me d e g r e e of va g ue ne ss a nd som e p ot e nt ia l
co nf l i c ts i n c ode s of c on d uc t .

2 . 3 .4 Can cod es of co nd u ct be live d by?

C od e s of c ond uc t so m e t im e s c ont a i n p r ov i s i on s t ha t a r e v er y d if f i c ul t o r i mp os si b l e
t o f ol l ow i n p r a ct i ce . P r of e ss i o nal c od e s ca n, f or exa m p l e , j us ti f y or r e q uir e a ct i o ns
t ha t g o a ga i ns t t he i nt e r e s t of t he e mp lo ye r . The B A RT ca s e , w hi ch w i t h t h is
c ha p te r st a r te d , is a n e xa m p le . M or e g e ne r a l ly, p r of e s si ona l c od e s som e t i me s
r e q ui r e t hat e ng i ne e r s i nf or m t he p ub l i c t im e ly a nd c om p l et e l y i f t he sa f e t y, he a lt h
or w e l fa r e of t he p ub l i c is p ut a t s t a ke in a t ec hno lo g i ca l pr o je ct . Thi s d u t y t o
inf or m t he p ubl ic ca n co nfl i ct w it h t he co nf i d e nt i al it y d ut y t ha t e n g i ne er s a l s o ha ve
a c co r d i n g t o t he l aw i n ma n y c o u nt r ie s. I f e ng in e e r s i n s u c h s it ua t io ns re l ea s e
inf or ma t i on o ut si d e t he c om p a ny i n wh i ch t h e y a re w o rk i ng , t he y a r e b low i ng t h e
w hi st l e ( se e c ha p t e r 1 ) .

E ng i ne e r s, a nd ot he r e mp l o ye e s, w ho b l ow t he w h ist l e a r e us ua l l y in a w ea k
p o sit i o n f r om a l e ga l p oi nt of vi e w. 47 T he si t ua t io n is d if f e r e nt f r om c ount r y t o
co u nt r y, b ut t he l a w s t ha t r e g u la t e e m p l oy m e nt c ontr a ct s i n m os t co u nt r ie s e it he r
im p os e c er t a i n co nfi de nt ia ll y d ut ie s o n e mp l o ye e s or t h e y a l lo w t he e mp lo ye r t o
or d e r t he e m p l o ye e t o ke e p si l e nt ce r t a i n sp e cif ic i nfo r ma t io n, or t he y d o b ot h.
T he r e a so n f or t hi s i s t w of ol d . F i rs t, c onf id e nt ia lit y m a y b e r eq ui r e d t o p ro t e c t t he
co mp e t it i v e p os it i o n o f o ne c omp a ny ve r s u s a not h e r . Se co n d , s uc h l a w s ar e
int e n de d t o a vo id t hat e mp l oye e s d i s pr op or t i ona te l y da m a g e t he co m pa ny f or
w hi c h t he y a r e wo r k i n g b y m ak i ng p ub l i c ce r t a in i nfor ma t i on. Br e a c hi ng
co nf i de nt ia li t y d ut ie s m ay b e a g ro u nd fo r d i sm i s sal i n s om e c ou nt ri e s. 48 I n ot he r
co u nt r ie s, l i ke t he U S, e mp l oye e s c a n b e di s mi s se d a t w i l l b y t he c omp a ny.

46
E.g. D ancy (1993).
47
Malin (1983).
48
C o n ven t io n 1 5 8 o f t h e I n t er n a t i o n a l L a b o u r O r g a n i z a t i o n s t a t e s t h a t a n em p lo y e e c a n t
b e f i r e d w i t h o u t a n y l e g i t i m a t e m o t iv e a n d b e f o r e o f f er in g h i m t h e p o s s ib i li t y t o d ef e n d
h im s elf . T h e U S h a s n o t r a t if i e d t h i s c o n ven t io n .

30
How e ve r, t he e m p lo ye e ca n hol d t he com p a ny l ia b le for t he d a ma g e of d i s mi s s a l o n
u nj us t g r o und s.

T he r e a r e l i mi t s to t he c onf id e nt i a l it y d ut i e s t ha t c om p a nie s ca n im p o se up on t he i r
e mp l o ye e s. F ir st , i n m a n y co u nt r ie s f r e e d om of sp e e c h is le g a l l y p r ot e c t e d .
Hi st or i c a l l y, f r e e d om o f sp e e c h is un de r st ood t o a pp l y t o t he r e la t i o n be t w e e n t he
st a t e a nd a n i ndi v id ua l c it iz e n a nd n ot t o t he re l at i on b e tw e e n a c om pa ny a nd a n
in d i vi dua l e mp lo ye e , w hi c h is b a s i c a ll y a r e la t io n b e t w e e n ci t i ze n s, a c co r di ng t o
t he l a w. T he r e is , ho w e ve r, a t e nd e nc y i n la w a l so t o ap p l y f u nda me n t a l r i g h ts li ke
t he f r e e do m of s p e e c h t o r e l a t i o ns b e tw e e n or g a ni za t io n s a nd i nd i vi d u a ls . T h is
d oe s no t m e a n t ha t e mp l o ye e s ha ve c omp l e t e f r e e d o m of s p e e c h, b ut it mi g ht
me a n t ha t c o nf id e n t ia l ly d ut i es s hou ld b e we i g he d aga i ns t, or be p r op or ti o na l t o
t he f r e e do m of s p e e c h of a n e mp lo ye e a nd t he l eg i ti ma t e i nte r e st s of a n e m p l oye r .
Se co nd , i n som e ca s e s th e r e a r e le g a l r e q u ir e me nt s t o m a ke p ub li c c e r t a i n
inf or ma t i on, or t o i nf o r m t he g ov e r nme nt o r t he p ub li c pr o se c ut or a b out ce r t ai n
a b us e s . The se le g a l r e qu ir e m e n t s ma y o ve r r i d e co nf i d e nt i a l it y d ut i e s . Th ir d ,
e ng i ne e r s mi g ht a r gu e t ha t t he y ha ve a p r of e ss io na l d ut y, b a se d on t he ir
p r of e ss io na l co de of c ond uc t , t o m a ke p ub li c c e r t a i n i nf or m a ti on. T hi s ha p p e ned i n
t he B A RT c as e a nd w a s s u pp or te d b y t he p r o f e ss i o na l as so c ia t i o n of e l e c t r i c a l
e ng i ne e r s, t he I E EE , b ut t o n o a va il . F ou r t h, e mp l oye e s ca n a r g ue t ha t it i s i n t he
p ub l i c i nt e r es t t ha t ce rt a i n inf or ma t i o n i s m a d e p u b li c. A g a i n, t he su c ce s s of t h is
st r a t eg y in co ur t s ee m s l i mi t e d . I n r e s p o nse , se ve r a l g ove r nme nt s ha ve f orm ul a te d
sp e ci a l la w s t o p r ot e c t w h ist l eb l ow e r s. I n t h e U S t he r e ha s b e e n l e g i s la t i o n
p r ot e ct i ng w hi st le b lo w er s f or tw e nt y yea r s. I n r e c e n t t i me s t hi s h a s b e e n a d a pt e d
t o gi ve wh is t l e bl owe r s g re a t e r pr o t e c t i o n. R ec e nt ly l a rg e f i na nc ia l r e w a r d s ha ve
b e e n p a id t o w hi s tl e b l ow e r s w ho b r oug ht t o li gh t fra ud ul e nc e or t ax a b u se .
Ne ve r t he le s s, a ls o in t he s e c a se s w hi st le b l o w e rs u s ua l l y on l y ha ve a l im i t e d
a mo u nt of l e g a l le ve r a ge i n t he fi r st p l a c e a nd t he y a l m os t a l w a y s ev e n t u al l y lo s e
t he i r j ob s.

A c od e of co nd u ct i s h a r dl y c r ed ib l e i f li v i ng b y it r e q u ir e s e n gi ne e r s t o a c ce p t
d is m i ss a l o n a r e g ula r b a se . T hi s i s e s p e cia l l y a pr ob le m f o r p r of e s sio na l c od e s
t ha t r e q ui re e ng i ne e r s t o bl ow t h e w hi s t le . N e ve rt he le ss , t h e r e a r e a n um b e r of
in it i a t i ve s t ha t ca n be t a ke n u n d e rt a ke n t o i m pr o ve t he d e gr e e t o w hi c h s uc h c od es
ca n b e l i ve d b y. F i r st , i ni ti a t i ve s ca n be un de r t a k e n t o c ha ng e t he l a w a nd t o
b e t te r p ro t e ct w hi st le b lo we r s. S e c o nd, co m p a n ie s ca n i n cl ud e a ri ght t o i nf or m t he
p ub l i c i n ce r t a i n w e l l - c ir cu ms c r i be d ca s e s i n t he ir c orp or at e c od e a nd ca n
f orm ul a t e p o li cie s so t ha t e m p l oye e s c a n i nd e e d l i ve b y s uc h c od e s . So me
co mp a ni e s, l i ke t he ch e mi c al c o nc e r n D SM, h a ve f or mu la t e d p ol i cie s or p r oc e d ure s
f or w h is t l e b l ow i ng . 49 Al s o p r of es si o na l a s so ci a ti o ns c a n u nde r t a ke i ni t ia t i ve s, l i ke
p r ov i di ng l e g a l s up p or t t o i nd i vid ua l e ng i ne e rs in ca se s w h er e a d he r i ng to t he
p r of e ss io na l co de c r e a t es c onf l i ct w it h th e e mp l o ye r . T he IE E E ha s d o ne t hat i n t he
p a st . Som e p r ofe s si o n a l o rg a ni za t i o ns l i k e t he N SP E ha ve a l s o p ub li sh e d l i st s of
co mp a ni e s t h a t l i ve b y t h e p rof e ss i ona l c od e .

2 . 3 .5 E nforceme nt

E nf o r ce me nt i s o n l y a n e xp li ca t e ob je ct i ve i n t he c a se of d i s cip li na r y c od es . A ct i v e
e nf or ce me nt of c od e s of co nd u ct se e ms t o b e an e xc e p t io n, e sp e ci a ll y f or
p r of e ss io na l co de s. B e low , w e w il l e la b o ra t e o n t h e r e a s o ns f or t hi s a nd d i s c us s
w hat p os si b i l it i e s f or e nfo r c e me nt e x ist .

Profe ss io na l co des

49
D S M A ler t : W h i s t l e B l o w in g P o l ic y & P r o c e d u r e f o r e x p r es s in g c o n c er n s a b o u t ex p e c t e d
s er io u s m i s c o n d u ct a t D S M , 2 0 0 4 .

31
O ne ob vio u s r e a s o n w h y p r of e ss i ona l c od e s a r e of t e n no t e nf or ce d i s t hat t h e y ar e
of t e n a d v is or y a nd t ha t e nf or ce m e nt is n ot a n ob je ct iv e of ad v i s or y c od e s. A n
u nd e r l yi ng r e a s on f o r t he la c k of e nf o r ce me nt, a nd f or t he c h oi c e t o f orm ul a te
a d v is or y ra t he r t ha n d i s cip li nar y c od e s, is t h a t pr of e ss io na l co d e s d o n ot ha ve a
le g a l s t a t us. M or e o ve r , t he p os s ib ili t ie s f or p r ofe s si o na l a s so c i a ti on s t o e nf or ce
p r of e ss io na l co de s a r e li m it e d . E nf or c e m e nt r e q ui r e s sa n ct i o ns a nd t h e m os t se ve r e
sa n ct io n t ha t p r of e s si ona l s o c ie t ie s ca n e xe rc ise w it h re sp e ct t o t he i r m e mb e r s i s
us ua ll y l os s of me m b e rs hi p. T he e f f e ct of t h a t sa n ct i o n i s li mit e d be c a u se i n m os t
co u nt r ie s, m e m b e r s hi p of a pr of e ss io na l a s s oc ia t io n i s vo lu n ta r y a nd i s no t
r e q ui r e d t o e x e r ci s e t h e pr of e ssi on of a n e n g i ne e r . A n ot a b l e e x c e p t io n is
co n s ult i n g e ng i ne e r i ng i n t he US a nd Au st r a li a . C ons u lt i ng e ngi ne e r s i n t h es e
co u nt r ie s ha ve t o b e r eg i st e re d a s e ng i ne e r s i n ord e r t o ca r r y out t he i r p r of e s s i on
if t he y a r e not e mp l oy e d b y a c om pa n y b ut ha ve t h e ir ow n f ir m. S u ch re g i s tr a t io n
is a l s o so me t i m e s re q ui r e d f or s p e c if i c g r o up s of e ng i ne e r s i n ot h e r co unt r ie s. I f
r e gi st r at i on i s re q ui r e d , l os s of r e g is t r a t io n a nd t hu s lo s s of t he a bi l it y t o w or k a s
a p r of e s si o na l e ng i ne e r ca n b e t he c o ns e qu e n ce of a n e ng i ne e r b r e a c hi ng h is or
he r p r ofe s s io na l co d e. B e l ow a n e xa mp le i s gi ve n; s u c h ca se s a r e ho w e ve r r a t he r
e x ce p t io na l . I n m o st c a se s , n o a t te m p t s a r e ma d e b y p r of e ss io na l as s o cia t io ns t o
e nf or ce t he i r c od e of c ond uc t .

Ca s e: Jo h n T o z er 50

I n 1 9 8 9 t he A u st ra l ia n e n gi ne e r Jo hn Toze r c r it i c ize d t he d e cis i o n o f t he C offs

Ha r b o ur a ut h or i t i e s t o p ump se wa g e i nt o t he s ea . A c cor di ng t o hi m t he e ng i ne er s
e mp lo ye d b y t he l oca l a ut ho r i t y ha d g i ve n a mis le a d in g i mp r e s si on of t he effe ct s
up o n t he e nvir onm e nt a nd t he y had fa i l ed t o pr o p e r l y i nve st ig a te t he a lt e r na t i ve s.
T he e n gi nee r s i n q u e s t io n w e r e s ub s eq ue nt l y s uc ce ssf ul i n r e mo vi ng Toze r f r om t he
p r ofe ss io nal a s s oc ia t i o n, t he A s so ci a ti on of C on s ult i ng En g i ne e rs Aus t ra lia ( A C EA ).
Toze r w as a c c use d of ha v in g c on t ra ve ne d t he p r ofe s si o na l c od e b y op en l y
cr it i c i zi ng t he w o r k of ot her ( a s s oc ia t e d ) e n g i ne e r s. B e ca us e of hi s d is ba r m e n t
Toze r, w h o ha s hi s ow n c on s ult i ng e n g i ne e ri ng f ir m, is no lo n g er a b le t o fu lf il a ny
co nt ra ct s for c u st ome r s d e m a nd i n g A C EA me mb e r s hi p.

Cor po rate codes

C or p o ra t e c od e s al s o us ua l l y la c k a l eg a l s t a t u s. Ne ve r t he le s s, e nf or ce me nt o r a t
le a st m on it or i n g of t h e c od e i s m or e co mm on t ha n i n t he c a se of p r ofe s s io na l
co d e s. O f t he w o rl d l a rg e s t co mp a ni e s t ha t ha ve a c od e , 5 2% r e p or t m o ni to r i ng of
co mp l i a nc e w i t h t he c od e . 51 G e ne r a ll y s pe a ki n g , c or p or a te c od e s of f e r m or e
p o ssi b i lit ie s for e nf o r c e me nt t ha n pr of e s si on a l co d e s. T he r e a s o n f or th is i s t ha t
co mp a ni e s d o us ua l l y i nf l ue nc e t he d a i l y p r a c ti ce of i nd i v id ua l e ng i ne e rs to a m u c h
la r g e r e xt e nt t ha n p r o fe s s io na l a s so c i a ti ons d o. C om p a nie s d o ha v e mo r e
p o ssi b i lit ie s to s t i m ul a t e o r d is c o ur ag e i n d i vi d ua l b e ha v i ou r of e ng i ne e rs th a n
p r of e ss io na l a s s o cia t io ns. U l t i ma t e l y, t he y c a n d is m i ss e ng i ne e r s if t he b r ea c h t he
co d e of c on d uc t; a sa n ct i o n t ha t i s m uc h mor e se ve re t ha n l os s of p r of e ss io na l
me m be r s h ip .

C or p o ra t e c od e s ca n a ls o b e e nf or c e d e xt e r n a ll y, i . e. t hr ou g h a n e xt e r na l
or ga n iz at i on a s se s si ng th e co mp a ny i n t e r ms of it s c od e of co nd u ct . Thi s i s ca l le d
e xt e rna l a ud it i n g . A n i n cr e a s i ng nu mb e r of c omp a n ies a r e vo lu nt a r y a u d it e d b y
a c co u nta n c y or c on s ul ta n c y f i r m s w i t h r e sp e ct to, f or e xa mp l e , s a f e t y,
e n vi r onm e n t , s oc ia l is s ue s a n d i nt e g r it y. 52 A n a dva nt a ge of s uc h ex t e r na l
a ss e s s me nt is t ha t i t h e lp s t o a v oi d t ha t t he co r p or a t e c od e of c ond u ct is
int e r p r e t e d a nd e nf o rc ed a t w i ll . I n t he a b se n ce of e xt e r na l a u d it s, i t i s
co n ce iva b le t hat t hos e on t he w or k fl o or a r e p u ni s he d s e ve r e l y f or no t obe yi ng t he

50
B a s ed o n B e d er ( 1 9 9 3 ) .
51
K a p t ein ( 2 0 0 4 ) .
52
H u m m els & K a r s s i n g ( 2 0 0 7 ) .

32
co r p or a t e c od e of c ond u ct w hi l e p e op le a t hi g he r le ve ls i n t he or g a ni za t i o ns, i. e .
t h os e p e r s o ns w ho a ls o i nt e r p r e t a nd e nf or c e t he c od e , a re j ud ge d mo r e mil dl y.
E xt e r na l a ud i t i n g a l s o i n cr e a s e s t he cr e di b i l i t y, a nd s o t he im a g e , o f a c om pa n y.
E xt e r na l a ud i t i n g m a y a l s o b e r e q ui r e d f or t h e a c q ui s it io n of ha l lm a rk t ha t
g ua r a nt ee s c us t om e r s of t he c om pa n y t ha t c e r t ai n s t a nd a rd s a r e m e t . Ext e r na l
a ud i t i ng o r e nf or ce m e nt c a n a ls o b e ca r ri e d ou t b y b r a n c h or ga n iz a t i on s. T h is
r e q ui r e s a co d e of c on d uc t o n t he l e v e l of a n en t ir e b us i ne ss b ra n c h. I n so m e
co u nt r ie s, t he c he m ic a l i nd u st r y ha s e s t a b l i s he d s uc h co d e s of co nd u ct
( 'r e s p on si b le ca re '). S u ch b r a n c h c od e s ha ve th e a d di t i o na l a d va nt ag e t hat
co mp a ni e s w h o w a n t t o l i ve by ce r t a i n m or a l st a nd a rd s a r e n ot p u ni s he d f o r t ha t
f ina n cia ll y or c om m e r c i a ll y.

E ve n i f c or p ora t e co d e s a r e no t e nf o r ce d , t h ey of f e r b e t t e r p os si b i lit i es f or
st i m u la t i ng r e sp o ns ib l e b e ha vi our th a n ma n y p r of e s si on a l c od e s. O ne r e a so n i s
t ha t e x t e r na l p a r t i e s c a n cr it i c i ze a co mp a n y f or n ot li v i ng b y it s o w n c od e of
co n du ct . T hi s is of c o u r se a ls o t he ca s e w it h p rof e ss i o na l a s s o cia t io ns b ut
co mp a ni e s a r e of t e n m ore se n si t i v e t o e xt e r n a l cr i t i ci s m t ha n p r of e ssi ona l
a ss o ci a t i o ns .

Ca s e: B re n t Spa r

I n 1 9 9 9 S he l l d e cid e d t o s i n k t he o il p la t f or m B r e nt Sp a r i ns t ea d of d i sm a n t li n g it .
T he B r i t i s h g ove r nm e n t g a ve She ll pe r mi ssi on t o ca rr y o ut t h is op t i on. H ow e ve r ,
su b se q ue nt l y S he l l w a s p ut und e r g r e a t pr e s s ur e b y e n vir o nme nt a l or g a ni za t i ons ,
in p a r t i c ul a r b y G r e e np e a c e . Gr e e n p e a ce a r g ue d t ha t d is m a n tl i n g w a s m or e
e n vi r onm e n t a ll y f r ie n d ly a n d, m or e o ve r, sa w t h e s i n ki ng of a p la t f or m a s a n
u nd e si r a b l e p r e c e de nt f or t he d is ca rd i ng of oi l p l at f or m s. Be ca use G r e e np e a c e w a s
a b le t o m ob i liz e t he p ub li c a nd co ns u me r s of S he l l p r o d uc t s, a mo n g ot h e rs t hr o ug h
a n oc c up a t i o n of t he B r e nt Sp a r, S he l l e v e n t ua l l y f el t fo r c e d not t o si n k t he B re nt
Sp a r .

2.4 C od es o f c o n d uc t i n a n i n t ern a ti o na l c on t ex t

2 . 4 .1 Globa l c ode s fo r m ultina tiona ls

T he 1 9 90 s w i t ne ss ed a p r oli f e ra t io n of c or p o ra t e c od e s of co n d uc t a nd a n
in cr e a se d e m p ha s i s o n c or p or a t e so c ia l re sp on si b il it y. T he s e co d e s e me r ge d i n t he
a f t e rm at h of a p e r i od t ha t wi t ne s s e d a ma j o r s hif t i n t he e c on om i c r o le of t he
st a t e , a nd i n p ol i ci e s t ow a r d m ul t i na t i ona l c or p o rat i o ns a nd f or e ig n d i r e ct
in ve st me n t . I n t he 1 9 7 0s ma ny na t io na l g ove r nm e nts ha d so u gh t t o r e g ul a te t h e
a ct i v i t ie s of mu lt i na t io na l c om p a ni e s , s in ce t he s e c om pa ni e s w e r e wi d e l y cr i t i ci z e d
f or t he ir b e ha vi o ur i n d e v e l op i n g co unt r ie s. Ho st gove r nme nt s a nd la b o ur
or ga n iz at i on s cl a ime d t ha t m ult i na t i o na l c om p a n ie s f a il ed t o op e r a t e i n ha r mo ny
w it h l o ca l e co n omi c, s oc ia l, a nd p ol i ti ca l o b j e ct ive s. T he 1 9 80 s w a s a d e ca d e of
d e re g u la t i o n, s in ce e f f or t s a t re g ula t io n ha d b ee n u ns uc c e s sf u ll y, a nd i n cr e a s e d
e f f ort s w e r e u nd er t a ke n t o a t tr a ct f or e i g n i n ve st me nt . F or e ig n di r e c t i nv e s t m e nt in
t he g l ob a l e c o nom y b e g a n t o r e a c h u np re ce d e nte d le ve l s , s ig nif i c a nt l y i nc re a si ng
t he i nf l ue n ce of m u lt i n a t io na l co mp a ni e s on t he p r os p e ct s of d e ve lo p i ng c oun t ri e s.
M a ny g ov e r nme nt s of l e sse r - de ve l op e d na t io ns sa w f o re i g n ca p it a l a s ke y t o
e c on om ic g r ow t h a nd a ct i ve l y e n co u ra g e d f o r e ig n i n ves t me nt . How e ve r, f e w s uc h
na t i o ns ha d t he p owe r t o e nf or c e c or p o ra t e r eg ula t io n. A s a co n se q ue n ce , t h is ha d
a ll ow e d s ome m ult i na t io na l s t o de g r a de t he en vi r o nm e n t, a b use hu ma n r i g ht s , a nd
p r ov i de l i t t le be ne f it t o l o ca l o r na t i o na l d e v e l opm e nt . T he v ie w t ha t t he b e s t w a y
of co mp a ni e s t o p r om ote s oc i a l d e ve l op m e n t i n a d e ve l op i ng na t i on is si m pl y b y
in cr e a s in g t he o ve ra l l le v e l of e c o nom i c a ct i vi t y thr oug h t r a d e a nd i nv e st me nt ,
ho we ve r , w a s c ha ng in g . The ne w p hr a s e b e c a me t he tri pl e b ot t om li ne ( 3 B L or

33
Pe op le , P l a n et & P r of i t ) of e c o no mi c, s oc ia l , a nd e nv ir o nm e nt a l o ut co me s. 53 It is
in t his co nt e xt t ha t th e r e c e nt w a ve of vo l un t ar y co d e s m us t b e u n d er s t o od , w h ic h
g o be yo n d s im p le b us i ne ss or la b our ma t t er s , t o d em ons t r a t e tha t t he y a r e
mot i va t e d b y a se n se of s o cia l r e sp o ns ib il it y , pa r ti c ul a r l y i n l ig ht o f t he i nc re a se d
li b e r a l i za t io n of ma r ke t s. 54 T h e se co de s of c o n d uct ha v e be e n s e e n a s p i vot a l i n t he
g lo b a l ma r ke tp l a c e . 55 U S c omp a n ie s b e ga n i nt rod u ci n g s u c h c od e s i n t he ea r l y
1 9 90 s, a nd th e p ra ct i c e s p re a d t o E ur op e i n t he mi d-1 9 90 s . T he y t e nd t o f o c u s o n
t he i m p a ct of m ul ti nat i ona l c om pa nie s i n t w o ma i n ar e a s: so c i a l c on di t i o ns a nd t he
e n vi r onm e n t .

How e v e r, ma n y v ol u nt a r y c od es of c o nd uc t o f mu lt i na t io na l co mp a nie s w e re v a g ue
d e c la r a ti o ns of b u si ne ss p r in c ip l e s ap p li ca b l e to int e r na t i o na l op er a t io n s. A n um b e r
of or g a ni za t i o ns hav e a nt i c i pa t e d th i s b y d e v e lo p i ng a g lo b a l c od e of co nd uc t t ha t
mu lt i na t io na l com p a ni e s ca n us e a s a g uid e t o d e ve lop a nd / or r e vi se t he i r c od e s of
co n du ct , e sp e c ia l ly r e l a t ed t o i nv e st me nts i n de ve l op i ng c o un t r ie s. T hr e e ma jo r
g lo b a l c od es of c on d uc t a r e t he C a u x P o und Ta b le p ri n cip le s 56, t he O r g a ni za t i o n of
E co nom ic C o- op e r a t io n a nd De ve l op me nt g u id e l i ne s f or m ul t i na ti o na l c om pa nie s 57,
a nd t he U ni t e d Na t i on s Gl oba l C om p a ct 58. Th e Un it e d Na t io ns Gl ob a l C om p a c t
( U N C G ) i s t he w or l d 's la r g e st , gl o ba l c or p o ra t e cit i ze ns hi p i nit ia t i ve . I t i s
co n ce r ne d w it h e x hi b it i ng a nd b ui ld i ng t he s oc ia l le g it i ma c y of b u s i ne ss a nd
ma r ke t s b y of f e r i ng a f r a me w or k f or b us i ne s s e s t ha t a re c om m it t e d t o a l i g ni n g
t he i r op e r at i ons a nd st ra t e g ie s w i t h t e n p r i n c ip le s i n t he a re a s of hum a n r i g h ts ,
la b o u r, t he e n vi r o nm e nt, a nd a nt i -c or r up t io n ( se e b ox) . T he p r i n ci p le s a r e d e r i ve d
f r om Th e Univer sal De claratio n of H u ma n Ri ght s , T he In ter natio na l Lab ou r
Orga niz ati on 's Declara tio n o n F undam en tal Principles an d R ig ht s at Wo r k , Th e Rio
De claratio n on E nvir on men t a nd Developm en t , a nd T he United Nati on s Co nve nt io n
A gai ns t C orr upt ion . M a ny m u l ti na t i ona ls a r e i nv ol ve d in t hi s vo l unt a ry i ni t ia t i ve of
t he U NC G. T hi s i ni ti a t i ve of t he U nit e d N at i ons i s m e a n t t o st i m ul a te co r p or a t e
r e sp ons i b i li ty. A lt h oug h t he g ui de l i ne s a re n ot d i re c t l y b i nd i n g on co m pa ni e s,
a d he r i ng co mp a ni e s a r e e x p e ct e d t o pr o mo t e th e m a n d t o f oll ow p r oc e d ure s f or
r e s ol vi ng a l le g e d vi ol a t io n s.

U NC G st a t e s t ha t b us i ne ss, t r a de a nd i nv e s t m e nt a r e e s se nt i a l p i ll ar s f or pr os p e r it y
a nd p e a ce . B ut i n ma n y a re a s, b us in e s s i s t oo of t e n l i nk e d t o se r i o us i ss ue s f or
e xa m p le , e xp lo it a t iv e p ra ct i ce s, c or r up t i o n, i nco m e e q u a li t y, a n d b a r ri e rs t ha t
d is c ou r a g e i nno va t i on a nd e nt r e pr e ne u r s hi p . F ol low in g t he t e n p r in ci p le s c a n i n
ma n y w a ys b ui l d t r ust a nd s o ci a l ca p i t a l, co n t ri b ut i ng to b r oa d -ba s ed d e v e l opm e nt
a nd s us ta i na b le ma r ke t s.

U ni t ed N a ti o n s G l o ba l C o m pa c t P r i nc i pl es

Hu ma n Rig hts
P r i n cip le 1 : B u si ne s se s s ho uld s u p p or t a nd r e sp e c t t he p rot e c t i on of i nt e r na t i o na l l y
p r oc la ime d hum a n r ig h ts ; a nd
P r i n cip le 2 : m a ke s ur e t ha t t he y ar e n ot co m p l i c it i n hu ma n r i g ht s a b us e s .

Lab our Sta n dard s

P r i n cip le 3 : B u si ne s se s s ho uld up ho ld t he f r e e do m of a ss oc i a t i o n a nd t he e ffe ct i ve
r e c og nit i on of t he r ig ht t o co ll e c t i ve ba r g a i ni ng;
P r i n cip le 4 : t h e e lim in a ti o n of a ll fo r m s of fo rc e d a nd c om p u l s or y l ab o ur;
P r i n cip le 5 : t h e e ff ec ti ve a b ol i t i o n of c hil d l a b o ur; a n d

53
E lk i n g t o n ( 1 9 9 4 ) .
54
C f . S et h i & W i ll i a m s ( 2 0 0 0 ) , C o t t r i l ( 2 0 0 0 ) .
55
C f . R a d in ( 2 0 0 4 ) .
56
w w w .c a u x r o u n d t a b l e .o r g / d o c u m en t s / P r i n c i p les % 2 0 f o r % 2 0 B u s i n es s .P F D .
57
w w w .o e c d .r o g / d a f / in v e s t m en t / g u id el in e s .
58
w w w .u n g l o b a l c o m p a c t .o r g / A b o u t Th eGC / T h eT en p r in c ip l es / i n d ex .h t m l.

34
P r i n cip le 6 : t h e e lim in a ti o n of d i sc r i m i na t i o n i n re sp e ct of e m p l oy m e nt a nd
oc c up a t i o n.

E nvir onme nt
P r i n cip le 7 : B u si ne s se s s ho uld s u p p or t a pr e ca ut i o na r y a p pr oa ch t o e nvir onm e nt a l
c ha l l e ng e s;
P r i n cip le 8 : u nd er t a ke in it ia t i ve s t o p r om ot e g re a te r e nvi r o nme nt a l re s p on si b i l i ty;
a nd
P r i n cip le 9 : e n c o urag e t he d e ve l op me nt a n d di ff us i on of e nvir on me nt a ll y f r ie nd l y
t e c h no l og ie s .

A nt i- Corr upt io n
P r i n cip le 1 0 : B us i ne s s e s s ho ul d w or k a g a i n s t c or r u pt i on in a ll it s f orm s, i n cl ud in g
e xt ort io n a nd b r i b e r y.

Ca s e: Sh el l , N i g eri a a n d th e O g on i : a s tu d y in u ns u s ta i n a bl e d ev el o p m en t 59

Sh e ll i s a g l ob a l g r o u p of e ne r g y a nd p e t r o c he m ic al co mp a ni e s. O ur a im i s t o m e e t
t he e ne r gy ne e d s of s oc i e t y , i n w a ys t ha t a r e e co nom i ca l l y, s o cia l l y a nd
e n vi r onm e n t a ll y v i a b l e , no w a nd i n t he f u t u r e . (w ww. s he l l. c om) T he c omp a n y i s
in v ol ve d i s s e v er a l vo l u nt a r y s oc i a l a n d e n vi r o nm e nt a l i ni t ia t i ve s, su c h a s t he
U nit e d Na t i ons G lo b a l Com p a ct .

T he N i ge r ia n g ove r nm e nt s 4 Ju ne 2 0 0 8 d e ci s io n to re pl a ce t he S he l l P e tr ol e u m
De ve l op me nt C o mp a ny ( S P DC ) S he l l s Ni g e r ia n s ub s id i a r y a s op e ra t o r of oil
co n ce ss i on s i n O g o ni a re a s of f e r s a n o p p or t u ni t y f or e nd in g o ne of t he l on g e s t
r un ni ng co nf l ic t s b e t w e e n a m u lt i na t io na l oi l c omp an y an d a l oc a l co mm uni t y i n t he
Ni ge r De lt a . T he Nig e r De lt a wa s o n ce c o nsi d e r e d t he br e a db a s ke t of N ig e ri a
b e ca us e of i ts ri c h e c o s y st e m, a p l a c e w he r e p e op l e c ult i va t e d f e r t ile f a r mla n d s
a nd b e ne f i t ed f r om a b u nd a nt f is he r ie s.

T he or ig i n s of t he c o n f lic t b e t we e n t he O g o ni a nd SP D C d a te b a ck t o t he
co mp a n y s d i s co ve r y o f oi l i n t his p a r t of t he N ig e r De l t a in 1 9 58 . Ni ge r ia w a s st i l l
u nd e r B r it i s h c ol o ni a l ru l e, a nd th e O g oni , l i ke a ll ot he r m i nor i t y e t h ni c g r o up s i n
t he D el t a, ha d no sa y in t he e xp lo i ta t i on a g r e e me nts. E v en a f t e r i nd e p e nd e n ce i n
1 9 60 , t hey w e r e no t a c co r de d a re a l s t ak e i n oi l p ro d uc t i on.

T he r e w e r e mo r e t ha n 10 0 oi l w e ll s, mo st ly op e ra t e d b y SP D C. A s e lse w h e re i n t he
De l t a , t he e n vi r o nm e nt a l e f f e ct s of o il e x p l o r a ti on a nd p r od u ct i o n in O g oni
t e rr i to r y w e r e se ve r e . La nd a nd w a te r p ol l ut i on f r om sp il l s p l a ye d ha v oc w i t h t h e
e c os ys t e m. V il la g er s l i ve d wi t h g a s f la r e s b ur n in g 24 h our s a d a y ( som e f o r ove r 3 0
ye a r s) a nd a i r p o ll ut i on t hat p r od u ce d a c i d r a i n a nd r e s p i r a t o r y p r ob l em s. Ab ov e -
g r ou nd p ip e l i nes cut t hr o ug h m a ny v i l la g e s a nd f or me r f a r m l a nd .

SP D C r e f us ed t o ac ce p t r e sp ons i b i li t y f or e nv i r onm e n t a l r ep e r c us si ons a nd l a r g e l y

d e ni e d t he r e w a s a n is su e . A s la t e a s 19 9 5 , f or e xa mp l e , a n S P DC d oc u me nt
in si st e d t ha t : A l le g a ti ons of e n vi r onm e n t a l d e v a sta ti on i n O g oni , and e l se w he re i n
ou r op e ra t i n g a r e a , a r e s i mp ly not tr ue . We d o ha v e e n vir o nm e nt a l p r ob l em s, b ut
t he s e do n ot a d d up t o a n yt hi ng l i ke d e v a s t a t i on . I n re s po n se t o c r i ti ci s m of i t s
co mm unit y r e la t i on s p ra ct i ce s, SP D C i n si s t e d t ha t m os t of t he O g o ni d e m a nd s f or
so ci a l b e ne f it s a nd i nf ra st r u ct ur a l d e ve l op m e nt w e r e t he re s p on si b i l it y of t he
g o ver n me nt , not a n oil c omp a ny. I t m a i nt a i n s t ha t it ha s r e s p on d e d p r om p t l y,
f a ir l y, a nd c om pl e t el y t o c om mu n it y co mp l a i nt s i n O g o ni la nd b ut t ha t ma n y, s uc h

59
B a s ed o n In t e rn a t io n a l C r i s i s G r o u p ( 2 0 0 8 ) a n d B o el e et a l . ( 2 0 0 1 ) .

35
a s t h os e ar t i cu l at e d i n t he O g o ni B i ll of Ri g h t s, ar e of a p ol it i c a l na t ur e a nd t h us
b e y ond it s co m pe t e nc e .

I n r e sp ons e t he O g on i f o und e d i n 1 99 2 t he M ov e m e nt f or t h e Su r v iva l of O g oni

P e op l e ( M O SO P ) , l e d b y K e n Sa r o- Wiw a . F ro m t he st a rt i t a d op t e d a po l i c y of no n -
vi ol e n ce . M O SO P d e ma nde d t ha t SP D C t a ke r e sp o nsi b i l it y f or i t s m a ss i v e
e n vi r onm e n t a l d e va s t a t i on of t he i r h ome la nd a n d d e n o unc e d t h e i nj us t i ce s t ha t
S he l l ha s i nf l ic t ed o n t he O g on i a n d ot h e r p e op l e s i n t he N ig er De lt a . I n 1 9 9 5,
K en S a r o- Wiw a a nd 1 3 ot he r M O SO P l e a d e r s w e re s ub je ct e d t o a se cr e t t r ib u na l
t ha t, b a se d on u ns ub s t a nt ia t e d a l le g a t i on s, s e nt e nc e d n i ne of t he me n t o d e a t h b y
ha ng i n g . Th e y w e re a c c use d of i n cit e me nt t o m ur d e r . A l l ni ne w e r e s umma r i l y
e xe c ut ed w i t h o ut a n y op p or t u n it y f or a p pe a l .

M os t Og on i sa w S he l l a s t he a r c hit e ct of t he e v en t s. T he c om pa n y st r on g l y d e ni e d
a n y co mp li c it y i n t he mi li t a r y re p r e s si o n of t he O g oni. How e v e r , i t ne ve r pr ov e d
f org e r y, s o t he im pr e s s io n p e r s is te d t ha t i t h a d a ha nd i n t h e r e p r e s si o n. T he
O g o ni t h us r e so lv e d ne ve r t o a ll ow SP DC t o r es um e op e r a t i on s o n t he i r l a nd . M a n y
r e ga r d e d i t s pl e dg e n ot t o us e a r m e d e s c or t s a nd onl y t o r e s um e o pe r a t io n s w i t h
ho st c om mu n it ie s c ons e nt a s m e r e p os t ur i n g . R e la t io n s b et w e e n SP DC a nd t he
O g o ni ha ve r e ma in e d t e n se e ve r si nc e .

A ma jo r i s su e t ha t ha s to b e de a l t w it h in t he c o nte xt of t he e xi t o f SP D C i s
e n vi r onm e n t a l c l e a n- up . N o si gn i fi ca nt s t ud y ha s bee n c ond uc t e d t o d e te r mi ne
r e lia b l y t h e p r e ci s e im p a ct of o i l i nd us tr y- i n d uc e d e n vi r onm e nt a l d e gr a d a ti on o n
h um a n l i ve l i ho od s i n t he a r e a , b ut t he r e ar e i nd i cat io n s of s e v e re d a ma g e . T he
A fr i c a n C om mi s si o n o n H uma n a nd P e o pl e s Ri g ht s he ld t hat th e p oll ut io n an d
e n vi r onm e n t a l d e g r a d a ti o n i n O g o ni w a s t o a le ve l un a c ce p t ab le a nd ha s m a de
li vi ng i n O g o n i la n d a ni gh t ma r e . SP D C p ol i c y, a c c or d i ng to t he c om p a n y, i s t o
cl e a n u p e n vi r o n me nt a ll y-d a ma g i ng i nc id e nt s re l a te d t o i t s ope r a t i o ns re g a r dl e s s of
ca use , b ut o nl y t o p a y c omp e n sa t io n i f t he i n ci d e n t oc c ur r e d a s a r e s ult of it s ow n
op e r a t i o na l f a il ur e . Whe n e nvi ro nm e nt a l d a m a ge o c cu r s a s a r es ul t of sa b o t ag e ( a
co mm on o c c ur r e nce a c co r d i ng t o SP D C ), t he co mp a n y i s f or b id d e n b y Nig e r ia n la w
f r om pa yi ng co mp e ns a t io n. SP DC c ont i n ue s t o p le d g e c oop e r a t i on w it h t he
p r op o se d U nit e d Na t i ons E nv ir onme nt P r og r a m me ( U N EP ) e nv i r on m e nt a l
a ss e s s me nt , t ho u gh it ha s not p r om is e d t ha t it w il l p a y a n y d a ma g e s re l at e d t o
U NE P f i nd in gs .

2 . 4 .2 Globa l c ode s fo r en ginee rs

T he g l ob a liz a ti on of t he w o rl d s e c o nom ie s h a s a l s o i ncr e a se d t he w or ki ng s p a ce of

e ng i ne e r s. E ng i ne e r i n g p r o du ct s a n d p r o d uc t i on f a ci l it ie s of t e n t r a ns ce n d na t i o nal
b o und a r i e s. En g i ne e rs tr a ve l a cr os s t he wo r l d a nd me e t o t he r c ult ure s b y
int e r a c ti ng w it h f or e i g n e ng i ne e r s. Mu l ti na t i ona l comp a n ie s e m p l o y e n gi nee r s f r o m
d if f e r e nt c u lt ura l ba c k g r o und s in t he s am e c orp ora t e e n vi r onm e n t . So, e ng i ne e r i n g
ha s b e c om e a g lo b a l a ct i v i t y a nd i n cr e a s i ng l y r eq uir e s a g l oba l ap p r oa c h a n d
a c ce p t a bl e g l ob a l g uid a nc e .

T he e n gi nee r i ng pr of e ssi on in t he U ni t ed S t a t e s ha s b e e n a w o rl d l e ad e r i n
p r om ot i ng e n gi ne e r i ng et hi c s c od e d e v e l op m e nt a n d as s o cia t e d e d u ca t i o nal
a ct i v i t ie s. D ue t o t h e ir le a d e r sh ip ot he r na t i ons ha v e f ol l ow e d t he A me r i ca n le a d
a nd h a v e a d op t e d US co d e s. The Na t i o n Soc i e t y f o r P r of e s si ona l E ng i ne e r s ( N SPE ) ,
f or e xa m p l e, r e p or t s t ha t i t s co de i s us e d b y t h e Ja p a n C o ns ult i ng Eng in e e r s
C ou nc il . I t i s a l s o e x p e ct e d t ha t a c od e ve r y si m il a r t o Ame r i ca n o ne s wi ll s oo n b e
a d op t e d b y t he Ja p a n A c cr e di t a t i on B oa r d f o r E ng i ne e r i n g E d uc a t i on ( JA BE E ) t ha t
w a s e st a b li s he d i n 1 99 9 . 60 H ow e ve r , t hi s ap p r oa c h ma y w e l l be c ou nt e r p r od u ct i v e ,

60
Lu e g en b i eh l ( 2 0 0 4 ) .

36
si nc e i t ne g le ct s t he c ult ur a l d if f e r e nc e s be t w e e n Ja pa n a nd t he U S. T he U S c od e s
a r e b a se d on t he not i o n of p r of e s s io na l a ut o no m y: e mp ow e r i ng i n d i vid ua ls t o
r e a s o n m or e cle a r l y a n d c ar e f ul ly co n ce r ni ng mo r a l q ues t i ons , ra t h e r t ha n t o
in c ul c at e a n y pa r t i c ula r b e lie f s. 61 H ow e ve r , n ot a ll na t io ns va l ue a u t o no my t o t he
d e gr e e a s t he U ni te d Sta t e s. F o r e xa m pl e , J a pa n e se s o ci e t y e m p h a siz e s gr o up
va l ue s in e d uc a t i ona l a nd s o cia l i za t io n pr a ct ice s , i n st e ad of i nd iv id ua l is m a s i n t he
U nit e d St a t e s. Wh e re a s m a n y p r of e s s i o na l s i n t he U ni te d St at e s f o c us o n i n di vi d ua l
ca r e e r d e ve l op me nt , t he Ja p a ne se p r of e s s i o na l s a re m or e d ev ot e d to t he
co mp a n y s g oa l s. M ost Ja p a ne s e p e o pl e ha v e a s t r on g se nse of l oy a l t y , s o w hi s tl e
b lo w e r s w o uld p ro b a bl y not b e a c ce p t e d b y J a pa n e se s o ci e t y.

T he id e a l [ Am er i c an ] pr of e ss i ona l m od e l r e q ui re s t ha t th e e ng i ne e r a nd t he
e ng i ne e r i ng p r of e s si o n b e a ut o nom o us s o a s t o p r ot e ct t he p u bl i c i n t he f a c e
of co r p or a t e s e lf -i nte r e st . T he id e a l Ja p a n e s e mo de l , on t he o t h e r ha nd,
r e q ui re s t he e ng i ne e r to f u nc t i on ha r m o ni ou sl y a s a n i nt e g r al p ar t of t he
g r o up i n a s y st e m w he re t he c or p o ra t i o n se r ve s t he n e e d s of s o ci e ty . T he
p ot e nt i al f or p rof e ss io na l a ut o nom y i s v e r y li m it e d i n t h e Ja p a ne se m od e l. I n
t he We st e rn m od e l t he p r of e s s i o n g ua r a nt e e s t he q ua lit y of t he e ng i ne e r s
w or k th r o ug h it s c on t r a ct w it h t he l a r g e r s oc ie t y. I n t he Jap a ne se mod el t he
c or p ora t io n se r v es t he sa m e f un ct io n. ( ) S ee n i n t e rm s of e ng i ne e ri ng , i t i s
t he re f o r e t he co r po r a t i o n w h ic h t a ke s r e s p o ns ib i lit y f or, a n d g ua r ant e e s, t he
e ng i ne e r i ng s w or k. Th e e ngi ne e r s, f or t he i r pa r t , a r e a n in t eg r a l p a rt of t he
l a rg e r gr oup a nd , k n o w in g t ha t t he i r f a t e i s t ie d to t ha t of t he c or p ora t i on,
w o uld be a w a r e t ha t t he y w oul d no t p r of i t f r om i nd ivi d ua l a c t i on s. T he
c or p ora t io n, i n t ur n, s e e s it s i nt e r e s t t i e d t o t ho s e of t he na t i on. T he c ore
d e ma nd for s a fe t y, he al t h, a n d we l fa r e of t h e p ub li c, t h e p r i m a r y g oa l of
a n e ng i ne e r i ng e t hi cs , ca n t h e n b e a ch ie ve d t hr oug h th e co r p or a t io n, s in ce
i t i s n ot e xp e c t e d t o a ct ba s ed so l el y on t h e i nt e re st s of it s ow ne r s . 62

Do w ne y e t a l. ha ve s how n s om e m or e c ul t ur a l d if f e r e n ce s b e t w e e n na t i o ns , a nd
ha ve a r g ue d t hat d r a f t i ng a g l oba l co de f or e ng in e er s i s n ot a s t r a i g htf or w a r d
p r oc e s s. 63 I t r eq ui r e s co nt i n ui ng e f f o rt s t o und e r st a n d a nd a p pr e ci a t e c u lt ur al
d if f e r e n ce s. 64 A n e xa m p l e of s u ch a r a t he r s u c ce ss f ul e ff or t f r om w h i c h w e c a n
le a r n i s a r ec e nt p ro je ct t o de vi se a co mm on c ode of c o nd u ct f or A me r i ca n,
C ana d ia n, a nd M e xi ca n e n g i ne e rs und e r t h e N or t h Ame r i c a n F r e e T r a de A gr e e me nt
( N AF T A) . T he ob j e c t i v e s of t hi s pr oj e c t w e r e 1 ) t o st ud y t he as pe c t s of co n d uc t
a nd e t hi c s r e la t e d t o e ng i n ee r in g pr a ct i c e un d er t h e p r o v isi ons of t he N A F TA , a nd
2 ) t o d e v e l o p a m ut ual ly a g r e e d u po n se t of e t h ica l p r i n ci p l e s .

T he ma i n c ha l l e ng e of a g l ob a l c od e f or e ng i ne e r s is t o cr e a t e c on s i st e nc y in s p it e
of cu lt ura l d if f e r e nc e s . As w e ha ve s e en, a ut on om y ca n not se r ve a s a n u n co nt e st e d
u ni ve r s a l f o und a ti o na l a s su mp t i o n f or b ui l di ng a g lo b a l c od e f o r e ng in e e r s . He i nz
L ue ge n b ie hl p ro p o se s som e p r i n ci p le s f o r a g l ob a l cod e f o r e n gi ne e r s b a s e d on t he
na t ur e of e ng i ne er i n g a ct i v i t y a nd t he u ni ve r sa l us e of r e a s o n i n e ng in ee r in g ( s e e
b o x). 65 T he u ni ve r sa l f ou nd at i ona l a ss um pt i on is t ha t a ll e ng i ne e r s, i nd e p e nd e nt of
t he i r c ul t ur a l b a c kg r o u nd, m us t a c c e p t t he p r em is e t ha t t he us e of r e a s o n i s a
va l i d d e ci s i o n-m ak i ng i ns tr um e n t .

61
S c h i n z i n g er & M a r t i n ( 2 0 0 0 , p . 1 4 ) .
62
Lu e g en b i eh l ( 2 0 0 4 , p p . 7 1 - 7 2 ) .
63
D o w n e y et a l . ( 2 0 0 7 ) .
64
W ei l ( 1 9 9 8 ) .
65
Lu e g en b i eh l ( 2 0 0 9 ) .

37
E thi c a l P ri n c i p l es f o r E ng i n ee rs i n a G l o bal E nv ir on me n t 66

T he P r i n ci p le of P ub li c Safe t y: E ng in e e r s sh oul d e nd e a vor, b a se d o n t he ir

e xp e rt i s e , t o ke e p me mb e r s of t he p ub li c s a fe f r om se r io u s ne ga t i ve p hy si c al
co n se q ue n ce s r e s ult in g f rom t h e ir d e ve l op m e nt a nd im p l e me nt a t i o n of
t e c h no l og y.
T he P r i n ci p le of H uma n R ig ht s : E ng i ne e r s s hou ld e nde a vo r t o e ns ur e t ha t
fu nd a m e n t a l r i g ht s of h uma n b e i ng s w i ll not b e ne g a t i ve l y i mp a c t e d a s a r e s ult
of t he i r w or k w it h t e c hno lo g y.
T he P r i n ci p le of E nvi ro nme nt a nd An im a l P re se r va t i on: E n gi nee r s s ho u ld
e nd e a vor to a voi d d a m a ge t o t he a nima l ki n g d om a nd t h e na t ura l e nvi r onme nt
w hi c h w oul d r e s ult i n se r i o us ne g a t i ve c o ns e que n ce s, i n cl ud in g lo n g-t e r m one s,
t o huma n li f e.
T he P r i n ci p le of En g i n e e ri ng C om p e t e n ce : E ng in e er s s ho ul d e nd e a vor t o e nga g e
on l y i n e ng i ne e r i ng a c t i v it ie s w hi c h t he y a r e c omp ete nt t o c ar r y out .
T he P r i n ci p le of Sc ie nt i f i c a l ly Fo u nde d Ju d g m e nt : E ng i ne e r s s h oul d e nd e a vor t o
b a se t he i r e ng i nee r in g de c i si on s o n sc ie nt if i c p r i n ci p le s a nd ma t he m a ti ca l
a na l y si s , a nd se e k t o a vo i d i nf l ue nc e of e xt r a ne ou s fa ct or s .
T he P r i n ci p le of O pe n n e ss a nd Ho n e st y: En g i ne e rs s hou ld e n de a vo r to ke e p t he
p ub l i c i nfo r me d of t he i r d e c i si o ns w hi c h ha ve t h e p ot e nt i al t o s e r i o us l y aff e c t
t he p ub li c , a nd t o b e t rut hful a nd c om p le t e i n t he ir d i s c l os ure s .

C ha r le s Ha r r is ha s p r o p o se d s ome pr i nc i p l e s f or a gl ob a l c od e t ha t ap p l y t o
e ng i ne e r s op e r a t i n g i n de ve l op i ng c o un t r ie s 67, ba s ed o n Ric ha r d D e G eor g e 's
g ui d e l i ne s f o r m ul t i nat i ona l c or p or a t i o ns i n t he i nt e r nat i ona l e n vi r o nm e nt 68.
De Ge or ge s g ui de l in e s, how e ve r, a p p l y t o m u lt i na t i o na l c om p a ni e s i n a n
int e r na t i o na l e nv ir onm e nt , or t o ma nag e r s. T he y ca n not b e s im p l y ap p l i e d t o
e ng i ne e r s. F ir st l y , e n g ine e rs ha ve a le sse r s c op e of r e s p o ns i b il i t y t ha n ma na g e r s.
E ng i ne e r s a re r e s p o ns i b le p ri ma r il y f or th e d es i g n, p r od u ct i on a nd i mp l e me nt a t i on
of t e c hno lo g y, a n d a r e t h e re f or e m or e na rr o wl y f oc us e d t ha n m a n a g e r s , w ho a re
r e sp ons i b l e f or t h e t ot a l-w e l l b e in g of t he e n t e rp r is e . 69 Se c ond ly, e n gi ne e r s d o not
ma ke ma na g em e nt d e c is i o ns , a nd ha ve r e la t i ve l y l i t tle d e c isi on- ma ki ng p ow e r
w it hi n t he cor p or a t e hi er a r c h y. 70 Ne ve r t he l e s s it is not v e r y d i ff i c ult t o a d a p t s om e
of t he se g u id e li ne s f o r t h e e ng i ne e r i ng p r a ct ice . E ng i ne e r s, Ha r r i s cla i ms, ha ve a
r e sp ons i b i li ty
1 . t o re f u se t o e ng a ge i n d i r e ct , i nt e nt io na l ha r m ;
2 . t o re f r a i n f ro m p a r t i c i p a t i ng i n t he d e s i g n, p r od u ct io n or i m p le me n t a ti on of
t e c h no l og y t hat p r od u ce s m or e ha r m t ha n g oo d, a l l t hi ng s c on si de r e d ;
3 . t o pa r t ic i pa t e onl y i n t e c hno lo g y t ha t p r om ot e s t he c ou nt r y ' s d e v el opm en t ;
4 . no t t o p ar t ic ip a t e i n t h e v i o la t i o n of h uma n r i g ht s; a nd
5 . t o re s p e ct h ost -c ou nt r y ( le ss e r - de ve l op e d c o unt r y) c u lt ur e i n t he ir
p r of e ss io na l w or k.

I n c om bi na t io n w it h t h e E t hi c a l P r i nc ip l e s f or E n g ine e r s i n a Gl ob a l E n vir o nm e nt of
L ue ge n b ie hl ( s e e b o x) , t he se p ri nc i p le co ul d f un ct io n a s a st a rt i ng p oi nt t o d e ve l op
a nd/ or r e v is e i nt e r n at i ona l p r ofe s si on a l c od e s f or e n gi ne e r s.

2.5 C ha p te r s u mma r y

C od e s of c ond uc t a re co d e s i n w h i ch o rg a ni z a t io n s la y d ow n g ui d e l ine s f or
r e sp ons i b l e be ha v io u r of t hei r m e mb er s. C o d e s of co n du ct c a n b e a s pi ra t i o na l

66
Lu e g en b i eh l ( 2 0 0 9 ) .
67
Harris (1998).
68
D eG eo r g e ( 1 9 9 3 ) .
69
Harris (1998, p. 324).
70
Harris (1998, pp. 324-325).

38
( me nti oni ng t he m ai n v al ue s ), a d v is or y (a s s i st i ng ind iv i d ua ls i n m or a l j ud g em e nt )
a nd d i s ci p li na r y ( e nf o r c i ng r ul e s of b e ha vi ou r ). P r of e s s i o nal c ode s a r e f o rm ul a te d
b y p r of e ssi ona l a s s oc i a t io n s of e ng in e e r s , a nd c or po r at e c od e s a r e f or m ula t e d b y
co mp a ni e s i n w hi c h e ng i ne e r s a re e mp lo ye d . P r of e s si ona l c od e s d e sc r ib e t he
p r of e ss io na l r e s p o ns ib il it y of en g i ne e rs , a n d co rp or a t e co d e t he r e s p ons i b i li t y of
e ng i ne e r s a s e mp lo ye e s. M ost pr of e ss i ona l c od e s r e la t e t o t hr e e d om a i n s: 1)
co n du ct i ng a p r of e ss i on w it h in t e g r it y a n d h on es t y , a nd i n a c om p e t e n t wa y; 2 )
ob l ig a t io n s t ow a r d s e mp l o ye r s a nd c li e nt s; 3 ) r e sp ons i b il i t y t ow a r ds th e p ub li c a nd
so ci e t y. C o rp or at e co d e s us ua l l y c on t ai n a m i ss i o n st a t e me nt (t he ov e r a l l
ob je ct i ve s of t he com p a n y), co r e va l u es , st a ke ho ld e r s p r i nc i p le s a nd m or e d et a i le d
r ul e s a nd n orm s.

A nu mb e r of o b je ct i o ns ha ve b e e n r a i se d a g a i ns t c ode s of co n du ct :
1 . C od e of c ond u ct s ome t ime s a m oun t t o w i nd ow -d re s s i ng
2 . C od e s of c ond uc t a re of t e n va g ue a nd a re p ote nt ia ll y c o nt r a d i ct or y
3 . E t hi c s ca n not b e co di f i e d
4 . C od e s of c ond uc t ca n not b e l i ve d b y
5 . C od e s of c ond uc t a re no t e nf o r c e d.

We ha ve s ee n t ha t t he s e co nd a nd t hir d ob je ct i o n m ir r o r e a c h ot he r . Ac c or d i ng to
t he o b j e c t i on t ha t e t hi cs c a n not b e c odi f ie d , e t h ic s a lw a ys re m a i ns a ma t te r of
j ud g e m e nt . T hi s is e xa ct l y t he re a s o n w hy c o d e s of e t hi c s ca n not a vo id a ll
va g ue ne ss a nd po t e nti a l co nt r a d i ct io n s. T hi s is not t o s a y t ha t va g ue ne s s a nd
co nt ra d ic t i on s s ho ul d not b e a v oi de d w he n p os sib le , b ut t he c od e i s ma y b e be t t e r
co n sid e r e d a s a se t of g uid e li ne s t ha t i s he l p f ul in j ud g i ng ca se s t ha n a s a s et of
st r i ct p r es c r ip t i ve ru l e s . O b je ct i ons 2 a nd 3 , t he n, d o n ot re a l l y a p p l y t o
a sp i r a t i o nal a nd a d vi s or y c ode s, a l t h ou g h t h ey m a y b e a p r ob le m f or di sc i p l i na r y
co d e s. The sa me a p p li e s t o ob j e c t i on 5 b e c a us e e nf o r ce m e nt i s on l y a n ob j e c t i ve
f or d i s c ip l i na r y c od e s a nd n ot f or a d v i s or y a nd as pi r a t i ona l c od e s. O b je ct i on 4 i s
se r i o us a nd m a y b e e s p e c ia l l y a p r obl e m in c a se s of w hi s t le b l ow in g , or m or e
g e ne r a l l y , t e ns i on s b e t we e n yo ur r es p o ns i b i l it y a s e ng in e er a n d a s e m p l oye e .
P a rt l y it ca n b e s ol ve d b y b e t t e r a t t e nua t i ng the re s p on si bi lit y of e ng i ne e r s a s
p r of e ss io na l s w it h t he r es p o ns i b i li t y of e ng i n e e r s a s e m p l oy e e s, a nd t h us be t t e r
a t t e nua t i ng p r ofe s si o n a l co d es a nd c or por a t e c od e s. Som e co mp a ni e s ha ve t r i e d to
d o th is .

A s e ng i ne e r i ng i nc re a s i ng l y b e com e s a n d in t e r na ti ona l a c t i vit y, co d es of c o nd uc t

in cr e a s in g l y b e co me g l oba l i n na t u re . T hi s r a ise s d if f i cu lt q ue s t i on s a b o ut how t o
d e a l w it h c ul t ur a l d if f e r en ce s a n d a b o ut wh e t her t he p r ofe s si o na l a ut on om y mo d e l
on w hi c h m o s t U S p r of e ss io na l co de s ar e b a s e d c a n b e e x p or t ed . N e ve r t he le s s it
se e m s po ss ib l e t o f or mu la t e a g l ob a l p r ofe s sio na l cod e f or e ng i ne e r s t ha t c on ta i n
a t le a st s ome mo r e or le s s co mm on l y a c ce p t e d p r i n cip le s .

Q u es ti o n s c h a p ter 2

1 . T he S oft wa r e E ng in e e r i ng Code of E t hi cs a nd P r ofe ssi ona l P r a ct i ce of t he

A ss o cia t i on f or C omp ut in g M a c hi ne r y st a t e s t ha t "T he d y na m i c a nd
d e ma nd i ng c on t ex t of s oft w a re e n gi ne e r i ng r e q u ir e s a code t h at i s a da p t a bl e
a nd r e le va nt t o ne w s i t uat i on s a s t he y oc cu r . How e v e r, e ve n in t hi s
g e ne r a l i t y, t he Code p r ov i de s s up p or t f o r s oft w a r e engineers a nd ma na g e r s of
s oft w a re engineers w ho n e e d t o t a k e p o si t i v e a c ti o n i n a sp e c if i c ca s e b y
d o c um e nt i ng t he e t hi c a l s ta n ce of t he p r ofe s s io n. T he Code p r ovi d e s an
e t hi ca l f ou nd a t i o n t o w hi c h i nd i v id ua l s w it hi n t e am s a nd t he t e a m a s a
w h ol e ca n a p p ea l . T he Code h e lp s t o de f i ne t ho s e a c t i on s t ha t a r e e t hi ca ll y
im pr op e r t o re q u e st of a s oft w a r e e n g i ne e r o r t e a ms of s oft w a r e engineers. T he
Code i s n ot s i mp ly f o r ad j ud i ca t i n g t he na tu r e of q ue s t io na bl e a c ts ; i t a l s o

39
 ha s a n i mp ort a nt e d u c a t io na l f un ct io n. A s t h is Code e x p re ss e s t he c on se ns u s
of t he p r ofe s si o n on e t hi ca l i ss ue s, it i s a m e ans t o e d uca t e b ot h t he p ub l i c
a nd a s p i r i ng p rofe s s i o nal s a b out t he e t h i ca l ob l i ga t io n s of a l l s oft w a r e
engineers.
I s t hi s c od e a s pi ra t i on a l, a d vi so r y, or d i s ci p li na r y ? E x pl a in your a ns we r .

2 . Gi ve a n e xa m p le of a s it uat i on i n w hi c h y ou ha ve a p r ofe s s io na l
r e sp ons i b i li ty t o d o s om e t hi ng b ut n ot a l e g a l r e sp o ns ib i li t y ?

3 . Wha t i s me a nt b y a c od e is not h in g, c od i ng is e ve r yt hi ng ?

4 . Wha t a r e t he mo s t i m p or t a n t ob je ct i ve s of p rof e ssi o na l c od e s of c on d uc t ?

5 . Wh y is e nf o rc e m e nt a n e xp li ci t o b je ct i ve f or d i sc ip li na r y c ode s ? W hy i s
e nf or ce me nt oft e n d i f f ic ul t t o ob t a i n f o r p r of e ss io nal e ng in e e r in g c od e s of
co n du ct ?

6 . Wha t a r e co rp or a t e co d e s ? D i s c us s t hr e e ob j e ct io ns t o a nd /or s h or t c omi ng s

of co rp or at e co d e s.

7 . Wha t a r e t he t w o a r g um e nt s of M i lt o n F ri e d ma n s cr it i ci sm of c or p or a te
so ci a l r es po n si b i li t y ? Gi ve s ome ob je ct i ons a g a i nst t he s e a r g um e nt s.

8 . Li ke e ng i ne e r s, m ed i c a l d oc to r s a nd l a w ye r s a ls o ha ve p r of e ssi ona l c od e s.
U nl i k e e ng i ne e r i ng c od e s, h ow e ve r , t he se co d e s t ypi ca ll y a r e a c co mp a nie d
b y d i s ci p l i na r y l a w, s o t ha t d o ct or s or la w ye r s w ho vi ol a te t he c od e ca n be
e x cl ud e d fr om p r ac ti ci ng t he p r of e s s i on. P r o vi d e a n a r g um e n t for a nd a n
a r g ume nt aga ins t t h e ad op t i on of s i mi l a r d i s c i p li na r y la w f or e ng i nee r s.

9 . Wha t i s va lua b le a b o u t l oya lt y ? Wha t i s pr ob le ma t ic a b o ut l oya l t y ? Be

ca r e f ul t o i nd i c at e w ha t c o n ce p t of l oy a lt y y ou a re s u in g i n a ns we r in g t hi s
q ue s t i o n.

1 0 . T o g a i n p ro t e ct i o n of t he U K s P ubl i c I nt e r e st D is c l os u r e A ct , t ho se w h o
r e v e al or g a ni z a t i on a l ma lp r a c t i ce s ha ve t o s at i sf y a nu mb e r of co n d it i o ns
t ha t w it ne s se s i n ot he r cr i m i na l i n ve s t ig a t i o ns d o no t ha ve t o sa t i sf y, e . g . ,
d e ri v in g n o f i na nc ia l g a in f ro m t he ca se a nd no t ha vi ng b ee n i n vo lv e d i n t he
cr im e a t a n y st a g e . C r i ti ca l l y e va l ua t e t he m er it s of t he se c ond it i ons,
C om pa r e t he m a l so wi t h t h e g u id e li ne s fo r w hi st l e - bl o wi ng me nt io n e d i n
c ha p te r 1 .

1 1 . Lo o k f or a p r of e ss i ona l co d e of c on d u ct i n y ou r ow n a re a :
a . Do yo u r e co g ni z e t he t hre e g e ne r a l co nt e nt a re a s m e nt i o ne d i n th e
t e xt i n t h is c ode ?
b . I s t he co d e va gu e a t s a me p oi nt s ? Whe r e ?
c. A re t he i r p ot e nt i a l c ont r a d i ct io n s b e tw e e n t h e p r o vi si on s of t he co d e?
Do e s t he c od e c o nta i n p r ov is i on s t o d ea l wi t h t he se c o nt r a di ct i o ns ?
d . A re t he r e a n y pr o vi si ons i n t he co de t ha t a r e im p o ss ib l e t o l i ve b y ?
Wh ic h o ne s ?
e . Do yo u a g r e e w hi c h t h e p r of e s si o na l r e s p o ns i bi lit y s et o ut i n t he
co d e ? A r e y ou m i s si ng a n yt hi ng ?

1 2 . Lo o k f or a co rp or a te o f a n e ng i ne e r i ng co mp a ny. I n w ha t r es p e c t s a r e t he
r e sp ons i b i li ti e s of e ng i ne e rs t h a t a r e a r ti c ula t e d i n t hi s c od e d if f e r e nt f ro m
t he r e sp ons i b i l it ie s a r t ic ula t e d i n p r of es si ona l co d e s (l ik e t he c od e of t he
N SP E) ? I s t hi s c od e c onf li ct i ng a t ce r t a i n po i nt s w i t h, f or e x a mp le , t he

40
 p r of e ss io na l co de of t he N SP E ? If t h er e is a c onf l i ct w ha t co de s ho ul d , i n
yo u r vi e w , t a ke pr e ce d e nc e a n d w h y ?

1 3 . Do yo u a g r e e t ha t e ng ine e rs ha ve a re s p o nsi b i l it y f o r h uma n ri g h t s a s s om e

g lo b a l c od es of e t hi cs s ug g e st ? I s t hi s r e s p o ns i bi lit y r e st r i ct e d t o not
e nga g i ng i n v io la t i o ns of hu ma n r ig ht s or d o e ng i neer s a l s o ha ve a
r e sp ons i b i li ty t o e nha n ce hum a n r i g ht s t hr oug h t he ir e ng i ne e r in g p r o je ct s ?

1 4 . Dr a f t a c od e of c ond uc t t o co ve r e - com m un i c at i on s ( e -m a il, We b us e an d so

on ). E x p la i n a nd j us t if y y ou r p r op ose d co d e.

1 5 . O ne of t he p r i n ci pl e s f or a g lo ba l c ode of c o nd u ct f or e ng i ne e r s m ent io ne d
b y L ue g e nb i e hl is t he pr i n ci pl e of s c ie nt i f i c f oun de d j ud g e me nt. Wha t do yo u
t hi n k th a t L ueg e n bi e hl me a ns wi t h e x t r a ne o u s f a ct ors ? Wou ld c o ns i d e r at i on s
of sa f e t y or hum a n w e lf a r e c ou nt as e xt r a ne ou s f a ct or s t ha t s h oul d not
inf l ue n ce e ng i ne e r i n g d e c is io ns ?

1 6 . T he U S g o v er nme nt a l l ow s e m p l oy e e s of ai r c ra f t ma n ufa ct ur e rs l i k e B oe i ng
t o se r ve a s i ns pe ct or s f or t he F ed e r a l A vi a t i o n A g e n c y ( F A A ) t ha t i s
r e sp ons i b l e f or r e g ul a t in g t he a ir c r a f t i n du st r y a nd d oi ng s af e t y a nd q ua l it y
in sp e ct io n s. Wha t w o u ld be t he re a so n s f or t he U S go v e r nm e nt t o al lo w
t hi s ? I s t h is a c onf li c t of i nt e re s t ? Wo ul d i t b e une t hi ca l f or an e ng i ne e r
e mp l o ye d b y B o e i ng a l s o to a ct a s i n sp e ct or f or t he F AA ?

41
C h a p ter 3. N or ma ti v e e thi c s

3.1 In tr o d uc ti o n

Ca s e: T h e F or d Pi n t o 71

O n 10 A ug us t , 1 97 8 , on Hi g hw a y 3 3 i n t h e
ne i g hb ou r ho od of G os he n, I nd i a na ( U SA ) , a tr a g i c
a c ci d e n t oc c ur r e d . A t r uc k r e a r -e nd e d a f i ve -y e ar -o ld
F ord P i nt o c a r r yi ng t hr e e te e na ge r s: s i s t e r s J ud y a n d
L yn n U lr i ch ( ag e s 1 8 a nd 1 6, r e s p e ct i ve l y) a nd t he ir co us i n D on na Ul r i c h ( a ge 1 8 ).
T he c ol l is i o n c a u se d t he [ g a s ] p e t r ol t a n k t o r upt ur e a nd e x pl ode , ki l li n g a l l t h r e e
t e e ns .

S ub s e q ue nt l y a n E l ka r t C ount y g ra n d j ur y r e tur ne d a c r im i nal hom i ci d e c ha r g e

a g a i nst F or d , t he f ir st e ve r a g a i nst a n A me r i ca n co mp a n y. D ur i ng t he f ol l ow i ng 2 0 -
w e e k tr ia l , t he ju dg e a d v ise d t he ju r y t ha t F or d s h oul d b e c o n vi ct e d of r e c kle ss
ho mi ci d e i f it we r e sh ow n t hat t he c omp a n y ha d e ng age d i n p la i n, c on sc i o us a nd
u nj us ti f ia b l e d is r e ga r d of ha r m t ha t m i g ht r e s ul t (f r o m i t s a c t i on s) a nd t he
d is r e g a rd i n vol v e d a s ub s ta nt ia l d e via t io n f r om a c ce pt a b le st a nda r d s of c on d uc t .
T he ke y p hr a se a r ou n d w hi c h t he tr ia l hi ng e d w a s a cc e p t a bl e st a nd a r d s . T ow a r ds
t he e nd of t he s ix t ie s , For d M ot or C omp a n y, o ne of t he w or l d s l a r g e st ca r
ma n uf a c t ur e rs , wa s g r a d ua l l y lo si ng ma r k e t s ha r e . F or d w a s l osi ng g r o un d t o t he
sm a l le r a nd c he a pe r E ur op ea n ca r s. I n 1 9 68 , P r e s i d e nt Le e Ia c oc c a d e ci de d a sma l l
c he a p c ar ha d t o b e d e si gn e d qu i c kl y. T hi s w as t o be co me t he F o r d P i nt o. T he
d e c is i o n w a s ma d e t o p ut it o nt o t he ma r ke t f or le ss t ha n $ 20 0 0 i n 19 7 0 . T his w a s
a ve r y c om pe t it i v e p r i ce b ut t he t i me s c he d ule f or t he c a r s d e ve l op m e n t w a s
r us he d . A t t he ti m e , c a r de ve lo p me nt no r ma ll y r e q uir e d a r o un d 43 mo nt hs . O nl y 24
mo nt hs we r e r e s e r v e d f or t he F o r d P i nt o. Be c a us e t he P i nt o ha d t o co st a
ma xi m um of $2 0 0 0, a r a di ca l d e si g n w a s se l e ct e d i n w hi c h st yl i n g t oo k p r e c e d e nc e
ov e r e n g i ne e r i ng d e si g n. T he sa f e t y a sp e ct o f the de si g n d i d n ot re ce i ve s uf f i ci e n t
p r i ori t y . T he re w a s n o e x p e r ie nc e wi t h s m a l l ca r s w it hi n t he c om pa n y a t a l l. Am ong
ot he r t hi ng s , t hi s le d t o t he p osi t i on i ng of t h e p et r o l t a n k j us t b e hi nd t he re a r
a xi s . La t e r it w a s f ou n d t ha t t he g e a r c o nst r uc ti on i n t he r e a r ax i s ( t he
d if f e r e nt ia l ) w a s s i t ua t e d s uc h t ha t i t w o uld pu n ct ure t he p e t r ol t a n k i n t he e ve nt
of a c ol l i s io n. I n F or d 's te s t s of t he Pi nt o p r ot o ty pe , t hi s p r ob l em oc c ur r e d at
sp e e d s a s l ow a s 3 5 k m pe r ho u r . Th e p u n ct ure of t he t a nk c a u se d a n ex t r e me l y
ha za r d ou s si tua t i on. T he se t e st re s ult s we r e pa s se d o n t o t he hi g h e st ma na g e m e nt
le v e l w i t hi n F or d. F r o m ot h e r t e s t s it w as s how n t ha t t h er e w e r e t w o s i mp l e w a y s
t o c ons i d e ra b l y r e d u ce t h e r i s k t ha t t he p e t r ol t a n k w ou l d b e r up t ur e d . I t w a s
p o ssi b l e t o a l t e r t he d es i g n t o a l l ow t he p e t r ol ta n k t o be s i t ua t e d a b o ve t he a xi s .
I t w a s e st i ma t e d t ha t t he c ha ng e i n t he d e s i g n wo u ld r a i se t he p r i ce of t he ca r b y
$ 1 1. A se co nd o p t i o n w a s t o p r ot e ct t he t a nk w i t h a r ub b e r l a ye r , w hi c h wa s
p r ob a b ly a c he a p e r op t io n. How e v e r , b e c a us e t he de s i g n m et t h e s a f et y
r e q ui r e me nt s of t he g ov e r nme nt, t he P i nt o w a s t a k en i nt o p r o d uc ti o n w it h out a n y
a lt e r a ti o ns .

T o j ust i f y i t s a ct io n s, F or d ma d e a c os t -b e ne f i t a na l y si s. I n t h is c os t -b e ne f i t
a na l y si s , w hi c h w a s p u bl i sh e d und e r t h e he a d i ng F at a lit ie s A ss oc ia t ed w it h Cr a sh -
I nd u ce d F ue l Le a ka g e a nd F ir e s , i t w a s a ss e r t e d t ha t t he e xt r a c os ts of $ 1 1 d i d
no t w e ig h a ga i ns t t he be n e f it t ha t s oc i et y w oul d de r i ve f r om a s m a ll er nu mb e r of
w o un d e d p a ss e n g e r s or f a t al it i e s . T hi s s ta t e me n t wa s a r g ue d a s f o ll ow s:

71
B a s ed o n B i r c h & F i e l d e r ( 1 9 9 4 ) .

43
T he s oc i e ta l b e n e f it s o f t he r is ki e r d e s i g n t ha t c o st s $ 1 1 le ss w a s e st i ma t e d a t
ne a r l y $5 0 m il l i on: 18 0 li ve s l os t , 1 80 w o un d e d a n d 21 0 0 ca rs b ur nt o ut . T he
ca l c ul a ti o n f or t hi s w a s 18 0 l i v es x $2 0 0 , 00 0 + 18 0 se r i ou sl y w o un d e d x $ 6 7 , 00 0 +
2 1 00 b ur nt out c a r s x $ 70 0 = $4 9 . 1 5 m ill i on. Th is wa s c ons i de r e d t o b e t he t o ta l
so ci e ta l be ne f i t .

A ga i ns t t hi s t h e r e w a s t h e c os t of i mp ro v in g t he ca r s: 1 1 m ill io n c a rs a n d 1 .5
mi ll i o n t r uc ks ha d t o b e ca l le d ba c k a nd re t r of i t te d a g ai ns t a n e st i m a te d c os t s p e r
u ni t of $ 1 1 , a m oun t i n g t o a t ot a l c os t of 1 3 7 m il l ion d ol l a r ( 1 2. 5 mi ll i o n x $ 1 1)

Be n efi t s
1 8 0 b ur n d e a t hs , 1 8 0 se r i o us b ur n i nj ur ie s, 2 , 1 0 0
Sa vi ng s
b u rn e d ve h i c le s
$ 2 00 , 0 00 p e r d e a t h, $ 6 7 , 0 00 p e r i nj ur y, $ 7 0 0 p e r
U ni t C ost
ve hi cl e
1 80 x $ 2 00 , 0 0 0
1 80 x $ 6 7, 0 0 0
T o ta l
2 10 0 x $ 70 0 +
$ 49 . 15 m i ll i on
C o s ts
Sa le s 1 1 mil l io n c a r s, 1 . 5 m i ll i o n l ig ht t r u ck s
U ni t C ost $ 1 1 p e r ca r, $ 1 1 pe r t ru c k
1 1, 0 0 0 , 00 0 x $ 11
T o ta l 1 , 50 0 , 0 00 x $ 1 1 +
$1 37 mi l l i on

T he e st im a t i o n b y F o r d of t he n um be r of li v e s l os t a nd w ou n d ed i n cu r re d w a s
b a se d on st a t i st i ca l d a t a . T he e s t i ma t i on F or d m a de t ha t a h uma n l if e i s w or t h
$ 2 00 , 0 00 w a s b a se d on a r e p o r t of t he N a ti ona l H i g hw a y T r a f f i c Sa f e t y
A dm i n ist r a t i o n. A me m or a nd um a t t a c he d t o t he re p or t d e s cr ib e d t h e c os t s a n d
b e ne f i t s i n t his wa y:

C o mp o n en t 19 7 1 C os ts
F ut ur e pr od uc ti v it y lo s s es Di re ct $ 1 32 , 0 00
I nd i r e c t $ 4 1, 3 0 0
M e d i ca l c ost s Ho sp it a l $ 7 00
O t h er $ 4 25
P r op e r t y D a m a g e $ 1 , 50 0
I ns ur a n ce a dm i n ist r a t i on $ 4 , 70 0
Le g a l a nd co ur t $ 3 , 00 0
E mp l o ye r l os se s $ 1 , 00 0
V ict im 's p a i n a nd s uf f e ri ng $ 1 0, 0 0 0
F une r a l $ 9 00
A ss e t s ( l os t co ns um p t i on ) $ 5 , 00 0
M is c e l la ne ous a c c id e nt c ost $ 2 00
To ta l p e r Fa t al i ty $2 0 0,7 25
T ab l e 3 . 3

44
T he c o nc l usi on t ha t F o r d d r e w w a s c le a r: a t ec hni c a l im p r o ve me nt co st i ng $ 1 1 p e r
ca r w hi c h w o uld ha v e p r e v e nt e d g a s t a n k s f r om ru p t ur in g so e as il y w a s n ot c os t -
e f f e ct iv e f or so ci e t y. T he $ 1 3 7 m il l i on c o st of t he sa f e r mo d e l c l e ar ly o ut w ei g he d
t he b e ne f i t s $ 49 . 1 5 mil li o n. Al t er i n g t he P i nt o fo r $ 11 a ca r w o uld co st s oc i et y
( $1 3 7 mil l io n - $ 4 9 . 15 m il l i o n) $ 8 7. 8 5 mil li o n. Al lo w i ng t he P i nto t o b e p r od u ce d
w it ho ut a lt e r a ti ons w o ul d co st s oc ie t y $ 4 9. 1 5 mil li on.

O n Ma r c h 1 3, 1 9 8 0, t h e El k ha r t C o unt y ju r y f ou n d F o r d n ot g ui l t y of c r i mi na l
ho mi ci d e. H ow e ve r, un d er p r e s s u re f r om v a ri ou s i ns t it ut i ons, F o r d r e ca ll e d 1 . 5
mi ll i o n ca r s f o r r e f it t in g , a nd t hi s ca se a n d m a ny ot he r s i mi l a r P i nt o a c ci d e nt s co st
F ord mi ll i o ns of d o lla r s i n l eg a l s et t le m en t s t o a cci d e nt v i ct im s. F or d a ls o suf f e re d
a g re a t d ea l of d a ma g e to it s r e p uta t io n f or p r od uc i ng w el l -e ng i ne e r ed , sa f e
a ut om ob i l e s.

T he a r g um e n t of F o r d i s c on t r ov e r sia l a nd ha s e v ok ed a l ot of d e ba t e . I t p a i nf ull y
il l us t r a t e s t h a t e x p r e s si ng t he va l ue of h um a n li f e i n m o ne t a r y te r ms i nv ol ve s t he
d a ng e r of ne g le ct i ng f u nd a m e nt a l h uma n ri g ht s, s u ch a s t he r i g h t to l if e . T he F or d
P in t o c as e ha s b e co me o ne of t he m os t w e ll -k now n c a s e s i n a p p l i e d e t hi c s , s in ce it
r a is e s m a n y q ue s t i o ns of e t h i ca l i m p or t a nc e . Som e pe op l e c onc l u d e t hat F or d w a s
d e f i nit e l y w ro ng i n de s ig ni ng a nd m a r k e t i ng t he P in t o, a nd ot h e r s be l i e v e t ha t F or d
w a s ne i t he r le g a ll y n o r m ora l l y b la me w o rt hy , a nd a ct e d r i g ht in p r od uc i ng t he
P in t o. Re f le ct i ng on t h is ca se , s e v e r a l e t hi ca l q ues t io ns e me r g e : W a s F or d a c t i ng
w r ong i n ru s hi ng t he p r od u ct io n of t he Pi nt o ? E ve n t ho ug h F or d vi ola t e d no f e d er a l
sa f e t y st a nd a r d s or la w s, s hou ld t he c omp a n y ha ve ma d e t he P i nt o s a f er i n t e r m s
of re a r - en d c oll i s io n s, e sp e ci a l l y r e g a r d i ng t h e pl a ce me nt of t he g a s t a n k ? Was it
a c ce p t a bl e t ha t F or d us e d c os t- b e ne f i t a na l y si s t o m a ke a d e ci s i on r e la t i ng t o
sa f e t y, s p e cif i c a l l y p la ci ng d oll a r va lu e s o n h uma n lif e a n d s uf f e r i n g? S h o ul d
co mp a ni e s li ke F or d pl a y a r ole i n se t t i ng sa f et y s ta n d a rd s ? Wh a t w e r e t he
r e sp ons i b i li ti e s of t he F or d d e s ig n e ng i ne e rs a nd cr a s h-t e st e ng i ne e r s ?

Di ff e r e nt a r g um e nt s c a n b e u se d t o a nsw e r the se q ues t io ns . De s p i t e t he a p pa r e nt

d if f e r e n ce s, s om e re c u r re nt pa t t e r s c a n b e f o und i n t he mo r a l a r g u me n t s t h at a r e
us e d in ca se s li ke t his , an d t he c a s e s w e ha v e al r ea d y se e n: t he C h a ll e ng e r c a s e
( c hap t e r 1 ) a nd t he B ART c as e ( c ha p te r 2 ). T he s e p a t t e rn s a r e re l a t e d t o e t hi ca l
t he or ie s t ha t ha ve b e e n d e ve l op e d b y va ri ou s p hi l os op he r s . Et hi ca l t h e o ri e s hel p u s
t o so rt o ut o ur th i nk i n g a nd t o de ve l op a c o he r e n t a nd j us t if ia b l e b a si s f or de a l i ng
w it h m or a l q ue st io n s. T he r o le of e t h i ca l th e or i e s is t o p ro vi de ce r t a in a rg u me nts
or r e a so ns f o r a mo r a l j ud gm e nt . T he y p r o vi de a n or ma t i v e f r a me w or k f or
u nd e r st a nd i ng a n d r e s p o nd in g t o m or a l p r ob l em s, so i m pr o vi ng et h ic a l d e c is i on -
ma k i ng or , a t le a st , a v oid i ng ce rt a i n s ho r t c ut s, s uc h a s ne g le ct i ng c e rt a i n r e l e va nt
f e a t ur e s of th e p ro b le m o r j ust s t a t i ng a n op i ni on w i t h o ut a n y j us ti f i ca t i o n. I n t h is
c ha p te r w e s ha l l t her e f ore i nt r od u ce t h re e of th e m os t w e ll - kn ow n e t hi ca l t he or ie s :
co n se q ue nt ia l i sm, d ut y e t h i cs an d vi r t ue e t h ic s. T h e se t he ori e s e a c h ha ve t he i r
ow n cr i te r ia w it h w hi c h t he y d et e r m i ne w he t he r a n a ct i o n is r i g h t or w ro n g . Be f ore
w e g o in t o t he se t hre e t h e or ie s w e s ha ll di sc us s w ha t w e me a n b y m ora li t y an d
e t hi c s ( se ct io n 3 . 2) a nd d ist i ng ui sh b e tw e e n de s cr i p t i v e a nd nor ma t iv e j ud g m e nt s
( se ct i o n 3. 3 ) . I n se ct i on 3 . 4 w e sh a ll l ook i nt o t he p oi nt s of de p a r t ur e of e t hi cs:
va l ue s, no rm s, a nd vi r t ue s . Th e se p oi nt s of d e p ar t u re of t e n r e c ur i n e t hi ca l
t he or ie s. B e f or e w e d i sc u ss t he t h r e e mo st i mp o r ta nt e t hi c a l t he o r ie s, w e s ha ll
f ir st co ns id e r t he t w o m os t e xt r e me a pp r oa c he s t o e t hi c s: e t hi ca l r e la t i vi s m a nd
a b s ol ut i sm ( s e c t i on 3 . 5 ). I n s e c t i o n 3 . 6 w e s ha l l in d i ca t e how t he t hr e e m os t w e ll -
k now n e t hi ca l t he or i e s c o nse q ue nt ia li sm, d ut y e t h i cs , a nd vir t u e e t h ic s a r e
r e la t e d t o e a c h ot he r. T he s e t hr e e e t h i ca l t h e or i e s w i ll be d i sc us se d a t le ng t h i n
t he s e ct io ns t ha t f ol lo w (s ec ti o ns 3. 7 , 3 . 8 a nd 3. 9 ) . In se ct i on 3 . 1 0 w e w ill di s c us s
a r el a t i ve l y r e ce nt a p p r oa c h t o e t h i cs a s a n a lt e r na t i ve t o t he f a m i l ia r mo r al
t he or ie s: ca r e e th i c s. F ina l l y, i n s e c t i o n 3 . 1 1 , w e c l a r i fy o u r p os i t i o n w it h r e s p e c t
t o a p p l i e d e t hi c s.

45
3.2 Et hi c s a n d m or a l i ty

De f i ni n g t he t e r m e th i c s i s no t e a s y. Et hi cs ha s ha d ma ny me a ni ng s o ve r t he
ce nt ur ie s . T he te r m i s d er i v e d f r om t he G r e e k w or d e t h os, w hi ch c a n b e t ra ns l at e d
a s cus t om or m or a l s , but a l so a s c on vi ct i o n. E t hi ca s t oo d f or t he s cie n ce t ha t
co n sid e r e d w ha t w a s g oo d or ba d , w ise o r un w ise , a bo ut p e op l e s d e e ds . T he
Rom a ns t r a ns la t e d e t ho s in to t he Lat i n m o s ( p l ur al m or e s ), w hi c h i s t he r oo t of
t he w o r d mo r al . E t hi c s a nd m o ra l s t e m f r om t h e s a me s ou r c e. O ve r t he ce nt ur i e s
m ora l ha s t a ke n o n t he me a ni ng of t he t ot al it y of a c ce p t e d r ul e s of b e ha v io ur ( of
a g r o up or cu lt ure ) . I n t h is t e xt , we w i l l d i st i ng ui s h e t hi c s f r o m m o r al it y. T he t e r m
e t hi c s w il l b e r e se r v e d for a f ur t he r co n si d e r at i on of w ha t i s m or a l : mor a li t y.

E thi cs is th e sys te m ati c reflectio n o n what is m oral.

Morali ty is t he to talit y of opinio ns , de ci sio ns , and action s wit h whi ch peo ple
exp res s w hat t he y th in k is go od o r rig ht.

I n t hi s b oo k w e d e f i ne e t hi c s a s t he s yst e ma t ic r e f l e ct i o n on m or a l i t y. M or a li t y i s
d e f i ne d h e re a s t he t ot a li t y of op in io n s, d e c i si on s, a nd ac ti o ns w i t h w h ic h p e op l e
e xp re s s w ha t t he y t h in k is g o od o r ri g ht . T hi s r oug hl y a gr e e s w it h t he of t e n u se d
d e f i nit io n of m or a li ty a s t he t ot a l i t y of n or m s a nd va l ue s t ha t a c t u a ll y e xi st i n
so ci e t y.

S yst e ma t ic r e f le ct i on on m or a li t y i nc re a s e s ou r a b il it y t o c op e w it h mor a l
p r ob le m s, a nd t hus m ora l p r o bl e m s t ha t a r e re l a t e d t o t e c h nol o gy a s w e l l . Et hi cs ,
ho we ve r , is n ot a m a nua l w it h a ns we r s; it r e fl e ct s o n q u e st io n s a nd a r gu me nt s
co n ce r ni ng t he m or a l c ho ic e s pe op l e ca n ma ke . Et hi cs is a p ro ce s s of s e ar c hi n g f or
t he r i g ht ki n d of m or a l it y.

T he st ud y of e t hi cs c a n b e bot h of a d e s cr i p t iv e or p r e s cr i p t i ve na t ur e . D e s cr ip t iv e
e t hi c s i s i n vo lv e d wi t h t h e d e s c r i pt i on of t he e x is t i ng mo r a li t y, i nc l ud i ng t he
d e s cr ip t io n of c us t om s a n d ha b it s , op i ni on s a b out good a nd e vil , r e s p o nsi b l e a nd
ir r e sp ons i b l e be ha v io u r, a n d a c ce p t a b le a nd u na c ce pta b le a c t i on. I t s t u d ie s t he
mor a lit y f o u nd i n ce r t ai n s ub c ul t u r e s o r d u ri ng c e rt a i n pe r i od s of hi st or y.
P r es c r ip ti ve or n or m at i ve e t hi c s ta ke s m a tt e r s a st e p f ur t he r . De sc r ip t i ve e t hi cs
ca n d is c us s th e m or a li t y of In d ia n s or m ont h ly ma g a zi ne s f or m e n w it ho ut p a ssi ng
j ud g m e nt . No r ma t i ve e thi c s, w hi c h i s ce nt r al t o t h is b o o k, m o ve s a wa y f r o m t hi s
d e t a c hm e nt . B y d e f i n it i on n or ma t i v e e t hi cs i s n ot va l ue -f re e ; i t j ud g e s m or a l i t y. I t
co n sid e r s t he f ol l ow i ng ma in q ue s t i o n: d o t h e n or ms an d va lu e s a c t ual l y us e d
co nf or m t o o ur i d e a s a b out h ow p e opl e s ho ul d b e ha ve ? N or ma t i ve e t hi c s d oe s not
g i ve a n u na m b i g u ous a ns w e r t o t hi s q ue s t io n, b ut i n i t s m or a l ju d g me nt va ri ous
a r g ume nt s a r e g i ve n b a se d o n va ri ous e t hi ca l t he ori e s. T he se e t hi c a l t he or i e s
co nt ri bu t e t o p r ov i d e vi e wp oi nt s f r om wh i c h w e ca n t o c r i ti ca ll y d i s c u ss mo r a l
is s ue s.

3.3 D es c ri p ti v e a n d no r ma ti v e j u dg me n t s

O ne c e nt r a l q ue s ti o n i n n orm a ti ve et hi c s i s wha t i s a r i g h t op i ni o n , d ec is i on or
a ct i o n ? T o a ns w e r t hi s q ue st i on a j u dg m e n t ha s t o b e ma d e a b o ut t h e op i n i on,
d e c is i o n or a ct i o n i n q ue st i o n. Th is i s a nor ma t i ve j ud gm e nt , b e ca us e it sa y s
som e t hi ng ab ou t w ha t c or r e c t b e ha v i o ur o r a r i g ht w a y of li v i ng i s. No r ma t i ve
j ud g m e nt s a r e va l ue j ud g me nt s b ut not d e s c r ip t i ve jud g m e nt s. D e s c r i pt i v e
j ud g m e nt s a r e re l at e d t o w ha t i s a ct ua l l y t he ca se (t he pr e se nt ), w ha t w a s t he
ca s e ( t he p a st ), or w ha t w i ll be t h e ca s e (t h e f ut u r e) . De sc r i p t i ve j ud g m e nt s a r e

46
t r ue or fa l se . T he a s se r t i on t he C ha l le n ge r me t a ll s af e t y st a nd a r d s of t he t i me is
a d e s c r i p t i ve j u dg me nt : t he a s se r t i on i s t ru e or f a l se . Some t im e s t he t r ut h of a
d e s cr ip t iv e st a t e me nt ha s not ye t b e e n d e t e r mi ne d b e ca us e t e st i ng is i m p o ss i b l e .
T ak e f or e x am p l e t he st a t e me nt G od e x i st s . Sc i e n ce p la ys a n i m p or t a nt r ol e i n
d e t er mi ni ng t he tr ut h of d e s cr i p t i v e j udg me n t s. A n or m a t i ve j ud g m e nt is a va lu e
j ud g m e nt . V al ue ju d g m e nt s i ndi ca t e w he t he r s ome t hi ng i s g oo d or b a d , d e s i ra b le
or u nd e si r a b l e ; t he y of t e n re f e r t o ho w t he w or ld s ho ul d be i ns te a d of h ow it is.
S uc h k i nd s of va l ue j u dg me nt s of te n r e fe r t o mo ra l n or ms a n d va l ue s . T h is c an
g i ve r is e t o me a ni ng f u l d is c us si on s, w hi c h is n ot th e ca s e f o r j ud g me nt s of t a st e ,
su c h a s I d o n ot li ke B r us s e l s sp r o ut s. Ex a m pl e s of m ora l j ud g m e nt s a r e t he
C ha l le ng e r s houl d ne v e r ha ve be e n la u nc he d , E ng i ne e r s s h oul d f a it hf ul l y p r ov i de
me a s ur e me nt s , a n d s t e a li ng i s b a d .

T he d i s ti nc ti o n b e t we e n d es cr ip t i ve a nd nor ma t i ve j ud g me nt s i s n ot a l wa ys t ha t
e a s y. T he st a t e me nt t a ki n g b r ib e s is not a l l ow e d c a n be b ot h a n or m a t i v e a n d a
d e s cr ip t iv e j udg m e nt . If t he st a te m e nt me a n s t ha t t he l a w d e cl ar e s t ha t t a ki ng
b r i b es i s i lle g a l t he n i t i s a de s cr i p t i ve j ud g m e nt. I f how e v e r th e st a t e me nt m ea ns
t ha t b r ib e r y s ho ul d b e f or bi d de n, t he n i t i s a n or m a t i ve j u dg me n t .

3.4 P oi n ts of d e pa r tu r e : v a lu es , n o r ms a n d v i r tu es

N or m s, va l ue s a nd v i r t ue s a r e t he p oi nts of d e p ar t u re , r e sp e c t i ve l y, f o r t he t hr e e
p r im a r y nor ma t i ve t h e or i e s t h a t w e w i l l d i s c us s in s e c t io n 3. 7 , 3 . 8 a n d 3 . 9. We s ha ll
d is c us s t he m i n d e t a il b e l ow .

3 . 4 .1 V alues

V al u es he l p u s d e t e r mi ne w h i ch g oal s or s t at e s of af f a i r s a re w o rt h st r i vi ng f or .
M or a l va l ue s a r e re l a t e d t o a g oo d l if e a nd a j u st so ci e t y. Th e y h av e t o b e
d is t i ng ui s he d f ro m t he pr e f e re n ce s o r i nt er e st s of i nd i v id ua l p e op l e. P r e f er e n ce s or
int e r e s t s a re ma t t e r s pe o p le f e e l t he y s ho ul d s t r i ve f or , f or t he m s e l v es . Mo r a l
va l ue s a r e l a st i ng c on vi ct io ns or ma t t e rs t ha t p e op le f e e l sh o ul d b e st r i ve d f o r i n
g e ne r a l a nd n ot j us t f or t he m s e l ve s t o b e a b le t o le a d a g o od l i f e or t o r e a li ze a
j ust s o ci et y. A t yp i c a l e xa m p le of t h is i s t he s lo ga n of t he F r e nch Re v ol ut i o n:
l ib e r t , g a li t , f r at e r nit . T hi s sl og a n d i d no t e xp r e s s a p e rs ona l p r e fe r e n ce
su c h a s I w a nt t o be r ic h b ut e xp r e sse d v a lue s t ha t w e re f e lt t o be of
im p or t a nc e f or e v er y o ne. O t he r e xa m p l e s of m or a l va l ue s i ncl ude j us t i c e, he a l t h,
ha p p i ne ss an d c ha r i t y. V a l ue s a r e not l im it e d t o p eop le ; co mp a nie s ha v e t he m t o o.
T he y of t e n f or m u la t e t he i r m o st im p or t a nt m or a l va l ue s ( c ore va l u e s) i n t he ir
mi s si on s t a t e m e n t ( se e p r e v i ou s c ha p t er ) .

A di st in ct io n ca n b e m a d e b e t w e e n i nt r i nsi c and i nst r um e nt a l va l u e s. A n i nt r i n si c

va l ue i s a n ob j e c t i v e i n a nd of it se lf . A n i ns t r um e nta l va l ue i s a m e a ns t o r e a l iz i n g
a n in tr i ns i c va lu e . Th e va lu e of m o ne y f o r S c r oog e M c D uc k is i nt r i n si c . He v al ue s
mo ne y in de p e n de nt l y of w ha t y o u c a n d o w i th mo ne y. F or M ot h e r T he r e s a,
ho we ve r , m o ne y w a s a n in st r um e nt a l v a l ue t o r e a li ze a hi g he r e n d : he lp i ng t he
p o or . A p e r s on c a n co ns id e r hi s w or k t o b e b ot h of in t r i n si c a n d i ns t r um e nt a l
va l ue . If w or k i s me a n t to s up p or t t he va l ue of be com i ng r i ch, it i s a n i ns t r u me nt al
va l ue . If a p e r s on h a s mu c h j ob s at i sf a ct i o n, th e n w or k is a n i nt r i ns i c va l ue .

3 . 4 .2 Norm s

N or m s a r e ru le s t ha t p r e s cr ib e w ha t c on c r e te a ct io n s a r e re q ui r ed , p e rm it t e d or
f orb i dd e n. T he se a re r ule s a n d a g r ee m e nt s a b o ut h ow p e opl e ar e s up po se d t o tr e a t
e a c h ot he r . V a l ue s a r e t r a ns la t e d i nt o r ul e s, so t ha t it is c le a r i n e v e r y d a y l if e h ow
w e s h ou l d a ct t o a c hi e v e c e r t a i n v a l ue s.

47
O ne ex a m p l e of a va l u e wi t hi n o ur tr a f f ic s y s t em i s s af e t y. How ev e r , t he va l ue
a lo ne is not e no ug h t o g ua r a nt e e s a f et y on t he r oa d. T o t hi s p u r p o se , w e ne e d
r ul e s of be ha vi o ur or no r m s: p re s cr ib e d a ct i on s t ha t i nd i c a te w ha t w e m u st d o o r
mu st n ot d o i n a gi ve n s it ua t i on. T he va l ue s af e t y i n a t r a f fi c s y st e m i s ma i nl y
sp e ci f i e d b y t he l e ga l no r m s f r om t he t r a ff i c re g u la t i o ns. I n t he D ut c h r e g ula t io n s,
f or e xa m p l e, w e ha v e t he r ul e t ha t d r iv e r s c omi ng f r om th e r ig ht m us t a l wa ys b e
g i ve n w a y.

M or a l n or m s a r e i ndi ca ti o ns fo r r es po ns i b l e a c ti o n. Ne x t t o mo ra l n or m s t he re a r e
ot he r k i nd s of nor ms, s uc h a s l eg a l no rm s ( s uc h a s t r a f f ic r ule s) , p r e c e p t s of
d e c or um ( f or e xa m p le you s ho u ld not t a l k w he n y our m o ut h i s f ul l ), a nd r ul e s of
p la y ( f or e xa mp l e i n L ud o y ou c a n o n ly p la c e a co u nt e r on t he p la yi ng b oa r d onc e
yo u ha v e t hr ow n a s i x w it h t he di e ). S om e m or al no rms , l i ke t h o u s ha l t n ot k ill
a nd t ho u s ha lt not st e a l, ha ve b e e n t ur ne d i nt o la w s.

T he d if f e r e nce b e t we e n va l ue s a nd no rm s ca n be d e s cr ib e d a s f ol l o w s. Va l ue s a r e
a b st ra c t or gl oba l i d ea s or ob j e c t i v e s t ha t a r e s t ri ve d f o r t hr oug h c e rt a i n t y p e s of
b e ha v i our ; i t i s w ha t p e op l e e v e nt ua l l y w is h t o a c hie ve . N or ms , ho w e ve r, a r e t he
me a n s t o re a li ze va l ue s. The y a r e c on cr e t e, s pe ci f ic r ule s t ha t l im i t a c t i on. Wit h o ut
a n in te r p r et a t i on, th e ob j e c t i ve ca nn ot be a c hie ve d . Ta ke f or e xa m p l e t h e ne e d f o r
t r af f i c r e g ula t io n s t o g ua ra nt e e t r a f f i c s af e t y . I n a d d it i o n, nor ms h a ve no me a ni ng
or a r e i ne f f ec t i ve if t he u n de r ly i ng va lu e i s u n clea r or i s la c ki ng . S o on e ca n
im a g i ne t ha t t he nor m a l l b i c y c le b e l l s m us t b e b lue w il l b e l a rg e l y i g no re d . T he
no rm ha s n o m e a ni ng t he r e is n o u nd e r l y in g va l ue . T he se di f f er e n ce s a r e
su mm a r i ze d i n t a b le 3 . 1 72.

Val u es N o r ms
End s M e a ns
Gl ob a l Sp e c if i c
Ha r d t o a c hie ve wi t ho ut n or m s I ne ff e ct i v e w it ho ut va l ue s
Ta b le 3 . 1 : Di f f e r e n ce s b e t w e e n va l ue s a nd n or m s

3 . 4 .3 V irtue s

Ne xt t o va l ue s a nd nor ms w e ha ve a n ot he r m or a l p oi nt of d ep a r t ur e : v i r t ue s. T he
p hi l os op her A l is d a i r M a cI nt y r e d e s c r i be s vi rt ue s a s a ce r t ai n t yp e of hu ma n
c ha r a c te r i s ti c or q ua l it i es th a t ha s t he f ol lo w in g f i ve f e at ur e s 73:
1 . T he y a r e de s i r e d c ha r a c te r i s ti cs a nd t he y e x pr e s s a va l ue t hat i s w or t h
st r i v i ng f or.
2 . T he y a r e e xp r e sse d i n a ct i o n.
3 . T he y a r e la st i ng a n d p er m a ne nt t he y fo r m a la s t i ng st r uc t ur a l f o und a t io n
f or a ct i on.
4 . T he y a r e a l w a ys pr e se nt , b ut a re o n ly use d w he n ne ce ss a r y.
5 . T he y ca n b e i nf l ue nce d b y t h e i n d i vi d ua l.

T he l as t s t at e me nt su gg e st s t ha t pe op le ca n le a r n v ir t ue s . It i s a m a tt e r of t he
sha p i ng of a p er so n s c ha r a ct e r or p er so na li t y. T his o c c ur s d ur i ng our up b r i n g i ng
or o ur le a r n in g p r oc e s s wi t hi n a n or g a niza t i o n. Ex am p l e s of v i r t ue s a r e j us ti ce ,
ho ne st y, co ur ag e , l o ya lt y, c r e a t i v it y, a n d h u mo ur.

We ca n di s t i ng ui s h m o ra l v i r t ue s ( or c ha r a c t er vi r t ue s ) f r om i nt e l le ct ua l v i rt ue s.
I nt e ll e c t ua l vi r t ue s f o c us o n k now le d g e a nd s ki l l s. M ora l vi r t u e s a r e t h e d es i r a b l e
c ha r a c te r i s ti cs of p e op le t he cha r a c t er is t i c s t ha t m a ke p e op l e g o od .

72
B a s ed o n J eu r i s s en & V a n d e V en ( 2 0 0 7 ) , p . 5 7 .
73
M a c I n t yr e ( 1 9 8 4 a ) .

48
O n t he b a si s of t he p r e ce d i ng d e sc r i p t i o n of m or a l v i rt ue s, t he y s e e m t o b e sim ila r
t o va l ue s . M a n y of t h e c ha ra ct e r i st i c s t ha t w e q ua l i f y as m ora l vir t ue s a r e a l s o
va l ue s, s u c h a s i nt e g r i t y a n d b e i ng j u st . T he d if f er e n ce i s t ha t t he not i on of v ir t ue
ma i nl y re f e r s t o t he ch a ra c t e r de ve l op me nt s ome o ne ha s t o ha ve g on e t hr o ug h t o
t r ul y r e a li ze t hos e va l ue s.

M or a l v i rt ue s a r e i nd i s p en sa b le i n a r e s p on si bl e or g a ni za t i on. An or g a niza t i on ca n
f orm ul a t e ni c e va l ue s l ike i nt e gr i t y, r e sp e ct a nd re s p on si bi lit y a s m uch a s i t l i k e s,
b ut w i t h o ut t h e m ora l v i r t ue s b e in g pr e se nt i n t he cha ra ct e r of i t s e mp l o ye e s l it t le
w il l b e a cc om pl i s he d . The va lu e s i nd ica t e w hi c h c har a ct e ri st i c s ( vi rt u e s) a n
or ga n iz at i on p r i ze s or exp e ct s of it s e m p l oy e e s w ha t ki nd of pe o p le it e x p e c ts it s
e mp l o ye e s t o be .

Moral va lues h elp us d eterm ine w hich goa ls or stat es of affa irs are wort h
strivi ng f or i n l ife, t o l ead a good life or to r ealiz e a ju st so ci ety.

Moral n orm s a re r ule s that pr es cr ibe w hat a ctio n is re quire d, permi tted or
forb idd en.

Moral virt ue s ar e c har acte r t rait s t hat m ake s om eo ne a go od per so n or t hat

allow p eo ple to lea d goo d lives .

3.5 R el a ti v i s m a n d a bs o l u ti s m

B ef or e d i s c us s i n g t he thr e e m o st imp ort a n t t he or i e s i n nor ma t i v e e t hi c s , we s ha l l

lo ok a t tw o e xt re m e t h e or i es t ha t se e m t o be ve r y t e m pt i ng a t f i r st wh e n it com e s
t o f or m i ng a m or a l ju d g me nt : n or ma t i ve r el a ti v is m a nd a b so lu t i sm.

3 . 5 .1 Norma tive rela tivis m

N or ma t i ve r el a t i vi s m a rg ue s t ha t a ll mo ra l p oi nt s of vie w a l l va l u e s, n or m s a nd
vi r t ue s a r e r el a t i v e . Wha t i s g o od o r r e s p o ns i bl e f or o ne p e r s on i s no t ne c e s sa r il y
so f or a not he r . A m or a l ju d gm e nt or c hoi ce i s s i m p ly a p e r s on a l op in io n: If I t hi nk
it i s go od (o r ba d ) to d o A, t he n i t i s g ood ( or ba d ) t o d o A. So t he d e f e nc e of
su c h a cla i m i s s ub je ct ive a nd r a nd om : t he re a r e n o g ui de l i ne s a bo ut be ha vi ou r
t ha t a r e ob je c t i v e a n d i nde p e nde nt of t im e , pl a c e a n d cu lt ure . I n ot he r w o rd s,
t he r e a r e n o uni ver sa l nor m s a c c or d i ng to t h is t he or y, i. e . n orm s t ha t a r e
u ni ve r s a l l y a p p l ic a b le a nd s hou ld b e re sp e ct e d b y al l. F ur t h er m or e , no r ma t i ve
r e la t iv is m st a t e s t ha t t he va r i ou s va lu e s a n d no rm s ys t e m s f o r e a c h c ul tu r e a re
e q ua l , s o tha t i t i s i mp os si b l e t o sa y t ha t ce r t a in no r ms a nd va l ues ar e b e tt e r t ha n
ot he r s. T hi s me a n s t ha t w e ha ve t o re s p e c t a ll va l u e a nd nor m sy s te m s.

T he r e a r e t hr e e p ro b le m s w it h t h is t he o ry. F i r st , i t s ee m s t o i nv ol v e a n i n he r e n t
co nt ra d ic t i on. T he t he or y st a t e s t ha t t he r e a r e no un i v er sa l nor ms, b ut a t t he s a m e
t im e i t u se s a u ni ve r sa l no rm : E v er y b o dy ha s t o r es p e ct t he m or a l op i ni on s of
ot he r s. Se c o nd , it ma ke s a n y m e a ni ng f ul m or a l d is cus s i o n t ot a l l y i mp os si bl e ,
b e ca us e y ou ca n a l w a ys a p p e a l t o your f re e d om of opi ni on, w hi ch b y d e f i nit i on is
ne i t h er b e t t e r nor w or se t ha n ot he r op i ni o ns . The q ue s t i on i s w he t her t hi s i s a
va l i d s ta nd p oi nt . Sh ou ld t he t or t ur e of p oli ti ca l pr is o ne r s b e t ol e r a t e d b e c au se t his
is c us t om a r y w it hi n a gi ve n c ul t ur e ? Ar e t he r e no m or a l l i mi t s t o s u ch t ol e ra n ce ?
Do w e n ot a ll o b je ct t o t hi s ki nd of r e l a t i v ist i c arg u me nt t o d e fe nd t he t ort u r e of
p ol it i c a l p ri so ne r s ? F i na l l y, n or ma t i ve r e la t i v i s m ca n le a d t o u nw o r k a bl e or
int ol e r a b l e s it ua t i on s. E ng i n ee r s w or k i n t e a ms or a re e m p l oy e d w i t hi n a c om pa n y
w he r e t he r e a re w r it t e n a n d u nwr it t e n r u le s t o p r om ot e c o op e r a ti o n ( e . g.
a t t e nd i ng me e t i ng s on t ime ) . A s y st em t ha t a ll ow e d e ng i ne e rs t o d is re g a r d t he se

49
r ul e s b a s e d o n hi s or he r pe r s o na l va l ue s ( w hi c h ot her p e op l e ha v e t o r e sp e ct )
w o ul d c re a t e a n u nw or ka b l e sit ua t io n.

3 . 5 .2 A bs olutism

T he ot he r e xt r e m e p o s i ti on i s abs ol uti sm : a r i gi d fo r m of uni ve r sa l i sm .

U ni ve r sa li s m s ta t e s t h a t t he r e i s a s ys t e m of nor m s a n d va l ue s t ha t is un i ve r sa l l y
a p pl ic a b le t o e v e r y o ne , i nd e p e nd e nt of t im e, p la c e o r c ult ure . A b s ol ut i s m ca n ha ve
a r el ig io us na t ur e , w h e r e a g od d e t e rm i ne s t he u ni ve r sa l n orm s (a l so k now n a s a
d og m a ti c s c he ma ) . I n ma n y ty p e s of uni ve r s al is m r o om i s le f t to t r a ns gr e ss a
u ni ve r s a l nor m i n s pe c i f ic e xc e p t io na l cir c um st a nc e s. I n c ont r as t w i th a b so l ut i sm ,
mos t t yp e s of u ni ve r sa li s m a l l o w f o r t he p os s ib i l it y t ha t no t a l l n or ms a n d va l ue s
a r e u ni ve r sa l. I n ab s ol ut i s m a no r m l i ke T ho u s ha lt n ot k il l w ou ld b e c on si d e r e d
t o be u ni ve r sa ll y a p p l i c ab l e, b ut one ca n ima g i ne sit ua t io ns w he r e k i ll i n g a p e r s o n
ma y b e t he mo st mor a ll y r e sp o ns ib le t h in g t o d o. A bs ol ut i sm d oe s no t m a k e a n y
e x ce p t io ns : a r u le is a r ule .

A bs ol ut i sm ha s t hr e e ma i n p ro b le ms . F i r st , we ca n n ot w o r k wi th t he n ot i o n t ha t a
u ni ve r s a l nor m p r e s cr i b e s t he b e st a ct i o n i n al l si t ua t io n s. K i ll in g s om e one out of
se l f d e f e nc e i s j u st if i a b l e, d e sp it e t he u ni ve r sa l n orm T ho u s hal t not ki l l . Se co n d,
a b s ol ut i sm g i ve s no a n sw e r s f or c o nfl i ct i ng n or m s . T his o c c ur s, f or exa m pl e , i n t he
ca s e of a w h i st le b low e r ( se e c ha p t e r 1 ) : o n t he o ne ha nd yo u ha ve a n ob l ig a ti on t o
ma i nt a i n c o nf id e nt i al it y b ut on t he ot he r you ha ve t he ob l ig a t i on t o w a r n so ci e t y
a b out r i s ks . A c c or d in g t o w hi c h ge n e ra l l y a p pl i ca b le n orm s ho uld y ou a ct ? T hi r d,
a b s ol ut i sm of f e r s n o r oom f or a n i nde p e nde nt mo ra l j ud g me nt , si n ce it of t e n st e ms
f r om d og ma t is m. I nd e pe n d e nt mo r a l j u d gm e nt w a s c e n tr a l t o t he p h il os op h y of t he
E nl ig hte nm e n t ( i n t he se ve nt e e nt h a n d e i g ht e e nt h c en tu r y). E nli g h t e nm e nt
p hi l os op her s l i ke Be nt ham , Mi l l a nd Ka nt e n co u ra g e d p e o p le t o m ov e a w a y f ro m
p r e j ud i ce s a n d d og ma t ic s c he ma s. T he id e a w as t ha t r ea s on a l l ow s m a n t o de s ig n
hi s ow n r u le s of b e ha v i our . Hu ma ns , a s ra t i o na l a g e nt s, w e r e n ot s up p o se d t o
b li nd l y f o ll ow t r a d i t i o na l m ora l g u id e li ne s, s uc h a s t he mo ra l it y d i ct a t ed b y Go d.

C ons i de r i ng t he d i sc us sio n a b o ve , w e c a n st a t e t ha t a c hoi c e b a s e d o n ly o n

no rm at i ve r e la t i vi sm o r a b s ol ut i sm is a t t h e ve r y l ea s t et hically s u sp e ct , si n ce
e t hi c s r e f le ct s o n m or a l it y, a nd ca ll s us t o m a ke re a s on e d j ud gm e nt s a b o ut i t. T he
e t hi ca l t he or ie s we s h a ll di sc u ss i n t he f ol lo w in g s e ct i o n a r e m or e r a t i o nal t he o r ie s
t ha n n orm a t i ve r e la t i v i sm or a b s ol u ti s m. T w o of t hem or i g i na t e f r o m t he t ra d it i o n
of p hi l o so p h y of t he E nl ig ht e nm e n t .

I mma n uel Ka nt s um ma r ize d t he e s s e nc e of E nl ig hte nm en t a s f ol l ow s 74:

E nli g ht e nme nt i s ma n 's r e le a se f r om hi s se lf -i n cu rre d t ut e l ag e . T ut e la g e i s m a n ' s
ina b il i t y t o ma ke u se o f hi s und e r s t a nd i n g w i t hou t d i re c t i on f r o m a no t h e r. Se lf -
in c ur re d is t hi s t ut e la g e w he n i t s ca u se li e s no t i n la c k of r e a s on b ut i n l a c k of
r e s ol ut i o n a n d co ur a g e t o use it w it h out d ir ec t io n f r om a not h e r. S apere a ude!
H a v e c ou r a ge t o us e yo u r ow n r e a s on ! t ha t i s t he mo t t o of e nli g ht e nm e nt .

3.6 Et hi c al t h eo ri e s

We w ill now d is c us s t h r e e pr i m a r y e t h i ca l t h e or ie s a nd a t te m pt t o sy nt he si ze t he ir
a p pl ic a t i on s. T he s e t h r ee a r e c ons eq ue nt i a l i sm , de o nt ol og y a nd v i r tu e e t hi c s. We
ca n d is t i ng ui s h t he se t he or i e s f r o m e a c h ot h e r b y t he i r a p p r oa c h t o t he st r u ct ur e
of hu ma n a ct i o n a n d t he p r ima r y f o c us or p o int of de pa r t ur e t he y us e t o t he or ize
e t hi c s. I n d i a g r a m f o r m we ca n r e p r e se nt t h is a s f ol l ow s:

74
Kant (1784).

50
 Ac to r Ac ti o n C on s e q u en c es
Th eo ry vi r t ue e t h i cs de o nt ol og y ut i l it a r ia ni sm
P o i n ts o f vi r t ue s no r m s val ue s
d ep a r t ur e
T a b le 3 . 2: Dif f e r e nc e s be t w e e n t he et hi c al t he or i e s

T he st r u ct ur e of hu ma n a ct io n m e a ns t ha t a n a ct io n is c ar r ie d o ut b y a ce rt a i n
a ct or ( p e rs on o r i ns t it ut i on) wi t h a ce r t a i n i nt e nt io n, w hi c h t h e n l e a ds t o ce r t a i n
co n se q ue n ce s. S o, we ca n e va lua te e a c h mo r al a ct i o n f r om t hre e p e rs p e c t i v e s : t he
a ct or, t he a c t i on a nd t he c o nse q ue nce s.

I f we e v a l ua t e t he a ct i on f r om t h e p e r s p e ct i v e of t h e a ctio n i t s e lf , w e ma ke us e of
d e ont ol og ica l e t h i cs or d e on t o lo g y ( Gr e e k: ( deo n ) m e an i ng o bligatio n or
duty ) : d ut y e t hi cs. He r e , t he p oi nt of d ep a r t ur e i s no rm s . I t i s yo ur m or a l
ob l ig a t io n to e ns ur e t h a t yo ur a c ti ons a g r e e w i t h a n a p p l i ca b l e no r m ( r ul e or
p r i n ci p le ) . O ne e xa m p l e of s u ch a n a p pl ica b l e n or m i s t h e Go ld e n R ul e , w h ic h c a n
b e f ou nd i n t h e t e xt s of va r i o us r e l i g io n s: D o u nto o th e r s a s yo u w o uld ha v e t he m
d o unt o y ou.

I f we l oo k a t t he actor a n d hi s/ he r c ha r a ct e r i st i c s t o p a s s m ora l j ud g me nt o n a n
a ct i o n, t he n w e m a ke us e of vir t ue e t h ic s. I t is n eit he r t he i n cid e n ta l a c t i o n t ha t
co u nt s no r t he co n se q ue n ce s of t he a ct io n, but it i s t he q ua l it y of t he p e r s on
a ct i n g t ha t ma ke s t he a c ti on mo r a ll y r i g ht or n ot . H er e , t he m or a l p oi nt of
d e pa r t u re is virtue s , w hi c h a ll ow p e op l e t o r ea l iz e a g ood l i f e.

I f we d i s re g a r d b ot h t he a ct or a nd t he a ct i on in t he m or a l j ud g me nt of a c e rt a i n
a ct i o n, b ut o nl y c o ns id e r t he c o ns e q ue nc e s, t he n w e a p p l y c o nse q ue nt ia li sm. Y o u
ou g ht t o c h oo se t he a ct i o n w it h t he b e s t o ut co me s. T he m or a l p oi n t of d e p a r t ure i s
value s . C onse q u e nt ia l i st s f o c us o n re a l i z in g ce r t a i n g oa ls o r s t a te s of a f f a i r s t he y
f e e l sh o ul d b e s t r i ve d f or , e . g . p r o mot i ng p l e a s ur e, a voi d in g p a i n, or r e a l iz i n g
a mb it i on s.

T he r e a r e d if f e r e nt v a ri a nt s o n e t hi ca l t he or ie s m e nt i o ne d a b o ve . In t he f oll ow i ng
t hr e e se ct i o ns w e s ha l l d is c us s t he m os t we l l -k now n v ar ia nt f or e a c h t he or y:
ut i li t a r ia ni s m a s a r e p r e se nta t iv e of co n se q u e nt ia li s m ( s e c t i on 3. 7 ) , Ka nt s t he or y
a s a r e p r e se nt at i ve of d ut y e t hi c s ( se ct i o n 3 . 8) , a nd A r i st ot l e s v i rt ue s d o ct r i ne a s
a r ep r e se nta t i v e of v ir t ue e t hi c s ( se ct i on 3 . 9 )

3.7 U ti l i ta ri a ni s m

I n c ons e q ue nt ia l i sm , t he co ns e qu e nce s of a c ti o ns ar e ce nt ra l t o t he m or a l
j ud g m e nt of t h ose a ct i on s. A n a ct io n i n it se l f i s n ot r i g ht or w r on g ; i t i s o nl y t he
co n se q ue n ce of a c t i o n t ha t i s mo r a ll y r e le va nt . We sha ll li m it o ur s e l v es to o ne t yp e
of co ns e q ue nt i a li s m: utilitaria nism . U ti l i ta r ia ni sm is c ha r a ct e r i ze d b y t he f a ct t ha t
it m e a s ur e s t h e c on se q ue n ce s of a ct i o ns a g ai n st one va lu e : hu ma n pl e a s ur e ,
ha p p i ne ss or w e lf a re . Ut i li t a r ia n ism t he r e for e is a mo ni s t i c t ype of
co n se q ue nt ia l i sm. T he r e a r e p l ur a l is t i c t yp e s of c on se q ue n t ia l i s m t oo, w he r e
va r io us va l ue s m u st b e w e i g he d a g a i n st e a c h ot he r i n t h e a s se ss m e nt of a ct io ns .

3 . 7 .1 Jerem y Be ntham

Je r e m y B e nt ha m w a s t he f o und e r of u tilitar ianis m , a w or d de r i ve d f r om t he La t i n

utili s m e a n i ng u se f ul. Ut i li t a r ia n ism m a ke s t he c o nse q ue nce of a n a ct i o n ce nt r a l t o
it s m o ra l j u d g m e n t: a n a c t i o n i s r i g ht if i t i s u sef ul a nd w ro ng if it is da m a g i n g .
T he ne xt q ue st i on of c ou r se i s us e f ul f or w ha t ? In ot he r w or d s, w ha t is t he
p ur p ose f or w hi c h t he a ct i o n is a m e a n s ? T hi s p ur p o se ha s t o b e s o me t hi ng t ha t

51
ha s int ri ns ic va l ue . So i t ha s t o b e g o od i n i t se lf . T hi s m e a n s t ha t t he ut il it a r i a n i s
p r im a r i l y c on ce r ne d w i t h va lu e s; he f ir st ha s a not io n of w ha t i s i n t r i ns ic a l l y g o od .
T he va lu e t he or y t ha t Be n t h am c onne ct s t o hi s e t hi c s i s hed on is m : t he i d ea t ha t
p l ea s ur e i s t he on l y t hi ng t ha t i s g ood i n it s e l f a nd f or w hi c h a l l o t he r t hi n gs a re
in st r um e n ta l .

J er emy Ben tha m (1 7 48- 18 3 2 )

B y t h e p r i n ci p l e of ut i li t y i s me a nt t h a t pr i n ci ple w hi c h a p p r o ve s
or d i sa p p r o v e s of e ve r y a ct io n w h a t s oe ver , a c co r d i n g t o t he
t e nd e nc y it a p p e a r s t o ha ve t o a ug m e n t or d imi ni s h t he ha pp in e s s
of t he p a rt y w hos e i nt e r e s t i s i n q ue st i o n: o r , w ha t i s t he sa me
t hi n g i n ot he r w or d s t o p ro mot e or t o op p o s e t ha t ha pp i ne ss . I sa y
of e ver y a ct i o n w ha t so e ve r, a n d t he r e f or e n ot o nl y of ev e r y a ct io n
of a p r i va t e in d i vi d ua l, b ut of e ve r y me a s ur e of g o ve r nm e n t . "
( Be nt ha m 1 7 8 9 )

Je r e m y B e nt ha m w a s b or n i n Lon d o n o n 1 5 F e b r ua r y, 17 4 8 . At p re -s c ho ol a g e hi s
f a t he r t a ug ht hi m L a t i n, G re e k a nd m us i c. A p r i va t e t e a c he r a l so t a ug ht hi m F r e nc h
la n g ua g e a nd li t e ra t ur e . Hi s p ri va t e t e a c he r ha d h im re a d T l m a q ue b y F ne l o n.
T he b o ok ha d a h ug e i mp a ct on B e nt h a m, w ho i d e nt if ie d st r ong ly w it h t he h e r o
T el e ma c h us. Hi s d e d i c a t io n t o t he w e l f a re of huma n it y w a s a n i d ea l he he ld t o
t hr o ug hou t hi s l i fe . Whe n he w a s t we l ve he w a s e nr o ll e d a t Q ue e n s C ol l eg e i n
O xf o rd , w he r e he t o o k c la s s i ca l la ng ua g es a nd p hi lo so p hy. A s a s ma l l a nd s hy b ut
int e ll ig e nt ch il d, he s o on w a s g i ve n t he n i ck na me t he p hi l os op he r . B e nt ha m
lo ok e d ba ck o n t hi s p e r io d i n h or r o r. He co n s id e r e d t h e le ct u re s i n O xf o r d t o b e
us e le ss an d a wa s te of t ime t he o nl y t hi ng s he f elt ha d b e e n u se f ul w e r e l e s so ns
on l og i c. As a s tu d e nt he t ra i ne d t o b e co me a la w ye r, b ut a ft e r a f e w ye a r s of
r un ni ng a l a w p r a ct i ce he f oc us e d mo r e a nd mor e o n d e v e l o pi ng a p hi l os op hi ca l
a nd s ci e n t if i c t h e or y o f le g is l a ti o n a nd j us ti c e . He f ie r c e ly cr it i ci z e d t he le g a l
sy s te m , be ca us e i t d id n ot hi ng t o i mp r o ve t he w e lf a r e of p e o pl e . C our t s of la w
co u ld c o nd e m n p e op l e f or se x ua l c r im e s e v e n if nei t he r p ar t y h ad ob je ct io ns t o
t he s e x ua l a c t. B e nt ha m t hou g h t t hi s w a s n o ns e ns e: if b ot h p a r t i e s a g re e d to a n
a ct t he n t her e co u ld b e n o c ri me . As an a lt e r na t i ve B e nt ha m w a nt e d t o b u il d a ne w
le g a l s y s t em t ha t w a s ra t i on a l, cl e a r a nd c o n si s t e nt . I t w a s t o b e b a se d o n e t hi ca l
k now l e d g e a nd no t on t ra d i t i on o r c us t om. Hi s e t hi ca l op i n io n s f o r w hi c h he c hos e
t he na me ut il i t a r i a ni s m w e r e s e t o ut i n A n int ro ducti on to the pri ncip les of m oral s
and le gi slat io n (1 7 8 9) . D ue to t he c la s h b et w e e n h is e t hi c a l o pi ni o n a n d
co n ve nt i ona l C hr is t ia n t h o ug ht , Be nt ha m w a s g r e at l y op p ose d t o C hr is t i a ni t y ,
w hi c h he co ns i de r e d t o b e a f or m of as ce t is m w he r e p le a s u r e w a s c o nd e m ne d.
A c co rd i ng t o h i m, C hr i st ia ni t y w a s a ma jo r ob st a cl e t o h um a n ha pp i ne ss a nd a
hi nd ra nc e i n t he r e a l iz at i on of ut i li t a r i a n is m .

B en t h a m w a s one of t he e a rl ie st p h il os op he r s t o a rg ue f or a c omp le t e e q ua l i t y
b e t we e n se xe s, a nd f o r d e cr im ina li z at i on of ho mo s e xu a li t y a nd e q ua l r i g ht s f or
ho mo se xu al l y i nc l i ne d p e o pl e . F ur t he r m or e ,
he is w i d e l y r e co g ni z e d a s o ne of t he
e a r li e st p r op o ne nt s of a ni ma l r i g h t s.
B en t h a m a rg ue d t ha t t he a b i li t y t o s uf f e r,
no t t he a bi lit y t o re a s on, mu st b e t he
b e nc hm a r k of how t o t r e a t ot he r b e i ng s. I f
t he a b i l it y t o r e a s on w e r e t he cr it e r i o n,
ma n y h um a n b e in g s, i n cl ud in g ba b i e s a n d
d isa b le d p e op le , w o ul d al so ha v e t o be
t r ea t e d a s t hou g h t he y w e r e t hi ng s.

B en t h a m is p r oba b l y b e st k n ow n i n p op ula r

52
so ci e t y f o r hi s d e s ig n of t he p a no p t i c um (w hi c h m e a ns a ll -s e e i ng ) : it i s a d ome -
sha p e d p r is o n in w hi c h a p r is o n w a r d e r c a n se e a ll p r is one r s. Th e y a r e ke p t i n ce l l
r i ng s w i t h w i nd ow s f a c in g i nwa r d s. Th e w a rd e r ca n ob se r ve a l l p r i s on er s, b ut t he
p r i so ne r s c a n n ot s e e t he wa r d e r. T he i d ea b e hi n d t hi s i s si m p le : i f i ndi v id ua l s a r e
c he ck e d b y a n a ll -se e i ng e ye ( w it h out t he e y e b e in g s e e n) , t he y w i ll a ll ow
t he m se lv e s t o b e d i s ci p li ne d a nd b e c o ntr ol l ab l e. T he p a no pt i c um re ma i ne d a n
ob se s si on of Be nt ha m s f o r m or e t ha n t w e nt y ye a r s.

B en t h a m d ie d on 6 Ju ne , 1 8 3 2 i n t he t ow n he w a s b orn a g ed 8 5 . The re a l b od y of
B en t h a m t og e t her w it h a wa x he a d ( so me t hi n g w e nt wr o ng p r e s e r v i ng t he he a d )
ca n st i l l b e a d mi re d i n t he U ni ve r si t y C ol l eg e of Lon d o n i n a ca b i ne t wi t h a g la s s
d o or . D ur i ng b oa r d m e e t i ng s of t he u ni ve rs i t y, he is re m ove d f r om t he ca b i ne t s o
t ha t h e ca n at t e nd t h e se m e e t i n gs . Be nt ha m l e f t hi s f or t une t o t he u ni ve r s i t y wi t h
t he c ond it i o n t ha t h e w o uld b e a l low ed t o at t e n d a l l me e t in g s of t h e b oa r d .

B en t h a m ca ll s p le a s u r e a n d p a i n t he s ove r e i g n ma st er s of m a n. T ha t w hi c h
p r ov i de s p l ea s ur e or a vo id s p a i n is g o od, a n d t ha t w hi ch p r o vi d e s p ai n or r ed u ce s
p le a su r e i s e vil . B e nt h a m p la c e s e x p e r ie nc e at t he he a r t of hi s e t h ic s . A c cor d i ng t o
hi m, i t i s a n e l e me nta r y f a ct of e x p e r i e nc e t h a t pe op le st r i ve b y na t ure f o r
p le a su r e a n d a v oi d p a i n. M or e o ve r, p e opl e k no w w ha t p r o vi d e s p l e a su r e a n d w ha t
r e s ult s i n p a i n, an d a l so h ow p le a s ur e ca n b e r ea l iz e d . Ba s e d on t hi s e x pe r ie n ce
p e op l e c a n f or m a mo r a l j ud g me nt w i t ho ut t he i nt er ve nt io n of a n a ut hor it y s u c h a s
a le g is l a t or or G od .

T he o nl y mo r a l c r it e r i o n f or go od a nd e v il l i e s i n w h a t B e nt ha m ca l l s t he u t il it y
p r i n ci p le : t he g r ea t e st ha pp i ne s s of t he g r e a te s t n um b e r ( of t he m e mb e r s of t he
co mm unit y) . T h i s p r i nc i p le is t he onl y a n d s uf fi cie nt g r o u nd f or a n y a ct io n b ot h
f or i nd i vi d ua l s a nd c ol l e ct iv e s ( e . g. co mp a nie s o r go ve r nm e nt ) . It g ive s u s a
r e a s o n t o a ct mo ra l l y. M or a l t e r m s li ke p r op e r , r e s p o ns i b le , a nd co r r e c t o nl y
a r e m e an i ng f ul if t he y a r e u se d f o r a ct i o ns t ha t a re i n a g r ee m e nt w it h t he u ti l i t y
p r i n ci p le . T he g r ea t e s t ha pp i ne s s c a n b e d e t e r mi ne d q ua nt i t a t i v e l y a c c or d i ng t o
B en t h a m. H e b e l i e v e d t ha t w e c a n ca l c ul a te t he ex p e ct e d p l e a s ur e or p a i n a n d ca n
e ve n i ndi ca t e q u it e a c c ura t e l y ho w m u c h w i l l b e p r od uc e d b y a gi v e n a ct i on. He r e,
p le a su r e a n d pa i n a r e gi ve n i n t e r ms of a me a su ra b le r e s ul t , w hi c h c a n b e ma d e
su it a b le f or c a l cu la t i o n. I n t hi s c o nte xt he r e f e r re d t o a m or a l b a l a n ce s he et a n d
e ve n d r e w up e x t e nsi v e ta b le s . H e m a d e use of a n u mb e r of ci r c u ms t a n ce s, s uc h
a s i nt e n sit y, d ur a t io n, ce rt a i nt y a nd e xt e n t of a n a c t i on ( se e b ox ) . Ap p l y in g t hi s
t he or y t o a m or a l p r ob l em me a ns dr a w i ng u p a m ora l ba l a nc e sh e e t . He re , t he
co st s a nd be ne f it s f or e a c h p os s ib l e a ct i on m us t b e we i g he d ag a i ns t e a ch o th e r .
T he a ct io n w it h t he b e s t r e s ul t ( pr ov id in g t he mo s t u t il i t y) i s t he o ne t o b e
p r ef e r r ed . A c c or d i ng t o B e n th a m, m on e y ca n ev e n b e use d t o e xp r e ss q ua nt i t i e s of
p le a su r e or p a i n, b e ca us e t he s e e xp e r i e nc e s ca n ( a lm os t ) a l w a ys b e b ou g ht a nd
sol d .

"V al u e o f a L o t o f Pl eas u r e or P ai n , h o w t o be M ea s ur e d

P le a s u r es t he n, a nd t he a v oi d a n ce of p a i ns, a r e t he e nd s t ha t t he l e g i sl a t or ha s in
vie w ; it b e h o ve s h im t he r e f or e t o u nde r st a nd t he i r val ue . P le a s ur e s a nd p a i n s a r e
t he i ns t r ume nt s he ha s t o w or k w it h: i t b e h ov es hi m t he r e f ore t o und e rs t a n d t he ir
f or c e , w hi c h i s a ga i n, i n ot he r w or d s, t he ir v al ue . T o a pe r s o n c on s i d er e d b y
hims e lf , t he va l ue of a p le a s ur e or p a i n co ns i d e re d b y it self , w il l b e g r e a te r o r
le s s, a c c or d i ng t o t he f our f o ll ow i n g cir c um s t a n ce s:
- I t s intens it y .
- I t s durat io n .
- I t s certa inty o r u n certaint y .
- I t s pr op in quity or rem ote ne ss .

53
T he se a r e t he ci r c um s t an ce s w hi c h a r e t o b e c o ns i d e r e d i n e st i ma t i ng a p l e a s ur e or
a p a i n c ons i d e r e d e a c h of t he m b y i t s e lf . Bu t w he n t he va l ue of a n y p le a s ur e o r
p a i n i s c o nsi de r e d f or t he p ur p o se of e s ti ma t in g t he t e nd e n c y of a n y a ct b y w h ic h
it i s pr od uc ed , t he re a r e t w o ot he r cir c um st a n ce s t o be t a ke n i nt o t he a c c ou nt ;
t he s e a r e ,

- I t s fec und it y , o r t he c ha nc e i t ha s of b e i ng f oll ow e d b y s e ns at i ons of t he

sam e k i nd : t ha t i s , pl e a s ur e s, if i t b e a p le a s ure : p ai ns , if it b e a p a in.
- I t s purit y , or t he c ha nce i t ha s of not b e i ng f ol l owe d b y se ns a ti o ns of t he
oppos ite ki nd : t ha t i s , pa i ns , i f it b e a p l e a s ur e : p l e a s ur e s, if it b e a p a in.

T he se t w o la s t , h ow e v e r , ar e i n st r ic t n e s s sc ar ce l y t o b e de e m e d p rop e r t i e s of t h e
p le a su r e or t he p a i n it se lf ; t he y a r e not , t he r e f or e , i n st r ic tn e s s t o b e t a k e n i nt o
t he a c c oun t of t he va l ue of t ha t p le a s u r e or t ha t pa in. (. . . ) And on e ot he r ; t o w it :

- I t s ex te nt ; t ha t i s, t h e num b e r of p e r s ons t o w hom it ex te nd s ; or ( in ot he r

w or d s) w ho a r e a f f e c t e d b y i t.

T o t a ke a n e xa ct a c co u nt t he n of t h e g e n e ra l t e nd en c y of a n y a c t, b y w hi c h t he
int e r e s t s of a co mm un it y a r e a ff e ct e d , pr o ce e d a s f ol l ow s. Be g i n w it h a ny o ne
p e rs on of t hose w hos e i nte r e st s se e m m os t i mme d ia t e l y t o b e a f f e ct e d b y i t: a n d
t a ke a n a c co u nt,
1 . O f th e va l ue of e a c h d is t i ng ui s ha b le plea su re w h ic h a pp e a r s t o b e p ro d uc e d b y
it i n t he fi rst i n st a nc e .
2 . O f th e va l ue of e a c h pain w h ic h a p p ea r s t o b e p r o du ce d b y i t i n th e first
in st a n ce .
3 . O f th e va l ue of e a c h p le a s ure w hi ch a p pe a r s t o be p r od u ce d b y it afte r t he f ir st .
T hi s co n st i t u te s t he fe cundit y of t he f i r st p le asu re a n d t he im purit y of t he f ir st
pain .
4 . O f th e va l ue of e a c h pain w h ic h a p p ea r s t o b e p r o du ce d b y i t af t e r t he f ir st.
T hi s co n st i t u te s t he fe cundit y of t he f i r st pa in , a nd t he i mp ur it y of t he f ir st
p le a su r e.
5 . Su m up a ll t he va l u es of a l l t he p leas ur es o n t he one s id e , a nd t h ose of a l l t he
p a i ns o n t h e ot he r . T h e ba l an ce , i f i t be o n t he sid e of p l e a s ur e , w i ll gi ve th e g oo d
t e nd e nc y of th e a ct up on t he w hol e, w i t h r e s p ec t t o t he i nt e r e s t s o f t ha t in di vidua l
p e rs on; if o n t h e sid e of pa i n, t h e bad t e nd e n cy of i t u p o n t he w h o le .
6 . Ta ke a n ac c o un t of t he nu m ber of p e r s o ns wh os e i nt e re s ts a p p e a r t o b e
co n ce r ne d ; a nd re p e a t th e a b ove p r oc es s w it h r e s p e ct t o e a c h. S um up t h e
n um b er s e xp r es si ve of t he d e g r e e s of good t end e nc y, w hi c h t h e a c t ha s, w it h
r e sp e c t t o e a c h i ndi v id ual , in re g a r d t o w ho m t he te nd e nc y of i t i s good up on t he
w h ol e : d o t hi s a g a i n w it h r e s p e c t t o e a c h i n d i v id ual , in re g a r d t o w ho m t he
t e nd e nc y of it is g oo d up on t he w ho le : d o t h i s a g a i n w i t h r e sp e c t t o e a c h
in d i vi dua l, i n r e g a r d t o w h om t he t e nd e n c y of it i s b ad up o n t h e w ho l e. T a ke th e
bala n ce w hi c h i f on t he s i d e of plea s ure , w i l l g i ve t he g e ne ra l g o od te nden cy of t he
a ct , w it h r e sp e c t t o t h e t ot a l n um b e r o r co m mu ni t y of i nd i v id ual s c on ce r ne d ; i f on
t he s i d e of p a i n, t he g e ne r a l evil tende nc y , wi t h r e sp e c t t o t he s a me co mm u nit y.

I t i s n ot t o b e e x p e ct e d t ha t th i s p r o ce ss s hou ld be st ri ct l y p ur s ue d p r e vi ou sl y t o
e ve r y m ora l j ud g me nt, or t o e ve r y le g i sl a t i v e or ju di cia l op e r at i on. I t m a y,
ho we ve r , be a lw a ys k e p t i n v ie w : a n d a s ne a r a s t he p r oc e s s a ct ua l ly p ur s ue d o n
t he s e oc c a si o ns a p pr o a c hes t o i t , s o ne a r w i l l su c h p r o ce s s a pp r oa c h t o t he
c ha r a c te r of a n e xa ct one . " (B e nt ha m 1 7 89 )

T he i de a b e hi nd t he c a l c ul a t i on ab o ve is q ui t e s im pl e : a n a c t io n i s mo r a ll y r i g ht if
it r e s ult s i n p le a su r e , a nd it i s m or a ll y w r o n g i s i t g i ve s r i s e t o p a i n. T o f i nd o ut
w hi c h a ct io n l e a ds t o t he m os t ha p p i ne s s f o r t h e g re a t e s t num b e r of p e op l e, w e
ne e d t o c ount t he p le a su r e a n d p a i n of a l l i n di vid ua l s. T hi s is n o si m p le ma t t er ,

54
b e ca us e pl e a s ur e ca n not b e m e as ur e d ob je ct i ve l y. F ir st , t he p le a s u r e of d if f e re nt
p e op l e c a n n ot b e c om p a r ed ; p l e a s ur e i s a r a t he r s u b je c t i ve t e r m . A p e rs on ca n
e n jo y a co m p os i t i o n b y M oz a rt , w h ile s ome o ne el s e e xp e r ie n ce s t h is q u it e
d if f e r e nt l y. Se c o nd, i t i s n ot e a s y t o c om p a re a ct io n s: i s r e a d i n g a g ood b oo k
w ort h mo r e t ha n e a t in g a n i ce cr ea m ? Whi le a p pl yi n g t hi s he d o ni st i c ca l c ul u s t hi s
w il l of t e n le a d t o p r ob l em s, b e c a us e i t i s no t c l e ar h ow m uc h p l e a s ur e a g i ve n
e xp e ri e n ce p r od u ce s f or e a c h p e rs on. H ow mu c h p l e a s ur e d o s oc i a l co nt a c t s , ou r
he a l t h, or o ur p ri va c y gi ve us ? Si nc e t hi s is no t cle a r, m a ki ng m or a l ju d g m e nt s
a b out h um a n a ct i o ns b e c ome s ha r d . T a ke , f o r e x am p l e, a c om p a n y t ha t p oll ut e s
t he e nv ir o nme nt . I f t h e c om p a ny we r e t o w o r k i n a m or e e nv i r on m e nt a ll y f r ie nd l y
w a y t hi s w ou ld r e d u ce t h e p r of it s a nd t h e nu mb e r s of p e o p le e mp lo ye d. H ow e ve r ,
if t he c omp a n y d o e s not b e com e e nvi ro nm e n t al l y f r ie nd l y t he n t he d a ma g e t o t he
e n vi r onm e n t w i ll ha v e r e pe r c u ss i ons f o r p u b li c hea l t h. I t s e em s ne a r l y i mp os si b l e
t o dr a w up a q ua nt i t a t ive m or a l ba l a nc e s he e t f or t he s e tw o o pt i ons: c o nt i n ui ng
a lo ng t he st a t us q u o or cha n gi ng t o e n vi r o n me n ta l l y f r ie n dl y pr od u ct i on.

3 . 7 .2 Mill a nd t he free dom pr inciple

Joh n St ua rt M i l l (1 8 0 6 -1 8 73 ) e x t e nd e d a nd r e vi se d B e n tha m s t hi nk i ng. T he r e a re

t w o m a i n re s p e ct s i n w hi c h M i ll s t hi n ki ng d i f f er s f r o m t hat of h is p r ed e c e s s or .
A c co rd i ng t o M i l l, q ua l it ie s m us t b e t a k e n i nt o a c co u nt w h en a p pl yi ng t he
ut i li t a r ia n ca lc ul us : f or ms of p le a su re ca n b e q ua lit a t i ve l y c om p ar e d , in wh i c h i t i s
p o ssi b l e t ha t a q ua nt i t a t i ve l y sma ll e r p le a su r e is p r ef e r r e d o ve r a q ua nt i t a t i ve l y
la r g e r o ne be ca u se t he f or me r pl ea s ur e i s b y na t ur e m or e va l ua b l e t han t he l a tt e r .
A c co rd i ng t o M i l l, [i ]t is b e t t e r t o b e a h um a n b ei ng d i s sa t i s f ie d t ha n a p i g
sa t i s f ie d ; b e t te r t o be So c ra t e s d is sa t i sf ie d t ha n a f o ol sa t isf i e d . 75 U nf o rt un a te l y,
M il l d oe s n ot a n sw e r t he q ues ti o n w ha t m a k es on e p le a su re m or e va l ua bl e t ha n
a not h e r . H e o nl y g i ve s i nd i c a t i o ns : hi g he r d e sir es, li ke i nt el le ct ua l o ne s , a r e t o b e
p r ef e r r ed a b ove low e r de s i r e s , l ik e p h y si ca l or a nima l d e s i re s. S a t isf yi ng t he
d e s ir e t o c om pl e te a s t ud y i s m or e re w a r d i ng t ha n w a t c hi n g A s t h e Worl d T ur n s
e ve r y e ve ni ng or t o be a b le t o ea t a s m u c h a s yo u w a nt a t e ve r y m e a l. T he se co nd
d is t i nc ti on w a s a r e s p on se t o t he cr it i c i sm t ha t th e p os it io n of i nd iv i d ua l s ca nnot
a lw a ys b e pr ot e ct e d i f t h e ca l c ula t i on i nd ica t e s t ha t t he pl e as ur e of t he ma jo r it y
ou tw e i g hs t h e u nh ap p i ne ss of a f e w i nd i v i d u a ls . T his c ou l d r e s u lt i n t he
e xp lo it a t i o n a nd a b u se of mi no r it ie s, b e ca us e Be nt ha m s ut ili t a ri an i sm d oes not sa y
a n yt hi ng a b out t he d iv i si o n of p le a s u r e a nd p a i n am ong p e op le . A c co r d i ng t o Mi ll
w e m us t c hoos e t he ac ti o n t ha t p r o v id e s t he mos t p le a su r e b ut d oe s no t co nf l ic t
w it h huma n na t ur e a n d d ig ni t y. F or t he l a t t e r p oi nt h e i nt r o d uce s t he f re e d om
p r i n ci p le : e v er yo ne i s f r e e t o st r i ve f or hi s / h e r ow n p l e as ur e , a s l o ng a s t he y d o
no t d e n y or hi nd er t he p l ea s ur e of ot he rs . M i l l il lu st r a t e s t his p r i n ci pl e us i ng t he
e xa m p le of dr u nk e nn e ss. T he r i g h t t o i nt e r fe r e w it h s om e one w ho i s d r u n k onl y
a r is e s w h e n t he pe r s o n w h o is d r u nk s ta r t s t o d o ha rm t o ot he r s. M il l s p r in c i pl e
a ls o p r ov i d e s a f o u nda t io n f or t he d i s c u ssi on n owa d a y s a b out le g a l i zi ng s of t d r ug s
( or e ve n he r oi n). A c c o rd i ng t o M i l l, t he s a le a nd u se of s of t d r ug s s ho ul d not b e a
ma t t e r f o r p e na l l aw , a s t hi s w o ul d b e a v io l a t i on of f r e e d om . T he f a ct u si ng s of t
d r ug s i s ba d f or y o ur he a l t h ca nnot b e a co ns id e r a ti o n f or th e le g is la t or t o
int e r v e ne , b ec a us e t h e le g is l at or ha s no r ig ht t o be i nvo l v ed w it h p e r s on a l
d e c is i o ns i n Mi ll s vie w . Mi l l i ll us tr a t e s t hi s p ri nc ip l e on t he ba s is o f d r u nk e nne s s.

" Dr u nk e nne s s, f or e x a m p le , in or d ina r y c a s e s, is not a fi t s ub je ct f or l e g i s la t i v e

int e r fe r e n ce ; b ut I sh o ul d d e e m i t p e r f e ct l y l e g it im a te t ha t a p e r s o n, w ho ha d on ce
b e e n co n vi ct e d of a n y a ct of v i ol e n ce t o ot he r s u nde r t he i nf l ue n ce of d r i n k, s h o ul d
b e p l a ce d u n de r a sp e cia l l e ga l re st r i ct i on, p e rs on a l t o h im se l f ; t ha t i f he w e r e
a f t e rw a r ds fo u nd d r un k, he s houl d b e l ia b le t o a pe na l t y, a nd t ha t i f w he n i n t ha t

75
M il l ( 1 8 6 3 ) .

55
st a t e he co mm i t t e d a n ot he r off e n ce , t he p uni s hme nt t o w hi c h he w oul d b e li a bl e
f or t ha t ot h e r of f e n ce sh oul d b e i n cr e a s e d i n se ve r it y. " ( M il l 1 85 9 , c ha pt e r 5)

T he f r e e d om p r i nc ip le i s a ls o k no wn a s t he n o har m p r i n cip l e: on e is f r e e to d o
w hat o ne wi s he s, bu t onl y t o t he e xt e nt tha t n o ha r m i s d o ne t o ot he r s . H ow e ve r ,
t he p r i nc ip l e c a n ha r d l y e ve r b e a p p l ie d i n f u ll, si n ce a n y m or a l p ro b le m i nv ol ve s
p o ssi b l e ha r m t o o t h e r s , or a t le a st t he r is k of ha rm .

J oh n St ua r t M il l ( 18 0 6-1 87 3 )
"T he onl y f r e e d om wh i c h d e se r ve s t he na m e , is t ha t of
p ur s ui ng o ur ow n g o o d i n o ur ow n wa y, s o l on g a s w e d o n ot
a t t em p t t o d ep r i ve ot he r s of t he i r s, o r i mp e d e t he i r e f f or t s
t o ob t a i n i t . E a c h i s t he p r op e r gu a r d i a n of h is ow n he a lt h,
w het he r b o d il y, or me nt al a nd sp ir it ua l. M a nki nd a re g r e a te r
g a i ne r s b y s uf f e r i ng e a c h ot he r t o l iv e a s s e e ms g o od t o
t he m se lv e s, t ha n b y c omp e ll in g e a c h t o li ve a s se e m s go od
t o t he r e st . " ( Mi l l 1 8 5 9)

Joh n St ua rt M i l l w a s b or n in 18 0 6 ; he w a s t he o ld e st so n of
Jam e s Mi ll a nd pr ov e d t o b e a p r o di gy. Ja me s M il l ha d s p e cia l i d ea s ab o ut r a i s i ng
c hil dr e n. A t t he a g e of t h r ee h e t a ug ht hi s s on G ree k, a t ag e f o ur he t a u g ht hi m
La t i n, a nd s h or t l y a ft e r he t a u gh t hi m m a t h e ma t i cs . A t a ge t w e l ve Joh n S t ua rt M i ll
w r ot e a b oo k a b out Ro ma n h is t or y. M i l l w a s a p r op o ne nt of ut i l it a ri a ni sm a s
p r op o se d b y h is g od f a the r Je r e m y Be nt ha m . W he n he w a s e ig ht e e n , M il l f ou nd ed a
ut i li t a r ia n s oc i et y f or y out h s, w he r e le ct u re s a n d d i s c us si o ns w e r e he l d a b o ut t he
ut i li t y p r i nc i pl e. Whe n he w a s t w en t y, M i ll ha d a ne r vo us b r e a kd ow n a nd he
suf f e re d f r om se ve re d e pr e ss io ns . He fo u nd t ha t t h e uti lit a r ia n ism of B e nt ha m w a s
no t m a k i n g hi m ha p p y . F ol l ow i ng t hi s, h e d is t a n ce d him se lf f r om B e nt ha m s i de a s.

I n 1 8 2 3 he st a r te d t o w or k f or t he E a st I nd i a C o mp a n y u nde r hi s f a t he r s
a ut ho r it y. T hi s wor k p ro vi d e d hi m w it h m uc h op p o rt u nit y to st ud y a nd w r i t e. I n
1 8 30 he m e t t he 2 3 ye a r -ol d Ha r r ie t Ta y l or . The y w e re h ig hl y im pr e ss e d b y e a c h
ot he r . How e ve r , Ha r r i e t w a s m a r r i e d to t he bu si ne ss m a n Jo hn T a y lor a nd s he
d e c id e d n ot t o s a c ri f ic e h e r f a mi l y b e ca us e o f he r f e e li ng s. H e r h us ba n d e ve nt ua l l y
a ll ow e d he r t o me e t w it h M ill on a r eg ula r b a s i s. A cc or di ng t o M i l l s t e st i mo n y t he i r
lo ve f or e a ch o t he r w a s p ur e l y p la t oni c. Af t e r Jo hn T a y l o r s d e at h i n 1 84 9 t her e
w a s n o m or e r e a s on n ot t o ma r r y , w h ic h t he y d i d i n 1 8 5 1. I n M i l l s v ie w , Ha r r i et s
op i n io ns ha d a ma j or i nfl ue n ce o n hi m a nd e sp e cia l ly h is s oc i o -p hi l os op hi ca l w or k.
T og e t he r w it h he r , M i l l c a ll e d f or t he e m a nc i p at i on of wo m e n a nd a l s o ar g ued f or
w ome n s r ig ht t o v ot e . I n 18 6 9 he p u bl i s he d The Sub je ct io n of Wo men , w hi c h i s
no w t he c la s s i ca l t he or e t i ca l s t a te m en t of t h e ca se f or w oma n suf f ra g e . Ha rr ie t
d ie d i n 1 85 8 i n A vi g n o n. B e t w ee n 1 86 6 a nd 1 8 68 , M ill w as a M e mb e r of P a r lia me nt .
He w a s c o nsi d e r e d a r ad i c a l, b ec a us e he s u p p or t ed t he p u b li c ow n e rs hi p of na t ur a l
r e s our ce s, t h e d e v e l op me n t of l a bo ur o r g a ni s a t io ns , c om p ul s or y e d u ca t i o n, b i r t h
co nt ro l, a n e nd t o s la v e r y, a nd e q ua li t y of w ome n. H is a d v oc a c y of wom e n s
suf f r ag e i n t he Re fo r m B i ll of 1 8 6 7 l e d t o t he c r e a t i o n of t he s uf f r a g e m ove m e nt .
He d ie d i n 18 7 3 .

Joh n St ua rt M i l l w a s t he mo st i nf l ue nt ia l B ri t is h thi n k er of t he 1 9 t h ce nt u r y. Mi ll s
e ss a y O n Liberty ( 1 85 9 ) re ma i ns hi s ma jo r c ont r i b uti on t o p ol it i ca l t h o ug ht . He
p r op o se d t ha t se lf - p ro t e ct io n is t he onl y r e a so n a n i nd iv i d ua l o r t h e g ov e r nme nt
ca n i nt e rf e r e w i t h a p e rs on s lib e r t y of a ct io n. O ut s id e of p r e ve nt i ng ha r m t o
ot he r s, t he s t at e ha s no l e gi t i ma t e re a s on t o c om pe l a p e r s on t o a ct i n t he w a y t he
g o ver n me nt w i s he s .

56
3 . 7 .3 Criticis m of uti lit aria nism

A lt ho ug h u t il it a r i a ni sm ha s a st r on g i nt ui t i ve a tt ra ct io n be ca use of it s si mp li c it y, i t
ha s ne ve r t he l e ss r e ce i ve d m u c h c ri t i ci s m. T wo im p or t a nt p oi nt s of c ri ti c is m w e re
d is c us se d a b o ve : ha p p i ne s s ca n not b e m e a s ur e d ob je ct i vel y a nd ut i li ta r ia ni s m ca n
le a d t o e x p l oi ta t i on. F our ot he r p oi nt s of cr i t ic is m a r e d is c us s e d b e low . I n ma n y
ca s e s t he cr it i ci sm w a s i nco r p or a t e d b y ut i li ta r ia ns t o i mp r o ve ut il it a r ia ni s m.

T he f ir st cr it i ci sm i s t h a t t he c ons e qu e n ce s c a n not b e f o r e s e e n ob j e ct iv e l y a n d
of t e n a r e u np r e d i c t a b l e , u nk now n, or u nce r t a in. An o b vi o us s o lu ti o n i s t o w o r k
w it h e xpe ct e d c o ns e qu e n ce s a nd t he a c co mp an yi ng p l e a s ur e . I n t h e t w e nt ie t h
ce nt ur y t h is n ot i o n w a s e ve n g i ve n a ma t he m a t i ca l f o u nd a t io n us i ng s ta t i s t i cs.

Ne xt t o t his t he r e i s t he p r ob l e m of d i s t r i b u t iv e j ust i c e. Di s t r i b ut i ve j u st i ce re f e r s
t o t he va l ue of ha vi n g a j us t d is t ri b ut i o n of c e r t ai n im p or ta nt g ood s , li ke i n c ome ,
ha p p i ne ss , a nd ca r ee r . U t il it a r i a ni sm ca n le a d t o a n un ju st d i v i si o n of c ost s a n d
b e ne f i t s . A cc or d i ng t o t he p oli t i ca l p hi lo so p he r Joh n Ra w l s ut ili t a ri ani sm s uf f e r s
f r om t hi s p ro b le m b e c a us e i t d oe s no t r e c og ni ze t he f u n d am e nt a l s ep a r a te ne ss of
p e rs ons. 76 I ns t e a d of t h a t ut i l it a r ia ni sm t r e a t s so c ie t y a s a w ho l e i n w hi c h p le a s ur e
mu st b e in c r e as e d v i a t he c r it e ri on t he g r e a t e st ha p p in e s s of t he g r e at e st
n um b er . T he qu e st io n c o nc e r ni ng t he d i st r ib ut i o n of ha p p i ne ss i s n e gl e c t e d , e ve n
u nd e r Mi l l s f or m ul a t i o n of ut i li ta r ia ni s m. It i s a tr i c k y qu e st io n b e c aus e n ume r ous
is s ue s i n t e c hno lo g y a re co n ce r ne d w it h t h is p r ob l em, su c h a s how t h e r is k s a nd
b e ne f i t s of t e c h no l og y s ho ul d be j us t l y d is t ri but e d ( se e c ha p te r 8 ). De sp it e Ra w l s
cr it i c i sm , ut i l it a r ia ns ha ve t r i e d di f fe r e nt w a y s t o p ay a t t e nt i on t o j us ti ce a nd t he
d is t r i b u t i on of w e lf a r e . He nr y Si dg w ic k , f or e xa m p le , be l i e ve d t ha t a lt ho u g h t he
t ot al a m o un t of s oc ie t a l hap p i ne s s s ho ul d b e c onsi de r e d i n t he f ir s t p la ce , it s ho ul d
b e t he si tu a t i o n wi t h t he mo st e q uit a b le d ist r ib ut i o n of ha p p i ne ss t ha t m ust be
se l e c t e d f r om va ri ous s it ua t io n s w i t h e q ua l h a p pi ne s s. 77 O t he r u t il it a ri a ns ar g ue
t ha t t he cl a s s i ca l u t il it a ri a ni sm w it h t h e e mp ha s is o n t he g re a t e st hap p i ne ss f or
t he l a r g e st n um b e r of pe o p le d oe s not r e q ui r e s uc h a cl a us e , b e ca use it le a d s t o
a j u st a nd b a la nc e d d i s tr i b ut i o n of w e lf a r e . T he mo de r n ut i l it a r ia n R i cha r d H a r e
me n t i on s t wo r e a so ns for t hi s. F i r st , a r i c h p e r s on e xpe r ie n ce s le s s a dd e d pl e a s ur e
on a ve r a g e f r om a n i n cr ea s e i n i nc om e of 1 0 0 E ur o s t ha n a p oo r p e r s on. T h is
p he n ome n on i s k no w n in e co nomi c s a s d e c r e a s i ng m a r gi na l ut i l it y ( t he te r m
ma r g ina l ut i li ty r e f e rs t o t he i nc re a se i n ut i li t y wi t h a n i n cr e a s e i n i n c ome f or
e xa m p le ) . An i mp r o ve m e nt i n i nc om e f o r po or pe op le w i ll s oone r l e a d t o
ma xi miz at i on of ha p p i ne ss t h a n a n i n cr e as e i n i n com e f or p e op le w h o a l re a d y a re
r i ch. Se c ond , i ne q ua l it y of i nc om e l e a ds t o j e a lo u sy a nd t h us t o p a in a nd is t hu s t o
b e a v oi de d . 78

A t hir d p oi nt of cr i t i ci s m i s t ha t u t il i ta r ia ni s m ig n or e s t he p e r s on al re l a t i on sh i p s
b e t we e n pe op le . I n t h e he d oni st i c b a la n ce o f B e nt ha m e a ch i nd i vi d ua l co u nt s a s a
a non ym o us un it . Who r e c e i ve s t he pl e a s ur e i s i rr e le va nt ; i t i s o nl y t o t ot a l a m o u nt
of p l e a s ur e t hat co u nt s . I n ot he r w or d s, t he t ot a l hap p i ne s s c oun t s a nd no t t he
in d i vi dua l ha p pi ne ss of s pe c i f i c p e rs ons . F or t hi s r ea s on M ill c a ll e d B e nt ha m s
f oll ow e r s r ea s oni n g m a c hi ne s. I n d a il y lif e , som e p e o pl e s ha p p i ne ss ha s a g r e at e r
im pa c t o n us t ha n t he ha p p i ne ss of ot he r s. I f y ou w e r e t o b e s hi pw r e c ke d a nd had
t o m a k e a c hoi c e b e t w e en sa vi ng a f ri e nd o r a f a mo u s su r ge o n, ut i l it a r ia n t he o r y
d i ct a t e s t hat sa v i ng t h e s ur g e on i s t he r i g ht t hi n g t o d o, b e c a u se h e is m or e us e f ul
t o so ci e t y. Th i s ch oi ce ig n or e s t he f a c t t ha t i t is s pe cifi c ind ivid uals t ha t wa nt t o
b e ha p p y a nd t ha t it r e a ll y d e p e n d s o n wh o is m a de h a pp ie r . T he q ue s t i o n
t he r e f o re i s w he t he r w e ha v e m or a l ob l ig a t io ns t o t he p e op l e t ha t w e hav e a
p e rs ona l r e la t i o ns hi p w it h, a n d w h om w e w a nt t o m a ke ha p p y .

76
R a w ls ( 1 9 7 1 ) .
77
S id g w i c k ( 1 8 7 7 ) .
78
Har e (1982).

57
F ina l l y, c e rt a in a ct i o ns a r e m or a l l y a cc e p ta b l e e ve n t h ou g h t he y d o not c r e a t e
p le a su r e a n d som e a ct io ns t ha t ma x i mi ze p le a su r e a re mo r a ll y una c ce p ta b le . I n t he
ne xt s e ct i o n w e w i ll se e t ha t Ka n t a lw a ys c o n sid e r s l yi n g t o b e m or a ll y w r o ng ,
e ve n i f i t r e s ul t s i n m o re or ma x im al p l e a s u r e i n ce r t a i n sit ua ti ons . A c c or d i ng t o
ut i li t a r ia ni s m, e ve n t h e mo st f und a me nta l r u le s, s uc h a s t h e huma n r ig ht s
f orm ul a t ed i n t he U ni v e rs a l De cla r a t i o n of H uma n Rig ht s (1 9 4 8 ), c a n be b r ok e n if
t he p osi ti ve c ons e q ue nc es a re g r e a t e r t ha n the n e ga t i ve on e s: t he e nd j us ti f i e s
t he m e a n s. O n ut i l it a r i a n g r ou nd s, a n e ng in e e r c ou ld b e a s ke d t o be n d a
f und a me nt a l r ul e of p r of e s s i ona l c ond uc t b e c aus e of t he p o si t i v e c o ns e q ue n ce i t
w o ul d ha v e . Sa y, f or e xa m p l e , t ha t a n e ng in e er is as ke d t o f a l si f y t he
me a s ur e me nt s he g a v e i n a r e p or t b y t he p a r t y com m i ss i o ni ng t he w or k, b e ca u se
t he c or r e ct me a s u re m e nt r e s ul t s w ould ha v e m a jo r ne g a t i ve c onse q ue n ce s , s uc h a s
t he p a yme nt of d a m a g e s or b a n kr up t c y. A c c or d i ng t o t he tr a d it io na l uti lit a r ia n
vie w , t his b e ha v i our w ou ld b e j us t if ie d i n a c e rt a in si tua t i on. T h is t r a d it io na l vie w
is k now n as act ut ilita ria ni sm b e ca use it j u d g e s t he c on se q ue nc e s of i nd i vi d ua l
a ct s. A so l ut i o n t o t hi s p r ob le m i s p r op o se d b y o ne v a r ia nt of u t il it a ri a ni sm: r ule
utilitaria nis m . Rul e ut i li t ar i a ni s m r e c og n iz e s the e x is te nc e of m ora l r ule s, i f onl y
b e ca us e lif e w o ul d b e ve r y c om pl i ca t e d wi t h ou t t he m. F or e a ch s i t ua t i o n w e w o uld
ha ve t o j ud ge w h et he r it wa s mo ra l ly co r re ct or not , be c a use e a c h sit ua t io n i s
sl i g ht l y di f f er e n t f r om a not h e r . R ule ut i lit a r ia ni sm lo ok s a t t h e co ns e qu e n ce s of
r ul e s ( i n c ont r a st wi t h a ct i on s) t o i nc re a se h a pp i ne ss . T h oug h t he f a lsi f yi n g of
me a s ur e me nt s ma y i n c r e as e s oc ie t a l ut i li ty i n a s p e ci fi c si t ua t i on, a r ule u t il i ta r ia n
w il l not a l l ow i t b e ca u se t he r ule me a s ur e m e nt d a ta s h ou ld b e pr e se nt e d cor r e c tl y
g e ne r a l l y p r o mot es ha p p i ne ss w it h in s o ci et y. I f su c h a r ul e w it hs t a nd s t he t e st of
p r om ot i ng ha pp i ne s s t he n i t t u r n ed i nt o a m ora l r ule . Wi t h i n r ul e ut i l it a r ia ni sm
t he r e a r e a n u mb e r of va r i a nt s. T he r e is a va r ia nt w he r e t h e m or a l ru l es a re
vie w e d a s c o nd it i ona l r u le s ( t he y a r e mo re li ke r ule s of t h um b ) , a nd a va r ia nt t ha t
vie w s t he r u le s a s un c on di t io na l on e s ( t he y a p p l y to a l l p e op le i n a ll ci r cu mst a n ce s
w it ho ut e x ce p t i o n) . Ru le ut i li t a r i a ni s m i s c l os e t o d ut y e t hi c s, w hi c h is t h e s ub je ct
of t he ne xt s e ct io n, a l th ou g h t he i r c once p t ua l fo u nda t i on s a r e ve r y d if f e r e n t .

3 . 7 .4 A pplyin g ut ilitari ani sm to t he F ord Pint o case

I n t he F or d P i nt o ca se t h e Fo r d c om p a ny p r ovi d ed a n a c t -u t il i t ar i a n a r g um e n t b y
ma k i ng a c o st - be ne f it a na l y si s t o j us t if y t ha t t h e d e f e c t i ve ve h ic l e mod e l w a s n ot
r e ca lle d a nd r e t r of it t e d b y F or d. T h is c os t - b ene f i t a na l y si s, a c c or d i ng t o F or d
sh ow e d t ha t t he t ot a l s oc ia l co st s of r e tr of it t in g a l l t h e c ar s w e r e hi gh e r tha n t he
so ci a l co st s of t he e x p e ct e d a c ci de nt s. I t i s i m po r t a nt t o not e t ha t t he c os t- b e ne f i t
a na l y si s r e f e r s t o s o ci a l c os t r a t he r t ha n t o co st s f o r F or d. F or th i s re a s on, F or d s
a r g ume nt w as ut i l it a r i a n r a t her t ha n e g o ist ic .

T he F or d P in t o ca se c l e a r l y il l u st r a t e s s om e of t he ob je ct io n s a g a i nt ut il it a r i a ni s m.
F ir st , t he a m oun t s of m one y t ha t F o r d a t t ch e d t o d if f e re nt ki nd s of p a i n (d e a d ,
in j ur ie s ) s e e m r at he r a r b it r a r y, e ve n if so m e of th e a m o u nt s w e r e b a s e d o n
g o ver n me nt d o c ume nt s. Se c ond , one m i g ht w o nd e r ho w re l ia b le t he e st im a t e s of
f or e xa m p l e nu mb e r of f a t al i t ie s a r e . A c ha n ge i n t he se e st i ma t e s ma y c ha n ge t he
co n cl u si on of t he c ost - b en e f it a na l ys is . A p a r t f r o m s u c h mor e p r a ct i ca l o b j e c t i on s,
t he c a s e al so il l u st ra t e s s om e of t he m or e f und a me nt al ob j e c t i on s t o ut i li t a r ia n ism .
I n m a k i ng a d e ci s i on s ol e ly b a s e d o n c o ns id e ra t i on s of o ver a ll we l f ar e or
ha p p i ne ss , Fo r d ad op t ed a p ol i c y of a l l ow i ng a ce rta i n n umb er of p e op le t o di e o r
b e i n j ur e d e ve n t houg h t he y c o ul d ha ve p re ve nt e d i t. O ne c ou ld a l so a r g ue t ha t
t he F or d P i nt o ca se r e vea l s e x pl oit a t io n o r a bu se be ca use t he v ic t i ms w e r e
sa c r if i ce d t o op ti m iz e ov e r a l l w e lf a r e (t he e n d s j us t if y t he me a ns ). M or e o ve r, t he
ca s e sh ow s how a n ut i lit a r ia n a r g ume nt m a y l e a d t o a ba nd oni ng t he i nhe r e nt
p r i n ci p le s, l i ke y o u ca nnot p ut a va l ue on h um a n lif e o r f re e d om p r i nc i pl e of M il l.
A c co rd i ng t o t h e la t t e r p r in ci p le , F or d s h o uld ha ve r e ca l l ed a nd r e p ai r ed t he c a r .

58
So me of t he se ob je ct i on s m ig ht b e o ve r com e b y a p pl y in g r u le ut i l i t a r ia ni sm t o t he
ca s e . T he n, o ne s ho ul d a s k w he t he r o r no t f oll ow i n g r u le s li k e c om p a ni e s m u st
r e ca ll a ca r if it i s d ef u nc t o r c omp a n ie s s h oul d p r od u ce sa f e ca r s m a x imi ze s
ov e ra l l ha p p i ne ss . Si n ce t h is s e e m s t o b e t he ca s e, F o r d w a s e t hi c a ll y obl ig a t e d t o
r e ca ll t he ca r , b e ca use t hi s i s r e q uir ed b y r ul es f r om w hi c h e ve ry o n e i n t he s o ci e t y
w o ul d b e ne f i t m o st in t he l on g ru n. So, i n t h e c a s e of r ule ut i l it a r i a ni sm , t he f a c t
t ha t a n a ct i o n m a x imi z e s ut i li t y o n a pa rticular o c ca si on d oes not s ho w t ha t it i s
r ig ht f r o m a n e t hi ca l p oi nt of vi e w .

3.8 Kan ti a n th e or y

A c co rd i ng t o d ut y e t h i c s (a l s o k now n as de o nt ol og i ca l e t hi c s) , a n a ct i o n is m o ra l l y
r ig ht i f it is i n a g r ee m ent w it h a m or a l r u le ( l a w, n or m, o r p r i n cip le ) t ha t is
a p pl ic a b le i n it s el f , i n de p e nd e n t of t he c o ns eq u e n ce s of t ha t a c t i o n. T her e a r e t w o
im p or t a nt p oi nt s of d if f e r e nc e b e t w e e n t h e v a r io u s d ut y e t hi c s t he ori e s. F i r st ,
som e t he or ie s re ly o n one ma i n p r i n cip le f r o m w hi c h a l l mo r a l n or m s ca n b e
d e ri ve d ( mo ni st ic d ut y e t hi cs ) . O t he r t he ori e s, t he p l ur a l is ti c t he or ie s, a r e b a s e d
on se v e ra l p r i nc ip l es t ha t a pp l y a s no r m s f o r mo ra l a c ti on. A s e c o nd im po r t a nt
d if f e r e n ce c o nc e r ns t h e f ou nd a t i on or or i g i n of t he mo r a l r ule s. T h e se r u le s ca n b e
g i ve n b y G od , s u ch a s in t he B ib le or t he Ko r a n, o r t he y ma ke a n a p p e a l t o a s oc ia l
co nt ra ct t ha t t he i n vol ve d p a r t ie s ha ve i m p l i c it l y a g re e d t o ( e . g . a c om pa n y c od e ),
or t h e y a re b a se d on r e as o na b le a r g u me nt s.

T he mo s t w e l l -k no w n s y st e m of d ut y et hi c s ha s be e n de ve l op e d b y I mm a n ue l K a nt .
Si n ce Ar i s t ot l e, t h e ba s es for e t hi c s ha d b e e n s ou gh t i n s t r i vi ng f o r ha p p i ne s s or
w e lf a r e ( e . g . B e n th a m a n d M i l l) . A c c or d in g t o K a nt , mo r a l la w s or no r ma t i ve e t hi cs
ca nn ot b e ba s ed o n ha p p i ne s s. Ha p pi ne s s is a n in d i vi d ua l ma t t e r a nd c ha ng e s f or
e a c h pe r so n d ur i n g hi s /he r l if e t i m e . M or eo ve r , it is ha r d t o d e te r m i ne w ha t
in cr e a se s ha pp i ne ss , s o s t ri v in g f or ha p p in e s s ca n e ve n l e ad t o i m m or a li t y. T h us ,
K ant a r gu e d th a t du t y w a s a be t t e r g ui d e f or e t hi cs.

A c or e not i on i n K a nt i a n e t hi cs is a ut on om y . I n Ka nt s op in io n ma n hims elf s ho ul d

b e a b l e t o d e t e r m i ne w ha t i s m or a l l y c or r e c t t hr ou g h r e a s o ni ng . T hi s s ho ul d b e
p o ssi b l e i nd e p e nd e n t of e xt e r na l no rm s, s u c h a s r el i g i o us n or ms . The id e a b e h in d
is t ha t w e s hou ld p la c e a m or a l nor m u p on o ur se l ve s a nd s h o ul d ob e y it : it is o u r
duty . We s ho ul d ob e y t hi s n orm o ut of a se n se of dut y out of r e s p e c t f o r t he
mor a l n orm . I t is o nl y t he n t ha t w e a r e a c ti ng w i t h goo d will . A c c o r d i ng t o Ka nt ,
w e ca n s pe a k of g o od wi ll if our a c t io n s a re l e d b y t he mor a l n orm . T h us , th e
no ti on of g oo d w i ll i s d if f e r e nt f r om ha vi ng g ood int e nt i ons.

Si n ce a m ora l no r m ha s va l id i ty i nd e p e nd e n t of t i m e a n d p l a c e , it me a ns tha t a
mor a l n orm i s unc ond i t io na l l y a p p l i c a bl e ( or c a te g o r i ca l l y ap p li ca bl e ) t o e ve r y o ne
in a ll cir c um st a n ce s i n K a nt s v ie w . O f t e n a no r m f ol low s t h e f or m of t ho u s ha l t ,
su c h a s t h o u s ha l t n ot k ill , or t ho u s ha lt n ot li e . I n c ont r as t t o a ca t e go r i ca l
no rm , a h y p ot he t i ca l ( co n di t io nal ) no rm onl y ap p li es und e r c er t a i n ci r c um s ta n ce s.
A hy p o t he t i c al nor m u sua ll y ha s t he fo l l ow i n g s ha p e: if y o u w i s h t o a c hie ve t hi s
g oal , t he n yo u w il l ha ve t o a c t i n t hi s w a y . An e xa mp l e of s u c h a no r m is if y o u
d o not w is h t o b e t r a y yo u r fr ie nd , t he n y o u ma y n ot li e , i n w hi c h t he r ule of
b e ha v i our ( yo u m a y n ot lie ) i s no t u nc ond i t io na l b ut ca n o nl y b e a p p l ie d u nd e r
ce r t a i n c ond it i on s ( y o u do n ot w i s h t o b e tr a y y our f r ie nd ).

3 . 8 .1 Categor ica l imp erative

A c co rd i ng t o K a nt t he r e i s o ne un i ve r s a l p r i nc i p le f ro m w hi c h a ll m or al no r ms c an
b e d e r i ve d , w hi c h ma k e s hi s e t hi cs a m o ni st i c du t y e t hi c s. T hi s p ri nc ip le , w hi c h is

59
t he f o u nda t io n of a l l mor a l j ud g me nt s i n K a nt s view , is r e f e r r e d t o a s t he
ca t e g or i c al im p e r a ti ve . An im p e r a t i ve is a p r e s c ri be d a ct i on or a n ob l ig a t or y r ul e.
B y ar g u i ng r e a s o nab l y , a n y r a ti on a l p e r so n s ho u ld be c a p a b l e of jud g i ng w he t he r
a n op t io na l a ct io n is mor a ll y r i g ht . T he ca t e go r i cal im p e r a t i ve w a s f o r m ula t e d b y
K ant i n d if f e r e n t w a y s .

T he f ir st f orm ulation o f the cate gori cal im per ative, t he u nive rsa lity
prin ciple, is as f ol low s :

A ct o nly o n t ha t m a xim w hich yo u c an at the sa m e t ime wi ll t ha t it s h ould

becom e a unive rsa l l a w.

A ma xim i s a pr a ct i c al pr i nci p le or p r op o si t i on t hat p r e s c r ib e s s ome a ct io n. K a n t

st a t e s t hat t he m a x im s ho ul d b e un c o nd i ti ona ll y g ood , a nd s h oul d b e a b le t o s e r ve
a s a g e ne r a l la w f or e ve r y one w it hout t hi s g iv i ng ris e t o c ont r a d i ct io n. We m us t
ob l ig e o ur se l v es to f o l l ow g e ne r a ll y a p p li ca b l e la ws. P e r ha p s a w o ma n d e c i d e s t o
r e c y cl e he r b ot t l e s a n d ca n s t o h el p t he e nv i ro nm e n t . She s h oul d a sk he r se lf
w het he r t he ma xim or r ul e be hi nd he r a ct io n t ha t o ne s ho ul d r e c y cl e c ont a i ne rs
t o he l p t h e e n vi r o nme nt c o ul d b e a p p l ie d t o al l pe op l e. I n t hi s ca se , t he r e i s n o
a p pa r e n t p r o bl e m . She c o uld co ns is t e nt l y w is h t ha t e ve r y one f oll ow t he r u le or
ma xi m b eh i nd he r a ct i on. H owe ve r , w he n y o u b r e a k a p r om is e t hi s i s d if f e re nt .
So me t i me s p e op l e ar e in a sit ua t io n w h e r e i t w o ul d b e m or e co n ve ni e nt t o b r e a k a
p r om i se . S a y t ha t one w o nd e r s w he t he r i t i s mor a ll y a c c e p t a b le t o b r e a k o ne s
p r om i se . T he m a xi m o f t he a ct i o n t o b e und e rt a ke n i s I m a y b r e a k m y p r om i s e s
w he n d o i ng s o i s co n v eni en t f o r m e . Th e ca t e go r i ca l im p e r a t i ve s t a t e s t ha t i t i s
mor a ll y a c c e p t a b le if I ca n w i s h e ve r y o ne t o br e a k t he i r p r om ise w i t h out
co nt rad icti on . B re a k in g a pr omi s e is o nl y p os si b le i f p e op l e t ru st i n t he c us t om of
ma k i ng ( an d ke e pi ng ) pr o mi s e s. If b r e a k i ng a p r om ise w he n co n ve ni e nt b e c ome s a
g e ne r a l l aw , n o o ne w ou ld t r us t a n yb od y t o ke e p a pr om i se . T he c on t ra d i ct i on now
is t ha t yo u ca n n ot w is h t o b re a k a p ro mi se a nd w a nt t he b r e a ki ng of p r om is e s t o
b e c om e a ge ne ra l la w . If t he l a t t e r w er e t o b e c ome t r ue t h e n p r o mi se s wo u ld lo se
t he i r m e a ni ng a nd i t w ou ld be n o us e t o ma k e a p r o mi se , s o t ha t y ou co ul d not
b r ea k a p r om is e i n t he f i r s t p la ce .

A c co rd i ng t o K a nt, t he ca t eg or i ca l i mp e ra t i v e a l s o i m p li es a p os t u l a t e of e q ua l a nd
u ni ve r s a l hum a n w ort h . His re f le ct i ons o n a ut o nom y a nd se l f -l e g i s l a t io n le a d him
t o a r g ue t ha t t he f r ee w il l of a ll r a t io na l b e i ng s i s t he f u nd a m e n t a l g ro u nd of
h um a n r ig ht s. T he e q u a li t y po st ula t e i s d e f i n e d a s t he p r e s c r i pt i on t o t r e a t pe r s on s
a s e q ua l s, t ha t i s , wi t h e q ual c o nc er n a nd r e sp e c t . 79 T o r e co g ni ze t ha t h um a n
b e i ng s a re a ll eq ua l d oes not me a n ha v i ng t o t r e a t th e m i de nt ic a l l y in a ny r e sp e c t s
ot he r t ha n t hos e i n w h ic h t h ey c le a rl y ha ve a mo r a l c la i m t o b e t re a t e d a l i ke .
O p i ni o ns d i ve r ge co n c e r ni ng t h e q ue st i o n w ha t t he se cl a i ms a m ou nt to a n d h ow
t he y ha ve t o b e b a la nc e d w it h co mp e t i ng c l a i ms ( b a s e d on, e . g . , th e p r i nc ip l e of
f r e ed om) . F or e xa m p le , ho w s ho uld g oo d s b e di st r i b ut e d if w e s e t ou t t o t r e at
p e op l e a s e q ua l s ?

T he se c on d f or m ula t i o n of t he ca t e g or ica l im p e r at i v e i s, a c co r di ng t o Ka n t ,
e q ui va le nt t o t he f ir st .

T he se con d f orm ula tio n of the ca tegor ica l im perat ive, t he re cip ro ci ty
prin ciple, is as f ol low s :

A ct as to trea t huma n ity, wh et her in you r own per so n o r i n t hat o f an y

ot her, in e very cas e a s a n e n d, n ever a s m e ans o n ly.

79
D w o r k in ( 1 9 7 7 , p . 3 7 0 ) .

60
Hu ma nit y i n t hi s ve r s i on of t he imp e r at i v e i s p re s ent e d a s e q u i va l e nt t o r ea s on or
ra t i ona lit y , f or h um a ns d i ff e r f r om t hi ng s w it hout r e a s on ( ob je ct s a nd a ni ma ls)
b e ca us e huma n s ca n t hi nk. T his i mp e r a t i ve s t a t e s t ha t e a c h hum a n m ust h a v e
r e sp e c t f or t he r a t io na l it y of a no t he r a nd t ha t w e mu st n ot mi sg ui d e t he ra t i ona li ty
of a no t h er . I n ot he r w or d s , K a nt h e r e s t r e s s es t he r a t i o na l na t ure of hu ma ns a s
f r e e, i nt e ll i g e nt , s e l f -d ir e ct i n g b e i ng s. I n sa yi ng t he y mu st ne v e r b e t r e a t e d a s a
me a n s o nl y, he m e a ns t ha t we m us t no t m e r e ly u se t he m a s me a ns t o o u r se lf i s h
e nd s . T he y a re n ot ob j e ct s or i nst r ume nt s t o b e u se d . T o us e pe o p le i s t o
d is r e s p e ct t he i r hu ma nit y. Sa y I b or r ow m o ne y f r om s om e one a nd p r om i se t o pa y
hi m b a c k a lt ho ug h I k no w t ha t I w i l l n ot d o so. I n t hi s ca s e, I a m us i ng t he p e rs on
I ma d e a p r om ise t o a s a me a ns a nd not a s a g oa l . I a m m i sl e a d i n g him, or I a m
mi s le a d in g hi s r at i ona l i t y. I ha ve p r o vid e d i ns uf f ic ie nt i nf or ma t i o n ab o ut th e f a ct
t ha t I w il l not ke e p m y p r omi s e , s o t h a t he ca nn ot m a ke a r a ti ona l c hoi c e . P r o ba b l y
he wo ul d n ot ha ve le nt m e m one y if he ha d k now n t hat I d i d n ot i nt e nd t o p a y h im
b a c k. I use his r a t io na lit y a s a me a n s t o a c hi ev e m y ow n a im. T he r e c ip r o cit y
p r i n ci p le is st ro n g l y a nti -p a t e r na li s t i c b y na t ur e ( o n pa t e r na l is m s ee c ha p t e r 1 ) ,
si nc e, a p e r s o n a s a r at i on a l b e i ng s ho ul d ha ve t he ri g ht t o m a k e u p he r o r hi s
ow n m in d.

T he r e ci p r oc it y p ri nc i p le t e l l s us t ha t w e s ho ul d re sp e c t p e op le as p e o pl e , a nd not
us e t he m . H ow e ve r , w e ne e d t o be ca r e f ul i n i nt e rp r e ti ng t he i d ea of u si ng
p e op l e, or t re a t i ng pe op l e me r e l y a s a m e a n s. T he d if f e r e n ce b e t w e e n tr e a t i ng
som e o ne as a m e a ns v e r s us t r e at i ng s ome o n e as a m ere me a ns i s no t a l w a ys c l ea r -
c ut . Su p p os e s ome one ha s r el i g i o us o bj e c ti ons t o t a ki n g m e di ca t io n ( a C hr is t i a n
S cie nt ist , f or e xa m pl e) , a nd y e t t he d o ct o r f o r ce s t he p e rs on t o be m ed i ca t e d f or
t he p e r s on' s ow n g o od . N ow t he d o ct or i s t r e a t i ng th e p a ti e nt a s a me r e me a ns t o
t he p a t ie nt 's ow n we l f a r e p a r a do xi ca l a s it mi g ht s o u nd a n d t h a t i s
u na c ce pt a b le , a c co r di ng t o t he r e cip r oc it y p r i nc i p l e . Not e t ha t t o t r ea t so me o ne as
a n e n d d oe s n ot sim pl y me a n d oi n g w ha t he or s he w a nt s. I f a c o ns um e r a r g ue s
a b out t he p u rc ha se p r i ce of a c a r, a nd t he sa le sm a n d oe s not w a nt t o b ar g a i n
a b out t he p r i ce , t h is d oe s not me a n t ha t t he s al e sma n t re a t s t he c on s ume r not a s
a n e n d . If t he sa le sm a n inf or ms t h e c on s ume r a b o ut t he p r i ce of t h e ca r a nd t he
co n di t io n of t he c a r, t he s a l e sm a n t r e a t s t he c o ns um e r a s a me a n s a nd a s a n e nd .

Im ma n u el Ka n t (1 72 4 1 80 4 )

" Not h i ng ca n p o ss ib ly b e c on ce i v ed i n t he w or l d , o r e ve n out

of it , w hi ch c a n b e ca l l ed g o od , w it ho ut q ua l if ic a ti on, e x ce p t a
g o od w il l. I nt e ll i g e nce , w it , j u d ge m e nt , a nd t he ot he r t a le nt s
of t he mi nd , h owe ve r t he y ma y b e na m e d , o r co ur a g e,
r e s ol ut i o n, p e r se v e ra n ce , a s q ua l it ie s of t e m p e ra m e n t , a re
u nd ou bt e d l y g o od a n d d e si ra b le i n ma n y r e s p ec ts ; b ut t he se
g if t s of na t u r e m a y a l s o b e c om e e xt r e me l y b a d a nd
mi s c hie v o us if t he w i ll w h i ch i s t o ma k e us e of t hem, a n d
w hi c h, t he r e f or e , c o ns t it ute s w ha t is ca l l e d c ha r a ct e r , i s n ot
g o od " ( K a nt , 1 7 85 ) .

I mma n uel Ka nt , on e o f the m ost i nf l ue nt i a l p hi l os op he r s i n hi s to r y , w as t he f o ur t h

of ni ne c hi ld re n b or n t o a p o or sa d d le ma k e r . H e w a s b o rn i n 1 7 24 in t he
u ni ve r s i t y cit y of K o ni ng sb e r g e n i n E a st P r u ss i a , w hi ch wa s a r i c h t r a di ng p la ce a t
t he t i me . He wa s b r o ug ht up i n a t ra d it i on o f de vo ut C hr i st ia nit y t ha t he s t r on g l y
r e j e c t ed i n l at e r lif e . A f te r c omp le t in g pr e - uni ve r si t y e d u ca t io n h e f ir st st udi e d
t he ol og y a n d t he n p hil os op h y, ma t he m a ti c s a nd p h ys ic s in K o ni ng s b e rg e n. Af t e r
co mp l e t i ng hi s s t u d ie s i n 1 7 46 , he be ca m e a t e a ch e r f or v ar i o us f a mi li e s. F r om
1 7 55 , w hen h e a t t a i ne d t he t it le of Ma g i s t e r , he be ca me a p r i va t e t e a c he r a t t he
U ni ve r si t y of K on i ng sb e rg e n. At 4 6 he a c ce p t ed a p rof e s so r s h ip i n l og i c a n d

61
me t a p hys i cs . H e ha d g r e a t a d mi r at i on f or t h e e nl i g ht e ne d ki ng F r e de r i c k t h e Gr e a t
of Pr u ss i a , b ut i n 1 79 4 he c am e i nt o co nf l ic t w i t h t he K i ng s s uc ce s sor d ue t o hi s
t he ol og ic a l p hi l os op hy . He va l i a nt l y d e f e nd e d t he ri g h t of s c i e nt i st s t o t hi n k i n
f r e ed om a n d t o p ub l i s h f or f e ll ow s c hol a r s. K a nt d ie d a t t he a ge o f 8 0 ( 1 80 4 ) . H i s
li f e wa s k n ow n t o b e h ig hl y d is c ip l i ne d he ha d a g r ea t f e r v ou r f or w or k a nd a
st r i ct d a il y r o ut i n e. T h e i nha b i t a nts of K o ni ng sb e rg e n c o ul d se t th e c l oc k b y t he
t im e, w he n K a nt p a s se d b y f or h is d a il y wa l k . T he re a so n f or t h is w a y of l if e w as
hi s p o or p hy si c a l he a l t h, w hi c h he t r i e d to i m p r o ve t hr o ug h h is s t r i c t r o uti ne.

K ant 's t he or y of mi nd r e p r e se nt s a t ur ni ng p oi nt i n t he h is t or y of p hi l os op h y, si n ce
it r a d i ca l l y r e v i s e d t h e wa y t ha t w e a ll t hi n k a b out h um a n k n ow l e d g e of t he w o rl d.
He b ui lt his s y s t em a ti c t he o r e t i ca l p h il os op h y ar o u nd t he i d ea t ha t t he wo r l d a s w e
e xp e ri e n ce i t d o e s n ot e x is t i nde p e nd e nt l y o f u s. O ur ow n mi nd s a r e r e s p o ns ib le
f or i t s f or m a nd s t r u ct ur e . T h is i nt r od u ce d t he h uma n m i nd a s a n a ct i ve o r i g i na t or
of e xpe r ie n ce r at he r t ha n j us t a p a s si ve r e ci pi e nt of pe r ce p t i o n. A s K a nt p ut s i t , it
is t he r e pr e se nt at i on t hat ma ke s t he ob je ct p o ssi bl e ra t he r t ha n t he ob je ct t ha t
ma ke s t h e r e p r e se nt a t io n po ss ib l e . T hi s id e a , in hi s w or d s, e f f e ct e d a Co p e r ni ca n
r e v ol ut i on. B e fo r e Ni c ol a us C ope r n i cu s ( 14 7 3 -1 5 4 3 ) t he f ou nd e r of mo d e r n
a st r onom y a st r on om i ca l d a ta w e r e e x p la i ne d b y as s umi ng t ha t t he s u n r e v ol ve s
a r ou nd th e e a rt h. Re v e r si n g t hi s , C op e r ni c u s e xp l a i ne d t he d a t a b y t a k i ng th e
e a r t h t o re vo lv e a r ou n d t he s u n. I n m or a l ph i lo so p hy, K a nt p r op ose d a n e q ua l l y
r e v ol ut i ona r y i d e a . I n mor a l it y w e a r e n ot r e qu i re d t o ob e y la w s i m p o se d b y G od or
e t e r na l m or a l p r i nc ip le s; i ns t e a d we m us t u n de r s t a nd m or a li t y a s r e st i ng o n a l a w
t ha t s p r i n g s f r om ou r ow n p ra ct i ca l r a t i o na li t y. Ka nt s e t h i cs, w hi c h he ex p o u nd e d
in t he Crit iq ue of Prac tica l reas o n ( 1 78 8 ) a n d t he e a rl ie r Gr ou n dwor k of t he
Metap h ysics of M oral s ( 17 9 0 ), w a s b a se d o n t he p r i nc ip l e k now n a s t h e ca t e g or i c al
im pe r a t i ve , a n u nco n d it i ona l ob l ig a t i on d e r i v e d fr om t he co nce p t o f d u t y.

3 . 8 .2 Criticis m of Ka nt ian theo ry

T he r e a r e t w o p r i m ar y c r it i c is m s of K a n ti a n t he or y. A c co rd i ng t o K a nt a l l m or a l
la w s c a n b e de r i ve d f r om t h e ca t e g o r i ca l i m p e ra t iv e . T h e q ue st io n ar i s e s w he t he r
a ll t he se la w s f or m a n u na m b i g u ous a nd c o ns is t e nt s yst e m of no r m s. O f t e n t he re
a r e s e ver a l c ont r ad i c t or y n or m s , a s w e s aw e a r li e r i n t he ca s e of t he w h ist l e -
b lo w e r. A not he r e xa m p le i s t he si t ua t io n i n w hi c h o ne ca n o nl y s a ve o ne s f r i e n d
f r om a n e m e r g e nc y s it uat i on b y l yi n g . I t m e a ns b r e aki ng a nor m : e it he r y o u b re a k
t he n or m t ha t yo u m us t al w a y s sp e a k t h e t r u t h or yo u b r e a k t he no r m a b o ut
he l p i ng p e op le w he n t he y ne e d i t. I n Ka nt s t he or y t h er e is no s u c h t hi ng a s
b e nd i ng a ru le . K a nt d oe s not a l l ow f or a n y e x ce p t io ns i n hi s t he or y.

T o c op e w it h t h is pr ob le m, Wil l ia m D a v id Ro ss d e ve lop ed a p lu ra l i st i c t he or y of
mor a l ob l ig a t i on s. 80 Ro s s s t a t e s t ha t g ood i s of t e n si t ua t ed o n t w o le ve l s : w ha t
se e m s t o b e go od a t f i r st a n d t ha t w hi c h i s g oo d onc e w e t a ke e ve r yt hi ng i nt o
co n sid e r a t i o n. T he n or m s of t he f ir st le ve l a r e ca ll e d prima fa cie no rm s a nd t h os e
of t he se c on d l e ve l a r e c a l le d self -e vident n orm s ( d ut ie s s a ns p hr a se ) . Us ua ll y,
t he pr im a facie n or m s a r e ou r se lf -e vi d e nt n orm s, b ut t his d oe s no t n e c e s sa r i l y
ha ve t o b e th e ca s e . A n e xa m p le ca n i l l ust ra t e t hi s. Sa y y ou p ro m i s e y o ur st ud e nt s
t ha t yo u w i l l c he ck t he ir w or k b y t he e nd of ne x t w e e k. La te r o n, a g o od f r i e n d of
yo u rs g e t s in t o t r o ub l e an d nee d s a i d. T he f a ct t ha t yo u ha v e p ro m i se d t o c he c k
t he w o r k d oe s no t d i sa pp e a r . Bo t h no r ms a r e p r im a f a ci e no r m s, b u t u p o n c l o se r
in sp e ct io n o nl y th e nor m yo u m us t he l p yo ur f r i e n d i s a s e l f -e v id e nt nor m w hi le
t he o ne ( yo u mu st k e e p you r p r o mi se ) is n ot .

N ot e tha t her e t oo w e ha ve t o w ei g h t he di f f e r e nt n or m s: t he n or m to k e e p one s

p r om i se a nd t he nor m t o he l p a f r i e n d. We a r e ne ve r c e rt a i n t hat t he n or m w e

80
Ross (1930).

62
id e nt if y a s t he se l f -e vi d e n t on e t ru l y i s t he s el f -e vi de nt nor m. H ow w e s ho ul d
w e ig h t h e nor m s re ma i ns unc l ea r her e t oo. R os s st a te s t ha t o ur c ho i ce s a r e n e ve r
mor e t ha n c ons i d e re d j udg me nt s. T ho ug h t h i s i s p er ha p s not ve r y s a ti sf a ct or y, i t
d oe s p a y r e sp e ct t o t h e c om p le xit y of our m ora l w or l d . E xa m p le s o f re g ula r prim a
facie n or m s t ha t a r e c om m o n i n d ut y e th i c s in cl ud e t he f o ll ow i ng :
- N or m s c on ce r ni ng f a it hf ul ne s s: fr e e l y g i ve n p ro mi se s s h ou ld be k e p t .
- N or m s c on ce r ni ng r e ci p r oc it y: t hi s ca n r e f e r t o t hi ng s l i ke t he G ol d e n Ru le
in a p os it i v e or a ne g a t i v e s e ns e ( t r e a t ot he r s a s yo u wo ul d li ke t o b e
t r ea t e d / d o no t t re a t ot he r s a s yo u wo u ld n ot l i ke t o b e t re a t e d y ou r se lf .
- N or m s of sol i da r it y: he l p p e op l e i n ne e d r eg a r dl e ss of t he i r a c hie v e me nt s o r
us e f u ln es s t o s o ci e t y or t o y ou a s a n i nd i v id ua l.

A se c o nd p r ob l e m i s t hat d ut y e t h ic s , a nd t hus K a nti a n t he or y, of te n e l i c it s t he

ob je ct i o n t ha t a r ig i d a d he r e n ce t o mo r a l r ul e s ca n m a k e p e o p le b l in d t o t he
p ote nt ia l l y ve r y ne g at i ve c onse q ue nc e s of t h e ir a c t i o ns , as be c ome s cle a r i n t he
ca s e sk e t ch e d be l ow .

Ca s e: Chi l d l ab o ur

T he S o cia l i st P a r t y ( SP ) i n t he Ne t he r la nd s st a r te d t o b o yc ot t I K EA in 1 99 8 a nd
d e ma nde d t ha t I KE A g ua ra nt e e t ha t ch il d r e n w o ul d ne ve r b e i n vo l v e d w it h t he
p r od uc t i on of I KE A p r o du ct s. A c co r d i ng t o so me a d v oc at e s f o r c hi ld w o rk e r s,
ho we ve r , su c h as T he o K ni p p e n b e r g f r om C hi l d Ri g ht Wo r ld w id e , s u ch b o yc ot t s ca n
a ct ua l l y ha r m t he c hi l dr e n in q ue st i o n, if t h ei r f a m il i es ha ve n o ot he r m e a n s of
su r vi va l. 81 Kn i pp e n be r g ha s f o u nd t ha t m a ny a ct i o ns t a ke n a g a ins t c hi l d l ab o ur i n
t he p a st ha ve e n d e d u p d oi ng m or e ha r m t h an g o od , be ca us e t he y t a k e a w a y a
r e la t iv e l y g o od o p p or t uni t y f or c h ild r e n t o p r o vi d e t he m se l ve s a li vi ng . A s a r e s ul t
of l os i ng a jo b, m a n y of t he se c hi l d re n e nd up i n sla ve ry o r p ro st i t ut io n. M or e ove r ,
t r ad e a nd i nd ust r y c a n c o nt r i b ut e t o t he imp r o ve m e nt of t he w or k i ng c o nd it i o ns of
t he c hi ld re n, s u c h a s w or ki n g t ime s , m e d i ca l ca r e , t r a i ni n g , e t c .

T hi s ca s e d e m ons t r a t e s, o n t he o ne ha nd , t h e va l ue of a dh e r i n g t o a s t r i ct m or a l
p r i n ci p le : t ha t c hil d l a b o ur s ho u ld not b e c o nd o ned. T he S P b e l i e v e s i n t he mo r a l
f or c e of t hi s p r i n ci p le , r e g a r d le s s of t he c on se q ue nce s , a s is a l s o w i t ne s se d i n
K ant ia n t he or y. O n t he ot he r ha nd , ut i l it a ri a ns e m pha s i ze t he ne ga t i ve
co n se q ue n ce s of s u c h st ri ct a d he r e n ce t o p ri nci p le . A c c or d in g t o K ni pp e nb er g ,
b r ea c hi ng t he p r i n ci p l e c o u nts f or not h in g i n t he fa ce of t he c o ns e qu e n ce s of
a b ol is h i ng c hil d l ab ou r . A s t hi s e xa mp l e sh o w s, b ot h t he or ie s g e ne r a ll y ap p e a l t o
ou r m or a l i nt u it i o ns, b ut t h e y c a n b e c ome d i a me t r ica ll y op p o se d c on ce r ni ng t he
mor a l co r re ct ne ss of a n a c t i on. R os s a p p r oa c h co ul d of f e r a s ol u ti on t o t he r i g id it y
of Ka nt ia n t he or y. A c c or d i ng t o Ro ss t he re a so n w hy a no rm is a s e lf -e vi d e nt n or m
d e pe nd s o n t he s it ua t i on i n w h ic h o ne f i nd s on e se lf. We m ust d o w ha t i s m or e of a
d ut y i n a g i ve n s it ua t i on. T he pr im a facie n o rm c hi l d l a b ou r i s n ot pe r m i tt e d i s
no t a se l f -e vi d e nt nor m i n t h is si t ua t i o n, b e c a use t he sit ua ti on ca l ls f or us t o
p r ov i de a g ood f ut ur e f or t he c hi l d re n a nd p r eve nt t he m f r o m b e c o mi ng sla ve s or
p r os ti t ut e s. T he no rm c hil d re n s hou l d n ot b e f or c ed in t o sl a v e r y o r p r os t it ut i on
w o ul d b e t he s el f -e vi d e nt nor m i n st e a d of c hi ld lab o ur is not p e r m i t t ed .

3 . 8 .3 A pplyin g Kan ts t heor y t o th e F ord Pinto cas e

T o a p p l y K a nt s f ir st c a t eg o r i ca l i mp e ra t i ve , t he un iv e r sa li t y p r i n ci pl e , t o t he F or d
P in t o c as e , w e m u st e xa mi ne w he t he r t he m a xim of F or d: Fo r d wi l l m a rk e t t he
F ord P i nt o, kn ow in g t h a t t he ca r i s u nsa f e a n d w i t ho ut i nf or m i ng t h e c o ns um er s
ca n b e u ni ve r sa l i ze d. T o d o t h is w e ha ve t o e xp l a i n w he t he r t h is m a xi m ca n
b e c om e a uni ve r sa l l a w, a nd c a n b e w i ll e d w it ho ut co nt ra d i c t i on. T he u ni ve r sa l la w

81
K n ip p en b er g ( 1 9 9 9 ) .

63
w o ul d r e a d a s f ol l ow s: M a r ke t i ng un sa f e ca r s w i t h out i nf or m i ng t h e c o ns um e r s i s
a ll ow a b l e . I f t hi s w e r e t o b e a u ni ve rs a l la w ma r ke ti ng a ca r w ou ld b e com e
im p os s i b le b e ca us e no r a ti ona l p e r s o n w ou ld b uy a ca r a n ym or e , b ec a us e he or s he
ca nn ot t r us t t ha t hi s c a r w ou ld b e s a fe . I t m a y b e c l e a r t h e n t ha t t he ma x im
ca nn ot b e un iv e r sa l i se d a nd s ho ul d t h e r ef or e not b e f ol l ow e d b y F or d .

T he se c on d ca t e g o r i ca l i m p e r a t i ve , t he re ci p r o cit y p r in c ip l e , t e l l s us t ha t p e op le
sh o ul d not b e t r e a te d a s m e r e me a ns. As w e ha ve s e en t hi s p r i n ci p le i m pl ie s
r e sp e c t f or p eo p le s m or al a ut o n om y i n ma k i ng t he i r ow n ch oi ce s . F r om t h is, i t
f oll ow s t ha t F or d s ho u ld ha ve i nf or me d it s c on s ume rs b e c a us e o t h er w i s e t he y
ca nn ot ma ke a n a ut o n om ou s r a t i o nal d e c i si on t o b uy t he ca r or n o t . If co n su me r s
ha d kn ow n w ha t F o r d k ne w a bo ut t he sa f e t y of t he F or d Pi nt o, t he y w o ul d p r o b a b l y
ha ve t h o ug ht t wi ce be f or e b uy i ng t he ca r . B y f a il i n g t o i nf orm t he m, t he ra t io na l
a g e nc y of t h e c on su m e r w a s t hus un de r mi ne d , a nd t hey w e r e us e d a s mere ly a
me a n s ( an d t hu s no t a s a n e n d ) t o a c hi e v e F or d s a im : i nc r e a s i ng F ord s t ur n o ver .
I t i s n ot j us t t ha t F or d e n d a ng e r ed p e op l e s l i ve s; r a t he r, i t i s t ha t F ord d i d so
w it ho ut i nf o rm i ng c a r d r i ve r s a b ou t t he r i s ks .

3.9 Vi r t u e e th i c s

Ut il i t a r ia n ism a nd Ka n t ia n t he or y b ot h a r e t he or i e s a b ou t cr i t e r ia co nc e r n i ng
a ct i o n. Ra t he r t ha n t a ki ng a c t i o n a s p oi nt of d e p a rt ur e f o r m ora l j ud g me nt , v i r t ue
e t hi c s f o cu se s on t he na t ur e of t he a c t i ng p e rs on. T hi s t heo r y i nd i ca t e s w hi c h g ood
or d e s i ra b le c ha r a c t er i s t i cs p e op l e s houl d ha ve or d e ve l o p a nd how pe op l e ca n
a c hie ve t hi s. Vi r tu e e t hi c s i s not e x cl us i ve l y a imed a t re a so n, a s t he p r ev i o us tw o
t he or ie s w e r e , b ut is m or e a mi xt ur e of e t hi cs a nd p s y c ho l og y w i t h a n e mp ha si s on
d e v e l opi ng c ha r a c t e r t r ai t s.

V ir t ue e t hi cs i s ba s e d on a n ot i o n of hu ma nk i nd i n w hi ch p e op le s c ha ra ct e r s ca n
b e sha p e d b y p r ope r n ur t u re a nd e d u ca t i o n, a nd b y f oll ow i ng g ood e xa m p le s. T he
ce nt ra l t he me is t he d e ve l o pm e nt of pe r so n s i nt o m ora l l y g o od a nd r e s p on si bl e
in d i vi dua ls s o t ha t t he y ca n le a d g oo d l i ve s. T o t hi s pu r p os e, d e ve l op i n g g o od
c ha r a c te r t ra i t s, b ot h i nt e l le ct ua l a nd p e r s ona l c ha r a ct e r t r a it s, i s e sse nt i a l. T he se
c ha r a c te r i s ti cs a r e ca l l e d vi r t ue s . T he y not o nl y i nd i ca t e ho w t o l e a d a g ood li f e
b ut a l s o w ha t a g oo d l if e i s. E xa mp le s of v ir t ue s ar e r e lia b il it y, hon e st y,
r e sp ons i b i li ty, s ol i d a ri t y, co ur a g e, h um ou r a nd b e in g j ust .

3 . 9 .1 A risto tle

V ir t ue e t hi cs st e ms f r o m a lo ng tr a d it io n a nd w a s alr e ad y p o pu la r i n a n cie nt
Gr e e ce w i t h p h il os op h e rs l i ke S oc ra t e s, P la t o a nd Ar i st ot l e. A r is t ot le w a s t he f ir st
t o de f i ne v ir t ue e t hi cs as a fi e ld of i nq uir y i n itse l f. A c co r di ng t o Ar i s to t le , t he f i na l
g oal of h u ma n a c t i o n i s t o s t r i v e f o r t he hig h es t go od : eu dai mo nia . Th is ca n b e
t r an sl a t ed a s t he g oo d l i fe ( or a s w e lf a r e or ha p p i ne ss ). T h is d oe s n ot r e f e r t o
a ha p p y c ir cu ms ta n ce t hat b r i ng s p l e a s ur e ( t he g oa l of cl a ss i c a l ut i lit a r ia ns) , b ut a
st a t e of b e i n g a g o od p e r s o n. I t me a n s le a d i ng a l if e a s huma n s a r e me a nt t o le a d
it ; o ne s h ou ld e x ce l in t h e t hi n g s t ha t a r e p a r t of b e i ng h uma n. A s on l y h uma ns
ca n r e a s o n, t hi s i s w h e r e ha p p i ne s s li e s. If w e w i s h t o b e co me ha pp y a s h uma ns
w e m us t us e ou r r e a s o ni ng t o i t s f ul l e st e xte nt . T he g ood li f e i s n ot o nl y
d e t er mi ne d b y a c t i vit i e s r e la t e d t o r e a so ni ng , b ut i s a ls o r e a l iz e d b y v ir t uo us
a ct i v i t ie s a c c or d i ng t o Ar i s to t le . T he g o od l if e t he r e f or e i s a n a ct i v e li f e i n
a g re e me nt w it h t he vir t ue s ne ce ss a r y t o r e a li ze one s u ni q ue l y h um a n pot e n ti a l.

64
Ari s to tl e (3 8 4- 3 22 B C )

Vi r t ue , t he n, i s a st a t e of c ha r ac t er c o nc e r n e d w i t h
c ho ic e , l yi ng i n a me a n, i. e . t he m ea n r el a t i ve t o u s, t hi s
b e i ng d e t e rm in e d b y a r at i ona l p r i nc ip le , a nd b y t ha t
p r i n ci p le b y w hi c h t h e ma n of p r a c t ic a l w is do m w o u ld
d e t er mi ne i t. N ow i t i s a me a n b e t we e n t wo vi c e s, t ha t
w hi c h d ep e n ds on e x c e ss a nd t ha t w hi c h de p e n ds on
d e f ec t; a nd a g a i n it is a m e a n b e ca us e t he v ic e s
r e sp e c t i ve l y f a ll s hor t of o r e x ce e d w ha t i s r i g ht i n b o t h
p a s si on s a nd a c ti o ns , w hi l e v i r t ue b ot h f i nd s a nd cho os e s
t ha t w hi c h i s i n te r me d ia t e . H e nc e i n r e s p e ct of it s
su b st a nc e a nd t he d e f i nit io n w hi c h s ta t e s i ts e s se nc e
vi r t ue i s a me a n, w i t h r e ga r d t o w ha t i s b e s t an d r ig ht a n
e xt r e m e ( Ar ist ot l e 3 5 0 B C) .

A ri st ot l e w a s b or n i n S t a ge i ra , M a ce do ni a i n 3 8 4 B C. H i s f a t he r w a s t he p e rs ona l
p hy s i ci a n t o t he M a ce do nia n Ki ng A m y nta s I I . As a r e s ul t , he w a s s om et i me s
r e f er r e d t o a s t he St a ge r i t e . H e ca me f r o m a fa m il y of d oc tor s, w hi c h p r ob a b l y
e xp la i ns his i nte r e st i n p hy s i c s a nd bi ol og y. I n 36 7 B C Ar i s t ot le e nt er e d Pl a t o s
a ca d e m y i n At he ns . He to o k l e s s on s t he r e f or tw e nt y ye a r s a n d t a u g ht t he r e
hi ms e lf . P ol it ica l ci r cu mst a n ce s ma d e hi m l e a ve At he ns i n 3 47 B C. He f i r s t m o ve d
t o A s s os (t he no r t h co a st of A s ia M i nor ) a nd t he n t o M it ule ne on t he i s la nd of
Le sb os. T he r e he b e ca me f a s c ina t e d w i t h a q ua t i c a ni ma ls. A ri st ot l e ha d a f a r
g r ea t e r in te r e st i n b io l og i ca l q ue st io ns t ha n hi s p r e d e c e s s or s . H e r e a liz e d t ha t t he
b io lo g y of hu ma ns c o u ld ne ve r b e u nde r st oo d w i t h o ut s t ud yi n g t he b i ol og y of l ow e r
a ni ma l s. Up unt i l t he ni ne t e e nt h ce nt ur y, A r i st otl e 's r e s e a r c h on w a te r a ni ma l s wa s
u ns ur p a s se d i n b i ol og i ca l l i t e r at u r e.

I n 3 4 3 BC , Ar i st ot le w e nt t o Pe l la i n Ma c ed o nia t o t a ke u p t he d ut y of r a is i ng t h e
t hi r t ee n y e a r -o ld Al e x and e r t he Gr e a t . D e s p i t e his e l ec ti on a s he a d of t he A ca d e m y
in 3 3 9, he w as onl y a b le t o r et ur n t o At he ns in 33 4 . Up t o 3 2 3 B C he ha d hi s ow n
p hi l os op hi ca l s c hoo l i n t h e L yc e um , w hi c h w a s s i t uat e d i n t he n or t h -e a s t of t he
ci t y. I t nam e , P e r ip a t os , is t a ke n f r om Ar i s t ot l e s ha bi t of t e a c hi ng w hi l e he w a s
w a lk i ng , so t ha t hi s p u pi l s w e r e of t e n re f e r re d t o a s wa l k er s ( p er i p a t ol) .

T he ne w s of t h e d e a t h of A le xa nde r t he G r e a t i n 32 3 B C re s ul t ed i n a s t r on g a nt i -
M a c e d on ia n r e s po ns e i n A t he ns, f or ci ng A r i st otl e t o f le e t o st o p t h e p e op le of
A th e n s c omm i t t i n g a s e c on d at r o c it y a g a i nst p hil os op h y . A r i st o t le w a s r ef e r r i ng t o
So c ra t e s t r ia l i n 3 9 9 B C . A ye a r l a te r , i n 3 22 B C, A ri st otl e di e d i n C ha l c is a g e d 63 .

A ri st ot l e i s o ne of t he m os t i mp ort a nt fo u nd i ng f ig ur e s i n Wes t er n ph i l os op h y. He
w a s t he f i r s t t o c r e at e a co mp r eh e n si ve s y s t em of We st e r n p hi l os op h y,
e n co mp a ss in g mor al i t y a n d a e st he t i c s, l og ic and s ci e nce , p o lit i c s a nd m e ta p hy si c s .
F or e xa m p l e, he i s c re d it e d w i t h t he ea r li e st st ud y of f or ma l lo g i c, a n d hi s
co n ce p ti on of it w a s t he d o mi na nt f or m of Wes t er n lo g i c u nti l 1 9 t h ce nt ur y
a d va nce s i n ma t he ma t ic a l l og i c. Hi s w or k E t hi ca Nicom ac hea i s on e of h i s mo st
a c ce s s i b le t e xt s. It is a ls o t he f i r st s y st em a t i c a p p r oa c h to e t hi c s i n We s t e r n
p hi l os op hy . T h oug h C h ri st ia n E ur op e i g nor ed h im i n f a vo ur of P la t o u nt il T h om a s
A q ui na s r e c onc ile d A r i s t ot l e s w or k w it h Ch r i st i a n d o ct ri ne , t hi s w o r k wa s t he
or i g i n of ce r t a i n t y pe s of p hi l os op hi ca l e t h ic s: t he s o- ca l le d ha pp i ne ss e t hi cs ,
w hi c h w as a d om i na n t ph il os op h y u nti l t he t i m e of Im m a n ue l K a nt .

E a c h m ora l vi r t ue (a l s o r e f e r r e d t o a s a c ha r a ct e r vi rt ue by A r is t ot l e ) ho ld s a
p o sit i o n of e q u il i b r i um ac c ord i ng t o A r ist ot l e . A m or a l vi r t u e i s t he m id d le c o ur se
b e t we e n t w o e xt r e m e s of e v i l; c our a g e i s b a l a nc e d b e t we e n c ow ar d ice a nd
r e c k le s s ne s s f or e xa m p le , g e ne r o si t y b e tw e e n st i n gi nes s a nd b e i ng a s pe nd t h r if t ,

65
a nd p r id e be t w e e n s ub se r vi e n ce a nd a r r og a nc e. T hi s i s a n e x p r e s s i on of a n o ld
Gr e e k no t i on: t he r e i s a ce r ta i n r a t io t ha t is e s se nt i al t o hu ma ns. I t m ust b e ke pt
in b a la n ce a nd s ho ul d no t l e a n t o t he l e ft o r ri g ht if o ne w i s he s t o a c hie ve a n
op t i ma l hu ma n s t at e . A c our a g eo u s p e r s on w il l not a ct a s a c ow a r d i n a d a ng e r ou s
si t ua t io n, b ut he /s he w ill a l so n ot b e re c kl e ss a n d i g no r e t he d a n g e r . A c co r d in g t o
A ri st ot l e , m ora l vi r t ue s a r e no t g i ve n t o us a t b i rt h nor a re t he y s u pe r nat ur a l; t he y
ca n b e d e v e l op e d b y d ee d s. I n ot h e r w o r ds , the y ca n be p r a ct ic e d j ust li k e a l l a r t s:
"Fo r t he t hi ng s w e ha v e t o l e a r n b ef or e we c a n d o t he m, w e le a r n b y d oi ng t he m ,
e . g . me n b e c ome b ui ld e r s b y b u il d i ng a n d l y r e p la ye r s b y pl a yi n g t he l yr e ; s o t oo
w e be c om e j u st b y d oi ng j u st a ct s, t e mp e ra t e b y do in g t e mp e r a t e ac t s , br a ve b y
d oi n g b r a ve a c t s ". 82

P e op l e m us t s e ek a mi d dl e c our se , b ut t hi s i s not a si m p l e ma t t er . A ri st ot l e
b e li e v e d t ha t p e op le k no w w ha t t he y w a nt i n st i nc ti ve l y, b ut n ot w h a t t he y sh o ul d
d o. M or e ove r , t he m i d dl e c our s e d e pe nd s o n t h e c i r c um st a n ce s i n a gi ve n
si t ua t io n. I n ot he r w or d s, w hat i s g oo d in o ne ca se i s not ne ce s sa r i ly s o i n
a not h e r . U nl ik e P la t o ( a nd, l a te r , Ka nt ), A r i st ot le a r g u e s t ha t t he g oo d i s
som e t i m e s a mb ig u ou s. H ow e ve r, p e o pl e ar e not p ow e r le s s i n f in d i n g t he mid d le
co u rs e . T he i nt e l le ct u a l vir t ue s ag a ci t y o r p ra ct i c a l w i sd om is ai m e d a t m a k i ng t he
r ig ht c hoi c e s f or a ct io n c onc e r ni ng wh a t is g oo d a nd us ef ul f or a s uc c e s sf u l l i f e .
A c co rd i ng t o A r i st ot l e , a w i se ma n ca n s e e w ha t he ha s t o d o in t he s p e c i f i c a n d
of t e n co mp le x c i r c um s t a nc e s of l if e . Sa g a cit y i mp lie s a c a p a ci t y f o r m ora l
j ud g m e nt , w hi c h is t h e mi d d l e co u rs e. M o ra l v ir t ue s a nd t he i nt e l l e ct ua l vi r t u e g o
ha nd i n ha nd .

T he i nf l ue nc e of A r is t o t le sp r ea d a c r o ss Sy ri a an d t hr o ug h t h e I sl a m ic w or l d . Fr o m
t he t hir t e e nt h ce nt ur y on A r i s t ot l e s w or k s t a r t e d to i nf l ue n ce E u r o pe t oo, b e ca use
t he C hr i st ia n p hi l o s op he r T hom a s A q ui na s ( 12 2 5 -1 2 7 4 ) r e c o nc ile d t he he a t he n
vi r t ue e t h i cs wi t h C hr i st ia n do ct r i ne . T ho ma s A q ui na s d is ti ng ui s he d se ve n v i r t ue s.
T he se i nc l u de t he fo ur ca rd i na l vi rt ue s of pr ud e n ce, t e mp e ra n ce , j us t i ce , a nd
f ort i tu d e . T he s e vi r t ue s ar e na t ur a l a nd r e ve a le d i n na t ure , a n d t h e y a re b i nd i ng
on e ve r y o ne . T her e a r e a l s o t he t hr e e t he ol o g i ca l v ir t ue s of f a it h, ho p e , a nd
c ha r i t y. T he se a re s up e r na t u ra l a nd a re d i s ti nc t f r om ot he r vi r t ue s in t he i r o b j e c t,
na me l y, Go d . F ro m 1 6 0 0 on vir t ue e t h ic s w a s f a l l i ng i nt o ob l i vi on b e ca us e a ne w
e t hi c s w a s a r i si ng t hat w a s f o c use d on r ul e s a nd p a id le s s a t t e nt i on t o v ir t ue s. I n
r e c e nt ye a r s t he r e is g r ow i ng i nt e r e s t i n t he ori gi ns of v i rt ue e t hi c s ; t h is is
p a rt i c ul a rl y d ue t o t h e i nf l ue nc e of t he p hil os op h er A li sd a i r M a cI nt yr e .

3 . 9 .2 Criticis m of virt ue et hics

Wil li am Fr a n ke na a r g u e s t ha t vi r t u e e t hi c s is not es se nt ia ll y di f fe r e nt f r o m d ut y
e t hi c s. 83 A c co rd i n g t o hi m ea c h vi rt ue is a c c o mp a nie d b y a m or a l r u le f or a ct io n
a nd t he re i s a v ir t ue f or e a c h mo r a l r ul e . H ow e ve r , i t ap p e a r s t ha t not a ll
ob l ig a t io n s t o a ct ca n b e r e d uc e d t o vir t ue s a nd vi ce ve r sa . V i rt ue s c ha ra ct e r iz e
t he p e r s on a nd pr o vid e i ns i g ht i nt o t he ba c k g r o und t o a ct i on. A p e r so n s g o od
c ha r a c te r t ra i t s do r a i se e xp e c t a ti o ns , b ut t he y d o not p r o vi d e a me a s ur e f o r
j ud g i ng a n a c t i on. F or ex a m pl e , t he a rg ume nt tha t t he a ct i o ns of a n e n g i ne e r a r e
mor a l b y de f i ni ti o n b e ca use he i s up s ta n d i ng a n d r el ia b le w i ll not r e a d il y be
a c ce p t e d i n a mo r a l d i sc us s io n. M or e ov e r , it is ha rd to c he c k w he t h e r t he e ng i ne e r
a ct e d w i t h p r op e r i nt e nt i o ns. S o, v i rt ue e t hi cs d oe s not g iv e co nc r e t e cl ue s a b o ut
ho w t o a ct w hi l e s ol v i ng a ca s e , i n c ont r a st w it h ut i l it a r ia ni sm a nd Ka nt ia n e t hi cs .
O p p os it e th is we ca n a rg ue t ha t ha v i ng t he r i ght vir t ue s do e s f a c i li t a t e re sp o ns ib l e
a ct i o n, a s w i ll be co m e e v i de nt i n th e Le M e s s ur i e r ca s e t h a t i s d i s c us se d b e lo w .

82
Aristotle (350 BC), 1130a.
83
F r a n k en a ( 1 9 7 3 ) .

66
F ina l l y, we ca n j oi n Ka nt i n w o nd e r i ng w he t h e r w e ca n s im p l y d e c l a re a mo r a l
vi r t ue t o b e go od i n it se lf w it h out a n y r e se r va t io n. K a nt s e xa m p le f or t his i s a c ol d
p s y ch op a t h w ho se v i rt ue s m od e ra t i o n of c on sc ie nc e a nd p a s s io n, s e lf co nt ro l a nd
co ol d e lib e r a t i o n m a ke h im mu c h m or e t e rr ib l e t ha n he w ou l d ha ve be e n w it hou t
t h os e vi r tu e s.

3 . 9 .3 V irtue s fo r m oral ly re sp on si ble e ng in ee rs

V ir t ue s a s r e li a b i l it y, h one st y, r e s p on si b ili ty a nd s ol id a r it y, a re q ui t e ge ne r al a nd
mos t a r e vi r t ue s t ha t m ora ll y re s po n si b l e e n g i ne e r s ne e d t o p o ss e ss t o o. If w e lo o k
mor e s p e c if i c a l l y a t t he v ir t ue s e ng i ne e r s ne e d , t he n w e m us t fo c u s o n e ng i ne e r i n g
p r a c ti ce . Mi c ha el Pr it c ha r d l is t s a nu mb e r of v ir t ue s t ha t a re m or e sp e c if ic t ha n
t h os e m e nt i one d ab o v e a nd t ha t a r e r e q uir e d f o r m ora l l y r es po n si b l e e n g i ne e rs
( se e b ox) . 84

V ir t ue s f o r m ora l l y r e s po ns i bl e e ng i ne e r s :
- e xp e rt i s e / p r of e s s i o nal i sm
- cl e a r a nd i nf o r ma t i ve co mm u ni ca t i on
- co op er a t io n
- w il l i ng ne s s t o m a k e c o m pr omi s e s
- ob je ct i v it y
- b e i ng o p e n t o cr it i c i s m
- st a m i na
- cr e a t i vit y
- st r i v i ng f or q ua l it y
- ha vi ng a n e ye f or d e ta i l
- b e i ng i n t he ha b i t of r ep o r ti ng o n y our w or k ca r e f ul l y

St i p ul a t i o ns i n pr of e s s io na l c od e s of c on d uc t of t e n re f e r t o s om e o f t he s e v i rt ue s.
T he p r of e s s i o nal c ode of co nd u ct of F E A NI ( F d r a t io n Eu r op e n ne d 'A s so ci a ti ons
Na t io na l e s d 'I n g nie ur s o r E ur op e a n F e d e ra t i on of N at i ona l E n gi nee r i ng
A ss o cia t i on s) re c og n iz e s s uc h v i rt ue s a s i nt e g ri t y a n d imp a r ti a lit y. A li s t of v ir t ue s ,
ho we ve r , doe s n ot sa y e xa c t l y how t he y a r e e xp r e s se d i n e n gi ne e r i ng pr a ct i ce , b ut
t he p r e se n ce of ce r t a i n vi r t ue s c a n ha ve a n im p or t a nt i nf l ue n ce on t h e q ua lit y a n d
e t hi ca l i nt e g ri t y of t he wo r k. (s ee b ox )

Ca s e: L eM es s u ri er 85

Wil li am LeM e s s ur ie r d es i g ne d t h e C it i c or p C e nt e r i n M a nha t t a n, w hi c h w a s b ui lt i n

1 9 77 . I t w a s a n i n nov a t i v e d e s i g n b e c a us e t he s k ys cr a p e r ha d to b e b ui l t on p ill a rs
ni ne f lo or s hi g h p la ce d at t h e m id d le of t h e sid e s of t he co n st r uc ti on s i t e . T hi s
u nu s ua l s t r u ct u re w a s d e s ig ne d t o
a c co mm od a t e a c hur c h t ha t w a s be i ng
r e s ur r e ct e d un d er o ne c or ne r of t he
C it i c or p e d if i ce .

D ur i n g c on st r uc t i o n, t he c o nt r a ct or s
d e c id e d t o a t t a c h t he su pp or t s w i t h b o lt s
r a th e r t ha n w el d i ng t h e m d ue t o t he h ig h
co st s of w e ld i n g t h is w a s d one w i t h o ut
Le M es s uri e r b e i ng i nf or me d t o a vo i d
p ote nt ia l d e la ys. T he f a ct t h a t t h is wo ul d
r e s ult i n m uc h we a ke r c o nn e c t i on s w a s n ot
vie w e d a s a p r o bl e m b e ca us e t he c h oi ce of
us i ng b ol t s w a s te c h ni ca l ly co r re ct . I n t he
84
P r it c h a r d ( 2 0 0 1 ) .
85
T h e F i f t y- Ni n e S t o r y C r is es , T h e New Y o r k er 2 9 M a y , 1 9 9 5 .

67
or i g i na l d e s i g n w e ld i ng w a s c ho se n b e c a u se t hi s w ou l d m ea n t he r e w ou ld b e le s s
mo ve me nt i n t he sk y s c ra p e r , wh i c h w o u ld im p r ove t he c omf ort of it s f ut ur e
in ha b i t a nt s. Whe n L e M e ss ur ie r he a r d ab o ut t he a lt e ra t i o n l a t e r, he d id not w or r y
a b out t he s af e t y r is k s b e ca u se a co nne ct i o n us i ng bo l ts me t t he sa f e t y
r e q ui r e me nt s.

T hi s c ha ng e d w he n a m o nt h l a t e r, i n 1 9 7 8, he r e c e i ve d a t e l e p hon e ca ll f ro m a
st ud e nt w ho s e p r ofe s s or ha d i nf or m e d hi m t ha t t h e co ns tr u ct io n w a s da n g e r o us.
T he p i l la r s s houl d ha v e be e n p la ce d i n t he c or ne r s of t he s i te s a c c or d i ng to h im .
Le M es s uri e r e xp la i ne d w hy t he p i lla r s w e r e p osi t i on e d i n t he mi dd l e of e a c h s id e t o
a ll ow t he s k ys cr a p e r t o b e b e t te r a b le t o c o p e w it h s to r ms t ha n ot he r s t a n d a r d
co n st r uct i ons. F oll ow i ng t hi s, he de c i d e d t o de a l w i t h t h e t e c h ni ca l a s p e c t s of h is
d e s ig n a nd sa f e t y i n hi s o wn l e c t u r e s f o r b ui l d i ng e ng i ne e r s.

B ec a us e Le M e ss ur ie r t oo k t he r e ma r k s of t h e st u de nt a nd t he p r of e s s or s e r i ou sl y,
he de ci de d t o c a rr y o ut ot he r w i nd -r e si st a nc e t e st s b e y ond t he s ta nd a rd o ne s .
F r om t hi s i nt e lle ct ua l g a me , Le M e s s ur i e r ca me t o t he c o n cl us i on t hat t h e b u il d i ng
w a s n ot a s s af e a s he ha d t houg ht . A si xt e e n -y e a r st orm ( on e t ha t pa s s e s e ve r y
si xt ee n ye a rs ) co ul d p os sib l y r ip lo o se o ne o f t he c on ne ct i o ns a nd t he w ho le
b ui ld i ng c o ul d c ol la p se . Le M e s s ur i e r k ne w h o w to s ol v e t hi s p r o bl e m how e v e r .

A s so o n a s he ma d e hi s f i nd i ng, he inf or m ed t h e l a wy e r s, i ns ur a n c e c om p a ni e s , t he
c hie f a r ch it e ct , t he ch i e f e xe c ut i v e at C i t i co r p Ce nt e r a nd t he c it y hal l. A l l p a r ti e s
( a ga i n st a ll e x pe c t a t i o ns ) we r e hi g hl y c oop e r a ti ve an d t he c or r e c ti ons t ha t
Le M es s uri e r a d vi s ed w e re ca r r ie d ou t . Th e b ui ld i n g i s n ow s a fe r t ha n t he w a y it
w a s or i g i na l l y p la n ned w h en it s c on st r u ct io n b e g a n.

T he me d ia t o o ha d t o b e i nf orm e d, b e ca u se so m uc h ac ti vit y a r o un d a b r a nd - ne w
b ui ld i ng c o ul d n ot g o u nnot ic e d . Le M e s s uri e r w a s hig h l y d ub io u s o f be i ng i n vo l ve d
w it h t he me d ia , a s t he pr e ss co ul d t ur n it i nt o q u it e a s t or y . A f t e r t he ne w s w a s
p ub l i s he d t ha t th e b ui l d i ng wa s be in g a lt e r e d t o wit hs ta nd mo re p o w er f u l st or m s,
it r e c e i ve d no f u rt he r at t e nt i on b e ca u se t he p r es s ha p p e ne d t o go on s t ri ke .

F or m a ny e ng i ne e r s, L e M e s s ur ie r ' s a ct i o ns w it h re g a r d t o t he C i t i c or p b ui l di ng
e xe m p li f y t he hi g he st vi rt ue s of t he e ng i ne e r i ng f i e l d . N e v er t he le s s, m a n y w i l l
w o nd e r w h y Le M es s uri e r d e se r v e s s o m u c h p r a is e, s i n ce it w as hi s p rof e ss i o na l
d ut y t o r e p o r t m i st a ke s t o t he a ut ho r it i e s. P r it c ha rd ( 20 0 1 ), h owe v e r , i nd i ca t e s
t ha t t he w a y i n w h ic h Le Me s s uri er a ct e d wa s e xe mp l ar y a nd t he r e f ore
p r ai se w or t h y f or t he f ol low i ng t wo r e a s o ns . F i rs t , m uc h c ou r a ge w a s ne e d e d t o
r e p or t t he e r r or , e v e n t h ou g h no t r e p or ti ng i t w o ul d ha ve h ig hl y re p r e he ns i bl e . T h e
r e p or t c o ul d ha ve da m ag e d hi s r e pu t a t i o n c ons i d e r a b ly. Se c ond , Le Me s s uri er n ot
on l y r ep or t e d t he p r ob l e m, he a l s o pr op os e d a s ol uti o n t o i t, w hi c h is c ha r a ct e r i st i c
of a v i r t uo u s e ng i ne e r i n P r it c ha r d s op i ni on.

B y ta ki ng se r i o us ly t he ob je ct io n s of t he st ud e nt a n d hi s pr of e s so r , L e M e s s ur i e r
a ls o d e mo n st r a t e d a no t he r vi r t ue : op e nne s s t o cr it i c i sm . I n st e a d o f ig no ri ng t he
cr it i c i sm be ca us e t he c on st r u ct i o n m e t t h e s a f e ty r e q ui re m e nt s, Le M e s s ur i e r
d e c id e d t o c he c k e ve r yt hi ng a nd r e c a l c ula t e it . T hi s d e m on st r a t es hi s d ed i ca ti on t o
sa f e t y of t he ge ne r al p ub li c. T he ca se s ho w s t ha t v ir t ue s ca n d ir e ct t he r e sp o ns ib le
a ct i o ns e ng i ne e r s ne e d t o t a ke i n p r of e s s i on al p ra c t i c e .

3.1 0 C a r e eth i c s

U s i ng ut il it a r i a ni s m a n d K a nt i a n t he or y, w e t r y t o f or m a b a la n ce d m ora l j ud g me nt
a b out t he r ig ht wa y t o a ct i n a g iv e n s i t ua t i o n. I n t he s e e t hi ca l t he ori e s a n a p p e al

68
is ma d e t o a b s t ra ct a n d g e ne ra l p r i nc ip l es , s u ch a s t he ut i l it a r ia n p r i nc i p l e a nd t he
r e c ip r oc it y pr i nc i p l e ( o r t he u ni ve rs a lit y p r i n c ip le ) . N o a t t e nt i on i s p a i d t o t he
sp e ci f i c s o ci al co nt e xt of t he mo r al si t u a t i o n i n q ue s t i on. T he se t he or i e s
p r es up p ose a n i nd e p e nd e nt a nd ra t i o na l a ct or w h o m a ke s d e c i si on s i n a va cu u m.

C ar e e t hi cs i ni t ia l l y i ns p ir e d b y t he wo r k of Ca r ol Gil lig a n 86 e m p ha s iz e s t h a t t he
d e v e l opm e nt of m or al s d oe s not c ome a b o ut by l e a rn i ng ge ne r a l m or al p r i n ci p l e s.
I t s ba s is i s t ha t p e op l e l ea r n no r ms a nd va l ue s wi thi n s pe ci f ic co n t ex t s a nd b y
e n co unt e ri ng co n cr e t e p e opl e wi t h e m ot io ns. B y r e c og ni zi n g t he v u lne r ab i li t y of
t he ot he r a nd b y p la ci ng y o ur s el f i n hi s or h e r s h oe s t o u nd e r st a nd his o r he r
e mot io n s, y o u c a n le a r n w ha t i s g o od or ba d a t t ha t pa r t i cu la r t im e . C a re e t hi cs
f oc u se s a t t e nt io n on t he l i vi ng a nd e x p e r i e nc ed r e a l it y of pe op l e i n w hi c h m ut ua l
r e la t io n sh ip s ca n b e vi e w e d f ro m d if f e r e nt p e rs p e c t i ve s, a nd w he r e p e op le 's
a b il i t ie s a n d l imi ta t i on s i mp a c t m o ra l d e ci si o n-m a ki ng.

P hi lo s op her s of ca r e e t hi c s a rg ue t ha t t he r e is mo r a l si g ni fi ca n ce t o t he s p e c if i c
d e t ai ls of o ur li ve s, d e t a i l s t ha t t e nd t o b e d i s reg a r d e d w he n w e f o r mu la t e "t he
g o od " in te r ms of g e ne r a l p r in c ip le s. We ha ve se e n t ha t ut il i t a ri a ni sm t e nd s t o
ig no re p e r s ona l r e la t i o ns h ip s, b ut t ha t it d oe s m a ke a d if f e r e n ce w i t h w hom w e
ha ve a p e r s o na l re l a t i on s hi p . We ha ve s p e ci al r e l a ti o ns hi ps wi t h o ur c hi ld re n,
r e la t iv e s, f r ie nd s a nd co ll ea g ue s. T he se r e la t io ns hi p s a r e co u p le d t o sp e ci a l
r e sp ons i b i li ti e s a nd m or a l o b l ig a t io n s. M or a l p r ob le m s a r e f i r st a n d f o r e m ost
u nd e r st ood in t e r ms of re s po n si b il it y of t he i nd iv id ua l w i t h re s pe ct t o t he g ro up .
T he s ol ut i o n of m ora l p r o bl e ms m ust a lw a y s b e f o c us e d o n t he ma i nt e na nce of
r e la t io n sh ip s t he p e op l e ha ve w it h e a c h ot he r . Be s id e s p e op l e , c om p a n ie s ca n ha ve
sp e ci a l r e l at i on sh ip s t oo, su c h a s t he e mp l o ye e s, s up pl ie r s, a nd p e op l e l i vi ng c lo s e
t o a f a c t o r y.

I n c a r e e t hi cs t he c on ne ct e dn e s s of p e op l e i s ke y; t he m ut ua l r e sp on si b il it y a nd
ca r e f or e a c h ot he r. P e op l e a r e c on ne c t e d t o e a c h ot he r a nd t h ro ug h t h is
co n ne c t i on t h e re is a tt e nt io n f or y our f e ll ow hum a n b e i ng . P e o p le f ee l re s p o n sib le
f or e a c h ot he r . Ca r e a ri se s f r om t hi s in v ol ve me n t. C a r e e n co mp a ss e s a l l t y pi ca l l y
h um a n a ct i v it i e s t ha t w e ca r r y o ut to m a i nt a in, co n t i n ue a nd r e p a i r our w or l d , s o
t ha t w e ca n li ve i n it a s b e st a s w e ca n. 87 Th o ug h ca r e in t hi s d e s cr i p ti on i s
p r im a r i l y d e s cr i be d a s a n a ct i on, i t i s a ls o im por ta nt t o lo ok a t c a r e a s a ce rt a i n
a t t it ude o r m ot i va ti o n.

C ar e e t hi cs ha s s ome co n ce rn s i n c om mo n w i th vir t u e e t h ic s . Ca r e e t h ic s pl a ce s
t he r e la t i o ns hi p ce nt r a l t og e t he r w i t h t he a c qu ir e d a tt i t ud e of t he pe r s o n w h o ca n
p r ov i de ca r e . A p r op e r a tt i t u d e t ha t one ha s a cq ui re d i n vo l ve s com pa s s io n,
a t t e nt i on a nd b e i n g c a r i ng . T he s e vi r t ue s st i m ul at e p e opl e t o b e c o me e m ot i o na l l y
in v ol ve d a nd r e sp on si b le . M or e ov e r , b ot h a p pr oa c he s a re a im e d a t t he g o od li f e ;
vi r t ue e t h i cs is b a se d on g ood c ha r a c te r t ra i ts a nd ca r e et hi c s i s b a se d on ca r e .

C ar e e t hi cs s p e ci fi ca l l y f oc u se s t he a t te nt io n on t he r e l a t i o ns hi p s t hat p e op l e ha ve
w it h e a c h ot her . I n r e l a t io n sh ip s t he r e c og ni t io n of v ul ne ra b i l it y a nd d e pe nd e nc e
p la y a n i mp or t a n t r ol e , e sp e ci a l l y if t he re la t i ons hi p s a r e a s y mme t r ica l , s uc h a s t he
r e la t io n sh ip be t w e e n p a re n t a nd c h il d , b e t w e e n e mp lo ye r a nd e m p l oy e e , or
b e t we e n d oc t o r a nd p at i e nt . T hu s, i t i s im p or t a nt to be co ns c i ou s of t he t yp e s of
r e la t io n sh ip s w e ha ve a nd t he r o le w e ha ve w it hi n t he m. Ro le s d e t e r mi ne t o w ha t
d e gr e e w e c a n e xp e ct c a re f r om e ac h ot he r a nd t he y a ls o d e te r mi ne w h e t he r we
sh o ul d ta ke t he ot he r i nt o a c c ou nt i n o ur a c t io ns. B e s id e s t ha t , i t i s i m p or t a nt t o
k now how pe op le r es p on d t o e a c h ot he r 's v u lne r ab i li t ie s . Th e d e g r e e t o w hi c h w e
r e sp ond a p p r o pr ia t e l y a nd t he w a y we s ha p e o ur re sp on si b il it y ca n no t b e i nd i ca t e d

86
Gilligan (1982).
87
Cf. Tronto (1993).

69
in a d va nce us i ng r ul e s , b ut ha s t o b e a ns w e r e d i n the c on t ex t i n w hi c h t he ne e d
f or c ar e a r is e s.

A lt ho ug h t he a tt e m p t t o d e v e l op a ca re e t hi c s a p p r oa ch t o e ng i ne e r i ng e t hi cs i s
st i l l i n i t s inf a n c y, ca r e e t hi cs ' e m p ha si s o n ca r e (e . g . f or sa f e t y a nd s us t a i na b il i t y)
r e sp ons i b i li ty, a n d ot h e r c on ce r n s s ha re d b y e ng i nee r s , s ug g e st s t h a t i s has a
co nt ri bu t i on t o m a ke t o e ng i ne e r i ng p r a ct ice . T he i de a s of ca r e e t h ic s ca n a l s o
w or k f or c om p a ni e s : t he y ca n c on t r i b ut e t o the v is io n a n d m is si o n of a n c om p a ny
a nd c an b e a m a j or i nf lue n ce on t h e p r a ct i ce of c orp or a te so ci a l r e s p on si bi l it y. O ne
e ss e nt ia l c ha r a ct e r i st i c of a b us i ne s s sit ua t i on i s t hat o ne i s w or ki ng w it h in a n
int e r s e c t i on of d if f e r e nt r e la t i ons hi ps . A n c o mp a ny ha s d e a li ng s w i t h va r i ou s
p a rt i es a nd in st i t ut i on s, w hi ch ha ve d i ve r se a nd s ome t im e s c o nt r a d i ct o r y
e xp e ct a t i on s. E m p l o ye e s ha ve re l a t i on s hi p s w it h cl i e nt s o r co nt r a c t or s , wi t h t he i r
e mp l o ye r , w i t h c on s u me r s, w it h s upp li e rs a nd s ome t ime s e ve n w i t h th e na t ur a l
e n vi r onm e n t . The p oi nt i s t ha t a n em pl o yer or em p l o ye e ha s t o a s k hi mse l f / he r s e lf
ho w he a s p a rt of t he e nte r p ri s e ca n b e st d e a l w i t h t he i nt e r e s t s a nd r i g ht s of
ot he r s. T hi s ha s t o b e a c hie ve d t hr oug h an a t t it ud e of c om p a s si o n, a t te nt i o n a n d
ca r e .

I n t he ca se of c hi l d la b our , i n se ct io n 3 .7 , t he f ol low i ng r e a s o ni ng w o ul d be
a p pl ie d f ro m t he pe r s p e ct iv e of ca re e t hi c s. Si n ce t h e c hi l d r e n a r e i nv ol ve d i n t h e
p r od uc t i on of I KE A ar t ic l e s, IK E A ha s a r e l a t i ons hi p w i t h t ho se c h i l d re n. T he
c hil dr e n a re e x t re m el y v ul ne r a b le a nd d e p e n d e nt on I K EA : if I K E A st o p s w it h c h ild
la b o u r t he n t h e co ns e q ue nc e s w o uld b e t ha t t he c hil dr e n wo ul d e n d up pe r f orm i ng
sl a ve l a b o ur or b e c om i ng pr os t it ut e s . I K E A h a s t he r e sp on si b i li t y t o ca r e fo r t he s e
c hil dr e n. I n t hi s s p e cif i c ca se t his ca r e c o ul d i nv ol ve i m p r o vi ng w o r k c on d it io n s,
p r ov i di ng me d i c al ca r e , a nd de ve lo p i ng a s c h oo l i ng p r og r a m. I n t hi s e xa m pl e of a n
a p pl ic a t i on of c a re e t hi c s, w e se e t ha t t he q ue st i o n w he t he r c hil d la b o u r s ho uld b e
a b ol is he d f a d e s t he ba c kg r o und a nd t hat c a r e e t hi c s ma ke s I KE A s i nv ol ve m en t
w it h t he c h il d r e n t he c e nt ra l i s s ue . A no t he r e xa m p le is t he ca r e f o r e m p l oy e es b y
t he e m pl oy e r in ca se s of ma ss une mp lo ym e n t , or m er ge r s , ta ke o ve r s, d ow n-s i zi ng
or r e l o ca t i o n of t he e nt e r p ri s e . Th e e mp l o ye r ha s a r e l a t i o ns hi p w i t h t he e m pl oye e s
a nd f r o m t hi s r e l a t i on s hi p fo l l ow c e rt a i n o bl i g a t i ons of c ar e b et w e e n t he e m p l o ye r
a nd t he e mp lo ye e s . T h is c a re ca n c ons i st of a ct i ve i n vo l ve me nt i n t r a n sf e r of
e mp l o ye e s w it hi n t he co mp a n y or f i nd i n g p l ac e s of w or k out s i de t he c om p a n y.
F r om t he se t w o e xa m p l e s it b e c om e s cle a r t ha t a ca r e e t h ic s a p p r o a c h p la ce s hig h
d e ma nd s o n a n e nt e rp r is e c on ce r ni n g r e s p o ns ib le e nt r e p re ne ur s hip .

I n t he F or d P i nt o ca se , F or d ha d a r e la t i o ns hi p w it h t he c o ns um e r s . Th is
r e la t io n sh ip wa s a s ym me t r i ca l s i n ce t he co n su me r s ha d i n g e ne r a l n o c l e a r i d ea of
a ll t he r e l e va nt t e c h ni ca l a s p e ct s of t he F or d P i nt o, a nd t he c on s u me r s w e r e
d e pe nd e nt on t he i nf o rm at i on F ord g a ve . Fo r d sh oul d r e c og n iz e t h is v ul ne r a b ili t y
of t he c o ns ume r , a nd t he r e f or e F ord ha d t h e re s p o n si b il it y t o i nf or m t he c on s ume r
a b out t he ( u n) sa f e t y of t he c a r, or F or d s h ou ld n ot ha ve ma r ke t e d t he c a r .

A fr e q ue n t l y- v oi ce d cr i t ic i s m of ca r e e t hi c s i s t ha t i t i s p hi l os op hi ca ll y va g ue . T hi s
is ma i nl y d ue t o t h e f a ct t ha t i t i s u nc le a r w h a t ca r e e xa ct ly e nta i l s. T he t e r m is
us e d in nu me r o us c o nt e xt s a nd i s a l so use d t o i nd i cat e mo r e th a n one a t t it ud e or
a ct i o n. A s a r e su lt it is not ve r y no r ma t i ve . C a r e e t h ic s a ss u me s t h a t c a ri ng i s go od
in it s el f , t h us it ca n t e ll us ne it he r w ha t m a k e s a p a r ti c ula r a tt i t ud e or a ct i o n r i g ht ,
no r w ha t c on st i t ut e s t he r i g h t wa y t o p ur su e th e m. C a re e t hi cs j u d ge s a s it uat i on
b y me a ns of 'g oo d ca r e ' a nd n ot a c c or d in g t o p r i n cip le s. B ut t h e q ue st i o n i s w ha t
t ur n s ca re i nt o 'g o od ca r e ' ? F i na ll y, c ar e e t hi c s l i ke vi r t ue e t hi cs d oe s n ot g i ve
co n cr e te i nd i c at i on s h ow o ne ha s t o a ct i n a p ar t i cu l ar s i t ua t i o n, i n c ont r a st w it h
ut i li t a r ia ni s m o r K a nt i an e t h i cs. C a re e t hi cs i s mo r e f oc u se d o n t h e a tt i tu d e of t he
p e rs on w h o c a n p r ov i d e ca r e t ha n o n i nd i c at i on s f or wa ys to s ol v e a c o nc r e te
mor a l p ro b le m .

70
3.1 1 Ap p l i ed et hi c s

So me ph il os op he r s b e l ie v e t ha t a p pl i e d e t hi c s i s e s s e nt i al l y t he a p p li c a t i o n of
g e ne r a l m or a l p r i n cip l e s or t he o r ie s t o pa r t i c ula r s it ua t i o ns. 88 T hi s vi e w i s,
ho we ve r , pr o b le ma t i c f or a nu mb e r of r e a s o ns . 89 O n e i s t ha t t he re i s no m or a l
t he or y is g e ne ra l l y a cc e p t ed . D i ff e r e nt t h e or i es m ig ht y i e l d di f f e re n t j ud g m e n t s
a b out a p a r t i c ul a r ca s e . B ut e ve n if t he r e w e r e o ne g e ne r a ll y a c ce pt e d t he o r y,
f r a me w or k or s e t of p r i nc i p le s, i t i s d oub t f ul w he t he r it co u ld b e s t r a ig ht f or w a rd l y
a p pl ie d t o p a r ti c ula r c a se s. Ta ke a p ri nc i p le su c h a s d i st r ib ut i ve j us ti ce . I n ma n y
co n cr e te si t ua t io n s, it i s not cl ea r w ha t d is t r i b ut i ve j us t i ce e xa ct ly a mo u nt s t o.
Wha t d oe s, f or e xa mp l e , a j u st d i st r ib uti o n o f t e c hn ol og i ca l r i s k s m e a n ? S ho u ld
e ve r y bo d y b e e q u al l y sa f e ?; s h oul d e ve r yb od y h a v e t he sa m e m i ni mum le ve l of
sa f e t y ?; or d oe s so me one s r i g ht t o sa f e t y d e p e nd o n t he a m o un t of ta xe s he or
sh e p a y s ? A l l t he s e c a n b e c ons i d e re d a s a n a p p l i c ati on of t he p r i n ci p le of
d is t r i b u t i ve j u st i ce t o the d i st r ib ut i o n of r i sk s, b ut cl e a r l y t he s e a n sw e r s re ve a l
d if f e r e nt m or a l o ut l oo ks. Wi t h o ut d o ub t , p a r t of t hi s co nf us i o n c ou ld b e so lv e d on
t he t he o re t ic a l le ve l, i . e . , b y f urt he r e l ab or a t i ng t he not io n d i st r ib ut i ve jus t ic e
a nd d e ve lo p i ng a n e t hi ca l t he or y a b out it . I t s ee m s d oub t f ul , how e ve r, w h e t he r
t hi s w o ul d s o lv e a l l a p p li ca t i on s i ss ue s. T hi s br i ng s u s t o a t hir d po i nt . T he or y
d e v e l opm e nt i n e t hi cs i n g e ne r a l d o e s n ot t a ke pl a ce i nde p e nde nt of p a r ti c ula r
ca s e s . Ra t he r , t he or y de v e l op m e n t i s a n a tt e mp t t o s y st e ma t iz e j u d gm e nt s o ve r
p a rt i c ul a r c a s e s a nd t o p r o v id e a r a t i ona l j u st if i ca t i on f or t he se j u dg me nt s. So if
w e e n co u nte r a ne w c a se , w e ca n of c o ur s e tr y t o a p p l y t h e e t h ic a l t he or y w e ha ve
d e v e l ope d u nt i l t he n t o t ha t c a se , bu t w e s h ou ld a ls o b e op e n t o t he p os s ib il i t y
t ha t t he ne w ca se m i g ht s ome t im e s r e v e a l a f la w i n t h e t he or y w e ha ve d e ve l op ed
so f a r .

I f et hi c a l t he or i e s d o no t p r o v id e mo r a l p r i nci p le s t hat ca n b e s t ra ig ht f or w a r d l y
a p pl ie d t o g e t t he r i g ht a n sw e r, w ha t t h e n i s t h ei r r ole , if a n y, i n a pp l i e d e t hi cs ?
T he i r r ol e i s , f i r s t , i ns t ru me nt a l i n d i sc o ve r i ng t he e t hi ca l a sp e c t s of a p r obl e m or
si t ua t io n. Dif f e r en t e t hi ca l t he or i e s s t r e s s di ff e r e n t a s p e ct s of a sit ua t i o n;
co n se q ue nt ia l i sm f o r e xa m p l e d r a w s a t te nt i o n t o h ow c on se q u en ce s of a ct i o ns ma y
b e m ora l l y r e le va nt ; d eo nt o lo gi ca l t he or ie s m ig ht dr a w a t t e nt i on t o t he mo r a l
im p or t a nc e of p r om i se s, r i g h t s a nd ob l ig a t i o ns. An d vi r t ue e t hi cs ma y r e mi nd u s
t ha t c e r t a i n ch ar a ct e r tr a it s c a n b e mor a l l y r el e va nt . E t hi ca l t he or i e s a l s o su gg e st
ce r t a i n a r g ume nt s or r ea s on s t ha t c a n p la y a r ol e in m ora l j ud g me n ts . Th e se
a r g ume nt s sh o ul d b e s ou n d, s i n ce un so u nd a r g ume nt s ob st r u ct a r at i ona l
d is c us si o n. Th e r ef or e , nor m a t i ve a r g u me nt a t i on is the t op i c of t he ne xt c ha p t er ,
w hi c h ca n he lp t o d i st i ng ui s h g o od ar g um e nt s fr om ba d o ne s in e t hi ca l j ud g e m e nt .

3.1 2 C ha p t er Su mm ar y

Wh il e m or a l i t y i s t h e t ot a l it y of o pi ni ons a b o ut w ha t i s g ood a nd r i g ht , e t hi cs i s t he
cr it i c a l r ef l e ct i o n o n m or al it y. No r ma t i ve e th i c s not j u st d e sc r ib e s w ha t m or a l it y i s
b ut i t ju d g e s mo r al i t y a nd t r ie s t o f or m ula t e a ns w er s t o q ue s t i on s l ike : w ha t ki n d
of pe r s o n sh oul d I b e ? , a nd how s ho ul d I a ct ? N or m at i ve e t hi cs t he r e f or e t r ie s t o
co me t o ce rt a i n n or m a t i v e j ud g me nt s. H owe v e r , it is not a m a nua l or a n
u na m b i g u ou s c od e i n w hi c h y o u ca n l ook up th e a ns w er h ow t o a c t i n a d i ff i c ul t
si t ua t io n. Ra t he r i t i s a n a r e a t ha t i s c ha r a ct er i z e d b y a va ri e t y of p a rt l y c o nf l i ct i ng
e t hi ca l t he or ie s ab o ut ho w t o a ct . T he t hre e b e st know n et hi c al t he or i e s i n
We st e r n p h il os op h y a r e c o nse q ue nt ia li sm, d e ont o lo g y a nd v ir t ue e t hi c s . Whe r e a s
vi r t ue e t h i cs f oc us e s on t he a ct i ng p e rs on a n d his /h e r c ha r a c t e r t r a it s, d e ont ol og y
88
C f . Ge r t ( 1 9 8 4 ) , H a r e ( 1 9 8 8 ) , a n d S m a r t ( 1 9 7 3 ) .
89
C f . B ea u c h a m p ( 1 9 8 4 ) , a n d M a c I n t yr e ( 1 9 8 4 b ) .

71
f oc u se s o n t h e a ct i o ns t he ms e l ve s a nd c o ns e q ue nt ia l ism f o c us e s o n t he
co n se q ue n ce s of a ct i o ns.

Ut il i t a r ia n ism i s a ma i n va r ie t y of c on se q ue n t ia l i sm. I t me a s u re s c ons e q u e nc e s by

t he i r e f f e ct o n o ne v a l ue : h uma n ha p p i ne s s or w e lf ar e . It is ba se d o n t he s o- ca lle d
ut i li t y p r i nc i pl e: t he g r e a te s t ha p p i nes s of t h e g re a t e st num b e r . Ut i li t a r i a ni s m
r e q ui r e s d r a wi ng u p a m or a l b a la n ce s he et o r a c os t -b e ne f i t a na l ys i s t o de t e r m in e
w hat t he a c t i o n w it h t he b e st co ns e q ue n ce s is . D es pi t e i t s i nt ui t iv e a t tr a ct i ve ne s s,
ut i li t a r ia ni s m h as be e n hea v i l y cr it i c ize d . Ty p ic a ll y, t he s e cr i t i ci sm s ha ve le t t o
a d a pt a t io n s in t he or ig ina l t he or y. O ne c ri t i ci s m is t ha t ut il i t a r ia n is m c an l ea d t o
e xp lo it a t i o n. To d ea l wi t h t hi s p r obl em , Jo h n St uar t M il l ha s f o r m ula t e d t h e
f r e ed om p r i n ci p le : e ve ry o ne is f r e e t o st r i ve f or hi s / he r o w n p l e as ur e , a s lo n g a s
t he y d o not d e ny or hi nde r t he p le a s ur e of o t he r s. A not he r c r i t i ci s m i s t ha t a c ti ons
a r e s om e t i me r ig ht o r wr o ng i nd e p e nd e n t f r o m t hei r c on se q ue nce s . L y i n g i s a n
e xa m p le . Rul e ut i l it a ri ani sm is a n a t t e mp t t o t o d ea l w it h t hi s cr it i c ism : i t f o cu se s
on t he ut i l it y of r ul es of a ct i on r a t he r th a n on t he ut i l it y of in di vi d ual a c t s. O t he r
cr it i c i sm s of ut i l it a ri a ni sm a r e t ha t ha p p i ne ss i s d if f ic u lt t o me a s u re , t ha t
co n se q ue n ce s a r e ha r d t o p r ed ic t , t ha t it ig nor e s t he d i st r i b ut io n of p le a s u r e s a nd
p a i ns a n d t ha t i t i g nor e s p e r so na l r e la t i o ns h i p s.

I mma n uel Ka nt is t he ma i n r e p r e se nta t i ve of d e on t o lo gy. He f or mu la t e d a p r i n ci p le

f or j ud g i ng t he ri g ht ne ss of a ct io n s t ha t i s i n de p e nd e n t of t he a c t u a l c on se q ue n ce s
of t ho se a c t i on s, t he u ni ve r sa li t y p r in ci p l e: A ct o nl y o n t ha t ma xi m whi c h y o u ca n
a t t he sa m e t i m e w i l l t ha t it s hou l d b e co me a uni v er sa l l a w . A c co r d i ng t o Ka nt t hi s
p r i n ci p le is ba si ca l l y t he sa m e a s hi s r e c i pr o cit y p r i nc ip l e : A c t a s t o t re a t h um a ni t y,
w het he r i n yo ur ow n p er s on o r i n t ha t of a n y ot he r , i n e ve r y ca se a s a n e n d , n ev e r
a s m e a n s o nl y. Tw o m a i n c r it i cis m of K a nt s t he or y a re t h a t i t i g no r e s c o nfl i ct s
b e t we e n nor ms a n d t h a t it i s t oo r i g i d . A w a y of d ea li ng w it h su c h c r i ti ci s m s m a y
b e t o c on ce i ve of no r ms a s p r i m a f a ci e no r ms r a t he r t ha n a s u ni v e rs a l no r m s t ha t
a p pl y t o e a c h a nd e ve r y s i t ua ti on.

V ir t ue e t hi cs f o c use s o n t he cha ra ct e r of t he a ct i n g p e r so n r a t he r t ha n hi s/ he r
a ct i o ns o r t he c o ns e q u e n ce s of t ho se a c t io n s . It g oe s b ac k to A r i st otl e b ut is s ti l l
r e le va nt t o d a y f o r e ng ine e r s. Re le va nt v ir t ue s f o r e n g i ne e r s i nc l ud e
p r of e ss io na l i sm , ob je c t iv i t y, be i ng op e n t o c ri t i ci s m, st a m i na , c r e a ti v it y, a nd
ha vi ng a n e ye f or d e ta i l. M a i n c ri ti ci s m s of vi r t ue e t h ic s i nc lu de t ha t i t is d oe s no t
t e ll y o u h ow t o a c t a n d t ha t v ir t ue s a r e n ot u nc o nd it i ona ll y g oo d . To t he f ir st ,
vi r t ue e t h i ci s t s mi gh t r e pl y t ha t a n e n g i ne er w h o p os se ss e s t he r ig ht v i r t ue s a ct s
d if f e r e nt l y t ha n o ne w ho i s l a c k in g t he m. T o th e s ec o nd, t he y w ou l d p ro b a b l y sa y
t ha t vi rt ue e t hi c s d oe s n ot i nv ol ve jus t is ola t e d v i r t ue s b ut a l s o pr a ct i c a l w i sd om:
t he a b i l it y t o m a ke e t h ica l j ud g me nt s i n c om p le x s it ua t io ns.

A fo ur th t he or y t ha t w a s b ri e f ly d is c us s e d i s ca r e e t hi c s : i t d oe s not f o c us o n
a b st ra c t p r i n ci p le s b ut ra t he r o n t he r e la t io n s b et w e e n p e op l e . Th i s i s r e le va nt f or
e ng i ne e r s b e ca us e t he y a re of t e n i nv ol ve d i n c omp le x p r o je c t s w i t h m a ny
st a ke hol d e r s w h o p a r t l y r e l y o n t he m.

A s t he d iv e r sit y of e t hi ca l t he or ie s t e st if i e s t he r e i s n ot a s in gl e a n sw e r to t he
q ue s t i o n w ha t i s r ig ht or wr o n g. H ow e ve r, o n e s hou ld n ot c onc l ud e f rom t his t ha t
a n yt hi ng g oe s . Some t hi ng s a re mo r a ll y g oo d o r m or al l y b a d a cc or d i ng to a ll
t he or ie s. M o r e ov e r , if t he or ie s d i s ag r e e , t he y a re s ti ll he lp f ul i n d i st i ng u is hi ng t he
e t hi ca l q u e st io ns i n a c on cr e t e sit ua ti o n, i n m or e p re ci se l y a na ly zi ng t he s it uat i on
a nd i n s ug g e st in g p o s s ib le re a s o ns a nd a r g um e nt s f or a ct i ng i n o n e wa y r a t he r
t ha n t he o t h e r. E ve n i f us i ng o ne or m or e of t he t he o r ie s is no g ua r a nte e f o r
ma k i ng t he r ig ht de ci s io n, a m or a l de ci si on t ha t j u st ig nor e s t he e t hi ca l t he or i e s,
a nd t he und e rl yi n g et h ic a l co nc e r n s, i s us ua ll y p lai n ly un et hi c al .

72
Q u es ti o n s c h a p ter 3

1 . M e nt i o n a num b e r of d if f e r e nc es be t w e e n va l ue s a nd nor ms, a nd be t w e e n

va l ue s a nd vi r t u e s.
2 . Wh ic h of th e f oll ow i n g st a t e m e nt s a r e d e s c r i pt i ve , a nd w hi c h a r e nor ma t i ve ?
a . P e op l e s ho u ld a c ce p t t he r i sk s of n uc le a r e n e r g y.
b . T he ma jo r it y of y ou r c oll e a g ue s f i nd s t hi s p r op osa l u na c c e pt a b le .
c. T he r e i s l if e on M a r s
d . E ng i ne e r s w ho b lo w t he w his t le a r e us ua l l y i n a we a k p o sit io n f r om a l e ga l
p oi nt of v ie w .
3 . De sc r i be t he m a i n id e as of nor ma t i v e r e la t i vi s m . Wha t a r e t he c ri ti c is ms of
no rm at i ve r e la t i vi sm ?
4 . Joh n St ua rt M i l l ha s a r g ue d t ha t K a nt s e t hi c s i s re a l ly a ma s ke d v e rs i o n of
co n se q ue nt ia l i sm b e ca us e t he c o nse q ue nc e s of a ct i o ns d o p la y a n i mp o rt a nt
r ol e i n hi s e t hi cs i n sp i t e of w ha t Ka nt h i m se lf sa ys . Why d o y ou t hi n k th a t
M il l i s a r g ui ng t hi s d e s p it e t he f a ct t ha t K an t h ims el f de nie s t ha t c ons e q u e nc e s
a r e r e le va nt to h is t he or y ? D o yo u a gr e e w i t h M il l ? E xp l a i n w hy or wh y n ot.
5 . De sc r i be t he m a i n id e as of B e nt ha m s ut i l it a r ia ni sm . Wha t cr i t i c i s m of
B en t h a m s t he o r y d i d M il l a rt i c ul a t e?
6 . Wha t i s r ul e ut il it a r ia ni sm ? De s cr ib e how a r ule uti li t a r i a n w o ul d g o a b o ut
d e t er mi ni ng w he t he r I ma y co p y a nd pa s te my e s sa y f r om i nt e rn e t for a
co u rs e . H ow w o ul d t hi s d i f fe r f r om how a n a ct ut il i t a r i an w oul d r e a c h a de ci si on
on t hi s ma t te r ?
7 . De sc r i be t he m a i n id e a of ca r e e t h ic s. Wha t c r it i c is m d o ca r e et h i c i st s ha ve of
ut i li t a r ia ni s m a nd K a nt ia n t heo r y?
8 . Y ou ha d he l p e d a c ol le a g ue w i t h he r w or k; a nd t hi s co l le a gu e ha p p e ne d t o be
r a th e r pr e t t y. Why no t ha vi n g a n a f f a ir w it h he r , y ou t hi n k. A nd s i n ce s he i s
K ant ia n, y o u a r g ue a s f oll ow s : If y ou re a ll y w ant t o e xp r e s s r e s p e c t f or me ,
t he n y o u sh oul d jo in me f o r a d r i nk i n my r oom . O t he r w i s e you w oul d ha ve
t r ea t e d m e onl y a s a m e a ns a n d a s a g oo d K a nt i a n t ha t i s no t so me t hi n g
yo u ca n p os si b l y w a nt !
a . Wha t i s it t o t r e a t s om e one o nl y a s a mea ns a c c or d i n g t o K a nt ?
b. Wha t i s it t o t r e a t s om e one a s a n en d a c co rd i ng t o K a n t?
c. Wha t i s he r a ns we r if sh e i s a g oo d K a nt i a n?
9 . S up p os e t ha t it i s p o ss ib le t o d ow nl oa d c op y r ig ht e d m us i c t hr o ug h t he i nt e r ne t
w it ho ut p a yi ng f o r i t . Sup p os e t ha t t he ma k e r s of s uc h m us ic ( t he a r t i st s) d o
no t w a nt t he i r m u si c f re e l y c op ie d i n t hi s w a y.
a . How w ou ld Ka nt a d d r e s s t he q ue st io n of w he t he r i t i s m or a ll y pe r m is s ib le t o
dow nl oa d s uc h m us i c b y s u c h ar t is ts wi t ho u t p a yi ng f o r i t? E xp la i n in d e t ai l
wha t a K a n t ia n w o ul d sa y.
b. Woul d a u t il i ta r ia n g i v e a d i f f er e nt a nsw e r ? Why or w hy no t ?
1 0 . Jam e s is a n e ng i ne e r wor ki n g f or t he com pa n y AE RO t ha t p r o du ce s a e r o -
e ng i ne s . T he c om p a ny i s d e ve l op i ng a ne w t yp e of a er o- e ng i ne c a l l e d t h e F A N X.
Jam e s is r e sp o ns ib l e f or t h e te s ti ng of t he F AN X. He i s i n t he mi dd le of
co n du ct i ng a r a ng e of cr u cia l te s t s fo r t he r e li ab il i t y of t he ne w a e r o-e n gi ne.
Y e st e rd a y, Bi l l w ho i s Ja m e s b os s - ha s a s k ed Jam e s t o f i ni sh hi s t e s t r e p or t s
w it hi n a we e k b e ca us e an im po r t a nt p o te nt ia l c us t om e r w il l v is i t AE RO ne x t
w e e k a nd w a nt s t o ha ve a l oo k a t t h e f i r st t es t re p ort s. Ja m e s f ir s t r e a c t i o n i s
t o re f u se Bi ll s r e q ue s t : he i s not a b le t o f i ni sh t he t e st re p o r t w it h in a w e e k;
he f i r st ne e d s t o d o m or e te s ts . Ja me s c o ns i de r s t he s e a d d i t i on a l t e st s cr u cia l
f or g a i ni ng g oo d in si g ht i n t he r e l ia b il i t y of t he F A NX. Bi ll t e ll s Ja m es t o
a b a nd o n t he p la nne d ot he r te s t s an d t o s ta r t w r i ti ng h is r e p o rt im me d ia t el y.
La t e r, t he re w i l l b e m ore t im e t o d o t he ot h e r te s t s . Bi l l a l s o t e l l s Ja m e s t ha t if
Jam e s re f us e s he w i ll as k Er ic t o w r it e t he r ep o r t. Ja me s sa ys t ha t he r e a ll y
ne e d s m o re t im e. M or e o ve r , he o b j e c t s, E r i c is n ot k now l e d g e a b l e of t he t e s t s
a nd w i l l n ot b e a b le t o w r i t e a s oun d r e p ort . A f te r t he m e e t i ng , Ja me s c ont a ct s

73
E ri c w ho s a y s tha t he a g r ee s w i t h B il l a nd t ha t h e w i ll f i ni s h t he t e st r e p or t s if
B il l a s k s h im t o d o s o.
Sup p os e t ha t Ja me s t h e ne xt d a y de ci de s t o f oll ow B i ll s o r d e r a nd t o f i n is h t h e
re p ort s i mme d ia t e l y, a b a nd o ni n g t he ot he r t e s ts .
a . Ca n t hi s c hoi ce of Ja m e s b e j ust if ie d i n ut i l it a r ia n t e r m s ? E xp l a i n w h y or w h y
no t .
b. Wha t s h o uld Ja me s d o if he w o ul d t r y t o a pp ly K a nt s ca t e g or i c al i mp e r a ti ve
to t h is s i t ua t i on ? A r g u e y our a ns we r .
c. Wha t vi r t ue s a re r e le v a nt f or a n e ng i ne e r d oi ng t e st s l i ke Ja me s ? M e nti o n a t
le a st f our .
d. Wha t a ct i o n is s up p or t e d b y t he s e vi r t ue s ? A r g ue y our a n sw e r.
e . Whi c h nor ma t i ve t he or y is i n yo u r op i n io n b e s t a b l e t o d ea l w i t h t h i s m or a l
pr o b le m? A rg ue w h y.

74
C h a p ter 4. N or ma ti v e a r g u me n ta ti o n

4.1 . I n tr o d u c ti o n

Ca s e: T h e G ol d en G a te B ri d ge s u i c i d e ba r ri er 90

Wh e n t he G ol d e n Ga t e Br id g e i n Sa n
F r a nci s co w a s f i ni sh e d i n 19 3 7 it w a s
w it h i t s sp a n of 1 2 8 0 m et e r (4 2 0 0
f e e t ) t he w orl d s l on g e st s u sp e n si o n
b r i d ge . I t i s c o nsi d e r e d t o b e on e of
t he b e st a n d m os t b e a uti f ul e xam p l e s
of b r i d g e d es ig n. T he A me r ica n S oc ie t y
of C i v il E n gi ne e r s ha s in cl u d e d t he
G old e n Ga t e B r id ge i n i ts en u me r a t i o n
of t he se ve n wo nd e rs of t he m o de r n
w or l d. H ow e ve r , t he b r i d g e i s a l s o th e
U S s mo st p op ula r p l a c e to com m it
su i c id e . S i nce 1 9 3 7, a t le a st 1 3 00
p e op l e k i l le d t hem se l v e s b y ju mp i n g
of f t he b ri dg e ; a n a ve r a ge of 2 0 t o 2 5
p e r ye a r . 91 Su i ci de p r e v e nt io n ha s i n f a c t b e e n a c o n ce r n e v e r si n ce t he b r i d g e w a s
d e s ig ne d. J os e p h St ra us s, t he c hi e f e ng in e e r i s q uot e d a s sa y i ng i n 1 9 3 6 ( a y e a r
b e f or e t he o p e ni ng of t he b r i d ge ) : T he g ua r d ra i l s a r e f i ve f ee t a n d s ix i n ch e s
hi g h [i .e . a b o ut 1 . 7 me t er ] a nd a r e s o c ons t r uc t e d t ha t a n y p e r s o n s o n t he
p e de s tr ia n w a lk co ul d no t g e t a h a nd hol d t o cl imb o ve r t he m. T he i nt r i ca t e
t e le p ho ne a nd p a tr o l s ys t em s w ill o pe r a t e s o e f f ic ie ntl y t ha t a ny on e a c t i ng
su sp ic io us l y w o ul d b e im me di a t e l y su rr o und e d . Sui c id e f r o m t he b r i d g e i s n e it he r
p o ssi b l e no r p r o ba b le . Ho we ve r , f or so me r e a so n, t he he i gh t of t he r ai li ng w a s
r e d u ce d i n t he d e t ai l d e si g n t o 1 . 2 me t e r ( 4 fe e t ) , s o ma ki ng i t not t oo d if f ic ul t t o
cl imb t he m an d j um p of f t he b r i d g e .

A lr e a d y i n 1 9 40 , t he B oa rd of D ir e ct or s d i s c u sse d a n a nt i- su i c id e s cr e en b ut
d e c id e d a g a i ns t i t on t he b a s is of a e s t h et i c a nd f i na nc ia l c ons i de r a t io ns. An ot he r
co n ce r n w a s t hat t he s cr e en mi g ht cr e a te d a nge r o us w i nd r e s is t a n ce a n d m a ke t he
b r i d ge st r u ct ur a ll y un s t a b le . Si n ce t he n, pr o p os a ls f o r a s ui ci d e ba r r ie r ha s b e e n
ma d e e v e r y d e ca d e b u t we r e uns u cc es sf u l u nt i l re c e nt l y. O n O c t o b e r , 1 0 2 0 0 8 t he
B oa r d of Di re c to r s vot e d 1 4 t o 1 t o i nst a ll a st a i nl e s s st e e l net w h i c h w oul d b e
p la ce d 6 m e te r ( 20 f e e t) b e lo w t he d e c k, a nd w oul d co l la ps e ar o und a n yone w ho
j ump e d i nto it . T he e s t i ma t e d c ost s a r e 5 0 m ill io n d oll a rs . I t is e x p e c t e d t ha t
co n st r uct i on of t he n e t w i l l t a k e se ve ra l yea r s a n d wi ll n ot st a rt b e for e a numb e r
of a d d it i ona l s tu d ie s h a s b e e n ca r r ie d ou t . The d e ci si on t o i n st a l l a s ui ci d e ba r r ie r
ha s b e e n s ur ro u nd e d b y a l ot of d e b a t e a nd c o nt r o ver sy. We wi l l c on si d e r s ome of
t he m a i n ar g u me nt s of t h e op p o ne nt s (t h ose w ho a r e a g a i nst t he i ns t al la t i o n of t he
b a rr ie r ) a nd t he p r op o ne nt s ( t hose w ho a r e i n f a v ou r of i ns t al la t i o n of t he ba r r ie r ).

A es t het ic ar g um e nt
O p p on e n ts : T he G ol d e n Ga t e B r i d g e ha s b e e n p r a i se d f o r i t s t ra n s p a re n cy a nd
op e n ne ss. A ny b a r ri e r d e s ig n w oul d d e st r oy t he v ie w . A r c h it e ct Je f f re y H e l l e r , fo r
e xa m p le , st a t e d: Whe n y ou l oo k st r a i g h t o u t , y ou ' ll s ee t hr o ug h a l l t hi s m e s h,

90
B a s ed o n h t t p : / / en .w i k i p ed i a . o r g / w i ki / G o l d e n _ G a t e_ B r i d g e a n d
h t t p : / / w w w .s f g a t e .c o m / c g i- b in / a r t i c le .c g i ? f = / c / a/ 2 0 0 5 / 1 0 / 3 0 / M NG 2 NF F 7 K I1 . D T L V i s i t e d 2 9
June 2009.
91
S o m e p e o p l e b el i ev e t h e a c t u a l n u m b er is h i g h e r b ec a u s e m a n y c a s es a r e n o t r ep o r t ed .

75
w hi c h w il l b e sa d e no u g h, b u t l ook i ng s tr a ig h t d ow n t he ro a d w a y, i t wi l l b e c om e a
ca g e . T ha t i s fa r t o o hi g h a pr i c e f o r ou r so cie t y t o p a y. 92
P r op o ne nt s: Ae s t he t i c co n si d e r a t io ns ca n b e a c co u nt e d f or in t he d e si gn of t he
b a rr ie r .

E ffecti ve ne s s arg ume n t

O p p on e n ts : a s u ic id e ba r r ie r w i l l n ot b e e f f e ct i ve , si n ce p e op l e w h o wa nt t o ki l l
t he m se lv e s w i l l si mp l y g o s ome w he r e e l se .
P r op o ne nt s: m os t s u ic i d al p eo p le a ct in a n i mp uls e a nd, w he n p r e v e nt e d fr om
a ct ua l l y ki lli ng t hem se lve s, t he y of t e n se e k he l p a nd l oos e t h e d es ir e to d ie .
A c co rd i ng t o a s tu d y b y D r. R i cha rd S e id e n o f U C B er ke l e y, t he h yp ot he s is t ha t
G old e n Ga t e B r id ge a t t e mp te r s w i l l j us t g o s ome p la ce e ls e i s u ns u pp o r te d b y t he
d a t a. H e s t u d ie d 51 5 p e op le w h o, f r o m 1 9 37 t o 19 7 1 , we r e p re ve nt e d f r om
j ump i ng f rom t he br id g e , a nd f oun d t ha t o nl y 6 p e r ce nt w e nt o n t o k i ll t he m se l ve s.

E co nom ic ar gu me nt
O p p on e n ts : t he ba r r ie r i s no t w or t h t he c os t s . Ev e n if t h e b a r r i e r w o uld sa ve 20 t o
2 5 li ve s a ye a r , it is n ot w or t h 5 0 mi l l io n b ui ld i ng c os t s p l u s t he a n nua l op e ra t io n
a nd m a i nt e n a n ce co st s .
P r op o ne nt s: A h u ma n l if e ca n not b e ex p r e sse d i n mo ne t a r y t e rm s. Mor e o ve r , a
co st -b e ne f it a na l y si s wr o ng l y a no n ym iz e s t he v i c t i ms: Y o u m a y not t hi n k t ha t 2 4
li ve s a ye a r i s w or t h s pe n d i ng $ 5 0 mi l li o n. . . .. w el l t ha t i s u nt i l i t i s y ou r da u g ht e r ,
so n, s is te r , b ro t h e r, f r ie n d , hu sb a nd , w if e e t c 93

A ut o nom y argu me nt
O p p on e n t: o ne s ho uld not i nt e r f er e w it h p e o p le s fre e d om t o c omm it s u ic i d e: If I
w a nt t o ju mp of f t he b r id g e , I d o nt t hi n k it i s a nyo ne s jo b t o s t op me . 94
P r op o ne nt : th e d e c is i on t o k ill o ne se l f i s us u a ll y m a d e i n a n i mp u ls e . A s one
co mm e nt e r pu t s it : I d o b e l i e ve t ha t p e o p le ha v e f r e e wi ll a n d t ha t s oc ie t y s ho u ld
no t i nt e r f e r e w it h t he i r f r e e w i l l. B ut t he s e p e op le a r e m e n ta l ly il l, a nd t he i r
il l ne ss ca n b e t r e a t ed . B ut , t he y c a n not b e t r ea t e d if w e l e t t h e m j um p of f t he
b r i d ge . 95

Re s po nsibi lit y argum e nt

O p p on e n t: it i s not t h e r e sp ons i b i l it y of s oc i e t y or t he d i r e ct o rs of t h e b r i d g e t o t r y
t o pr e ve nt s ui ci d e s. M or e o ve r, i t i s w ro n g t o u se a r c hi t e c t ur e t o so l ve a s oc i a l
p r ob le m . I n t he w ord s of Je f f r e y He l le r : Y ou ca n 't c or r e c t a l l of t he sa d ne ss a nd
e vi l in t he w or l d.
P r op o ne nt s: i t i s t he r es p o nsi bi lit y of so ci e t y a n d t he br id g e d i r e c tor s t o a ct . A s
Je r o me M ot t o, a pa st p r e s id e nt of Am e ri ca n A ss o ci a t i o n of Sui ci d o l og y e xp r e s se d
it : I f a n i nst r ume nt t ha t 's b e i ng u se d t o b ri ng a b out t r ag i c de a t h s is u n d er y o ur
co nt ro l, yo u a re mo r a l l y c om p el le d to p r e ve n t it s m i s u se . A s ui ci d e b ar r ie r is a
mor a l i m pe r a t i ve . A c c or d i ng t o M ot t o, I t s no t a b o ut w h e t he r t he s ui c i d e
st a t i s t i c s w o ul d c ha n g e, or t he co st , or wh e t he r [ i t ] w o uld b e a s be a ut if u l. A
b a rr ie r w oul d s a y, So ci e t y i s sp e a k in g , a nd w e c are a b ou t yo ur l i f e.

A s w e c a n se e f r om t h e se e xa mp le s, t he p ur p os e of a r g ume nt a t i o n i s f ir st a nd
f ore m os t t o j us t if y or re f ut e a st a t e me nt . A r gu me nt a t i o n i s a n a ct i vit y w hi c h c a n
b e d i re ct e d t ow a r d s d e f e nd i ng a n o pi ni o n ( i. e . , a n at t e mp t e d j u st i f i ca t io n) o r

92
B a s ed o n h t t p : / / w w w .s f g a t e .c o m / c g i -
b i n / a r t i c l e .c g i ? f = / c / a / 2 0 0 5 / 1 1 / 0 3 / M N GF 1 F C P 6 3 1 . D T L
93
C o m m en t p o s t e d o n
ht t p : // w w w. m e nt a l he l p . ne t/ p o c/ v i e w_ d o c. p hp ?t y p e =w e b l og & id = 4 5 6 &w li d =6 & c n= 9
94
C o m m en t p o s t e d o n
ht t p : // w w w. m e nt a l he l p . ne t/ p o c/ v i e w_ d o c. p hp ?t y p e =w e b l og & id = 4 5 6 &w li d =6 & c n= 9
95
C o m m en t p o s t e d o n
ht t p : // w w w. m e nt a l he l p . ne t/ p o c/ v i e w_ d o c. p hp ?t y p e =w e b l og & id = 4 5 6 &w li d =6 & c n= 9

76
a t t ac k in g a n op i ni on ( i . e . , a n at t e mp t e d r e f u ta t io n ) . I n t he i r ow n w a y s, b ot h
a ct i v i t ie s c o ntr i b ut e to t h e c r i t i ca l f u n ct io n o f a r g ume nt a t i on. I n t h is c hap t e r we
w il l d i s c us s som e a sp e c t s of a r g um e nt a t io n t he or y. I n pa r t i cu la r w e wi ll e xa m i ne
ho w yo u ca n j us ti f y or r e f ut e a n o p i ni o n.

E t hi ca l t he or ie s a r e cl e a r l y a r g ume nt a ti ve i n th e ir co nf i g ur a t i o n. It ha s oft e n b ee n
sa i d t ha t w e ne e d t he s e t he o r ie s t o j us tif y our mo ra l j ud g m e n t s. A l t ho ug h, t he
ne ce ssi ty of a r gu me nt a ti o n i n e t h ic s i s n ot d e b at e d, mo st li t e r a t ur e o n e t hi cs pa ys
no at t e nt i o n t o f or ma l a rg um e n ta t i o n. O ur m a i n p ur po se in t hi s c h a p t er i s t o g i ve a
p i ct ur e of h ow t h e d e t e r mi na t io n w he t he r a c t s a re r ig ht or w ro ng t a ke s p l a c e i n
e t hi ca l t he or ie s on t he b a s i s of t he t y po log y of s or t s of a rg ume nt at i on. We w i ll
r e st ri ct our se l ve s t o t he t h r e e m ai n t he o ri e s : ut il i t a r ia ni sm, t h e t h e or y of K a nt , a n d
vi r t ue e t h i cs (s e e p r e v i o us c ha p t e r) . We s t a r t f r o m t he nor m a ti ve s t a nd p oi nt t ha t
a c ti o n A i s m or a ll y ac ce p t a b l e . We s ha l l se e t ha t d if f e r e n t a r g um e nta t io n s c he m e s
f ound i n t he a r g um e nt a t io n l it e r at ur e 96 a r e us e d i n t he e t h i ca l t h e o r i e s. T o c he ck
w het he r a p a r ti c ula r p i e c e of a r gu me nt a t io n i s so u nd , it i s of g r e a t i mp or t a nc e t o
r e c og n iz e t h e a rg ume n t at i on s c he me , b e ca us e c e rt a in cr i t i ca l q ue s t i on b e l o ng w it h
ce r t a i n s ch e me s. B y m e an s of t he s e q u e st io n s, w e ca n s ee w he t he r th e
a r g ume nt a t i o n c a n b e ar t he s cr ut i ny of cr it i ci sm.

I n s e c t i o n 4 . 2 w e w i l l cl a ri f y s om e b a s i c t e r m s in t he a r g um en t a t i on t he or y, a nd go
int o t he q ue s ti o n w he n a n a rg um e n t i s va li d . T he d is t i n ct i o n b e t w e en d e du ct i v e
a nd n o n-d e d uct i v e a r g um e nt s w i l l b e d i s c us s e d i n se ct i on 4 . 3 . I n s e ct io n 4. 4 , w e
sha ll c o ns id e r t he a s se ssm en t of ar g u me nt s t ha t a re u se d i n th e t hr e e e t hi ca l
t he or ie s: U t i l it a r ia ni s m, K a n t 's e t hi cs a nd v i r tu e e t hi c s, a nd w e s h a ll g i ve m or e
d e t ai ls o n a fr e q ue n t l y o c cu r ri ng a r g um e nt a t i on s c hem e : t he a r g um e nta t io n b y
a na l og y. I n t he la s t s e c ti on, w e di s cu ss s om e f al la c i es , a nd e sp e ci a ll y f a l la ci e s w it h
r e sp e c t t o t he a cc ep t a b il i t y of t e c h no l og i c a l r is k s.

4.2 . Val i d ar g u men ts

B ef or e w e g o in t o t he que st io n w he n a n a r g um e nt i s va lid , it w il l b e h e lp f ul t o
cl a r i f y s om e of t he te r ms w i t h r e s p e c t t o a r g ume nt a ti on t he or y. T he f ir st t e r m w e
d e f i ne i s argum en t , a f un d am e nt a l l og i ca l c o n ce pt .

A n arg um en t is a s et o f statem e nt s, of w hich one (the c on c lu si o n ) i s claimed

to follow fro m t he ot h ers (t he pr e mi s e s ).

So, t h e co nclu sion of a n a r g ume nt i s t he st a t e m e nt t ha t i s a ff i rm e d o n t he b a s is of

t he ot he r s ta t e me nt s of t he a rg um e n t , a n d t he se ot her st a t e me nt s , whi c h a r e
a f f ir me d ( or a s su me d ) a s p r ovi d i ng s up p or t or r e a so sn s f or a c ce pt in g t he
co n cl u si on, a r e t h e pr emis es of t ha t a r g ume nt . A st a t e me nt i s a d e s c ri p ti ve or
no rm at i ve j ud g me nt s ( se e c ha p t er 3 ). Q ue s t i on s ( e. g. w hat t im e i s it ? ) , o rd e s ( e . g.
st a y! ), a nd e x cl a ma t io ns ( e . g. GO A L! ) a r e no ns t a t em e nt s.

I n g e ne ra l w e ca n st a t e t ha t a n a r g um e nt ca n f or ma ll y be e x p r e s se d a s fo l l ow s:
P 1 , P 2 , . . . , P n , so C

w he r e P 1 , P 2 , . . . , P n a r e t he pr e m i s e s a n d C i s t he c o nc l us io n. T he numb e r of
p r em ise s va r ie s, b ut i n pr a ct i ce t he num b e r wi ll b e s ma l l.

A rg ume nt s ca n b e j ud g e d on t he ir ef f e c t i v it y: T o w ha t e x t e nt is a n a r g ume nt us e f ul
t o re a ch t he i nt e nt e d r e s ult . I n d e ci d i ng t hi s w e c an d ist i ng ui sh t w o e xt r e me
a na l y se s:

96
V a n E em er en & G r o o t en d o r s t ( 1 9 9 2 ) , K i en p o i n t e r ( 1 9 9 2 ) , a n d S c h el len s ( 1 9 8 5 ) .

77
 1 . t he r hetor ic a na l ys is: i s t he a rg um e n t p e r sua si ve f or t he a ud ie n ce ? , t o be
p r ove d r ig ht i s m ore i mp or t a nt t ha n t o b e r i g ht .
2 . t he l ogi ca l a na l y si s : i s t he a r g um e nt va li d?

F r om a v ie w po i nt of r a t io na l t hi nk i ng, t h e p r i m a r y p u rp ose of an a r gu me nt is t o
p r ov i de e vid e n ce f or a c o nc l usi o n, a nd t h a t i s w hy w e le a v e out t h e r he t or i c
a na l y si s .

Lo g i c, a s a d i sc ip li ne , is c on ce r ned w it h a rg u me n tat i o n. I t s co nc e r n is t o
d is t i ng ui s h a g ood a r g ume nt f r om b a d o ne , or b e t t e r f rom w or s e . Wit h t ha t , t he
a im is t o i n ve s t ig a te , d e v e l op , a nd s y st e ma t iz e p r i n ci pl e s a nd m e t hod s t ha t ca n b e
us e d to d i s ti ng u is h va l i d a nd i n va l id a r g um e nt s. I n p r i n ci p le t his d is ti nc t i o n i s not
d if f i c ul t. Wi t h va li d a r g um e nt s, t he co nc l us i on of t he a rg ume nt f o l l ow s w i t h
ne c ce s si t y fr o m i ts pr e mi se s. A nd w i t h i nva l i d a r g u me nts , th e p re m ise s d o not
e nt a i l it s c on cl us i on.

P1: I f it ra i ns , t he st r e et s b e c om e w e t .
P2: I t r a i ns
C: T he st r e e t s b e c om e w e t .

A st a t e m e nt co mp ose d of t w o c onst i t ue nt s t a t e me nt s a nd t he co nn e ct iv e 'if . . , the n

. . . ' i s ca ll e d a co ndit io nal . T he c om p o ne nt st a te m e nt t h at p r e c e d e s ' t he n ' i s ca l l e d
t he a n t e ce d e nt , a nd t he c om p o ne nt f ol l ow i ng 't he n ' i s c a lle d t he c on se q ue n t .
P r em ise P 1 i s a co n di t i ona l , w he r e 'it r a i n s ' i s t he a n t e c ed e nt , a n d 't he st re e t s
b e c om e w et ' t he c o nse q ue nt .

F or t h is a r g um e nt i t i s i nc o n ce i va b le t ha t t he p r e mi s e s ar e t r ue a n d t he c o nc l usi o n
is f a l se , b e c a us e i f t he c o nc l usi o n w a s f a lse , t he n it d o e s not r a i n ( or th e n i s
p r em ise P 1 fa l se ). T h e a r g um e nt f o rm s a n i n st a nc e of t he va li d a r g um e nt f o r m
mod u s p one ns :

I f p, t he n q
p
So, q

p a nd q st a nd f or a n y st a t e me nt . A n a r g um e nt is vali d w he n it s p r e mis e s , if t r ue ,
d o pr o vid e co nc l u si ve g r ou nd s f or t h e t r u th of it s c o nc lu si on. S o, t he p re mi se s a nd
co n cl u si on a r e s o r e la t e d t ha t it i s i mp os si b l e f or t he p r e m i se s t o b e t r u e u nle ss it s
co n cl u si on i s t r u e a ls o . In d e e d, t h e d e f i ni t i o n of a va li d a r g ume nt is d e f i ne d i n
t e rm s of tr ut h a n d f a l s e h oo d , b ut t h is d oe s not sa y a n yt hi ng a b o ut t he a c t u a l t r ut h
of t he p r e m i se s. T he p r e mi s e s a r e h yp ot he t i c a l: S upp ose t he p r e m i se s a r e t r ue ,
t he n t h e c on cl us i on m us t b e t r ue i n a va l i d a r g um e nt .

T he f ol l ow i ng a rg um e n t of t e n c o nf u se d w i t h a n in st a n ce of t he m o du s po nens i s
t he falla cy of affi rm in g t he co ns e qu en t :

P'1: I f it ra i ns , I w il l st a y a t h om e
P'2: I wi ll s t a y a t h om e
C' : I t r a i ns

A n e r r or o r d e f i ci e nc y i n a n a r gu me nt is r e f e rr e d to a s a fa llac y ( or s p e c io us
a r g ume nt ). T he a r g um e nt a b ov e i s i nva li d . T ha t t h e p r e m is e s a re t r ue d oe s not
g ua r a nt ee t he t r u t h of t he co n cl u si on. F or e xa m p l e , I w i l l st a y a t ho me si nc e I
w a nt t o w at c h my f a vo ur i t e t e le v i si o n pr og ra m me . I n t hi s c a se , b ot h t he p r e mi s e s
a r e s t i ll t r ue , b ut t he co n cl u si on ne e d not b e t r ue, w hi c h is i n c on f li c t w i t h ou r
d e f i nit io n of a va li d a r g um e nt . T he co u nt e r - exa m pl e s how s t ha t t h e t r ut h of t he
p r em ise s of t h is a r g u me n t d oe s no t g ua r a nt e e t he t r ut h of t he c o nc l us io n. U si ng

78
co u nt e r - exa m pl e s, a s d one he r e , i s a p ow e rf ul me t h od t o s h ow t he i nva li d it y of
a r g ume nt s.

A not her w e l l k no w n va l id ar g u me nt f or m i s m odu s t ollens . A n i nst an ce of t hi s f or m

is :

P"1: I f it ra i ns , I w il l st a y a t h om e
P"2: I wi ll n ot st a y at h ome
C ": I t i s n ot r a i ni ng .

T he f ir st p r em is e s of mod u s t ol le ns is a c on d it i o na l ( 'if i t r a i ns, t h e n I w il l s t a y at

ho me ') , w hi le t he s e c o nd ( 'I w il l n ot st a y a t ho m e ') d e nie s t h e c on se q ue nt of t he
f ir st p r e m i se . T he c o n cl u si o n ( 'i t i s not r a i ni ng ') de n ie s t he a nt e c e d e nt of t he f ir st
p r em ise . A fal la cy of den ying t he a ntec ede nt o c c ur s w he n on e s h oul d co n cl u d e 'I
w il l not st a y a t hom e ' f rom t he pr e m i s e s 'I f i t r a i n s, I w i l l s ta y a t hom e ' a nd 'I t i s
no t r a i ni ng '.

A s is u s ua l i n a r g um e n t a t io n a co n cl u si o n ca n b e c ha l le nge d i n t w o w a y s. We ca n
sh ow th a t a pr e mi s e is f a ls e, or w e c a n s ho w tha t t he a r g u me nt is i nva l i d a nd t ha t
t he c on cl us io n i s p r e m at ur e . Wi t h r e sp e c t t o t he la st m e t hod w e ha ve se e n a n
e xa m p le : t he f a l l a c y of a f f ir m i ng t he c ons e q ue nt . T he c o nc l usi on ' It r a i ns ' ca n b e
f a lse , i f t he p re mi s e s ' If it r a i n s, I wi l l s t a y a t h om e ' a nd ' I w il l s t a y a t ho me ' b ot h
a r e t r u e . T h e co ncl us i on of t he fi r s t ar g ume nt ( a n i ns t a nc e of t he mod u s p one ns )
ca n onl y b e c ha ll en g e d b y s ho w i ng t h a t a p r e mis e i s n ot t r ue. T o t e s t t h e t r ut h o r
f a lse ho od of p r e m i se s i s t he t a s k of com mo n se ns e or s c ie nc e i n g e ne ra l , s i nc e
p r em ise s m a y d e a l w it h a ny s ub je ct ma t t e r a t a ll . T he l og i c ia n i s not so i nt e re s t e d
in t he t r ut h or fa l se h ood of s t at e me nt s o r t h e c o nt e nt of t h e st a te m en t s, b ut i s
int e r e s t ed i n t h e d e t e r m i na ti o n of t he va li d it y of a r g um e nt s ( e v e n of a r g u me nt s
w h os e p r e mi s e s m ig ht be f a ls e ) . T he p os si b i lit i e s to c ha ll e ng e a c on cl us io n a r e
sh ow n i n t he f ol low i ng c ha r t .

Th e a r g u m e nt is
v a li d
Th e a r g u m e nt is
inv a l id
A l l p r e m is e s a r e t r u e
C o n c lu s i o n c a n n o t b e
c h a ll en g e d
C o n c lu s i o n c a n b e
c h a ll en g e d
S o m e p r e m is e s a r e fa ls e
C o n c lu s i o n c a n b e
challenged
C o n c lu s i o n c a n b e
challenged

F or e xa m p l e, i n t he G old e n Ga t e B r i d g e su i c i de b a r ri e r ca se t he f o l lo w i ng a r g um en t
co u ld b e p r od u ce d f ro m t he a ut o nom y a r g u me n t:

P1: So me o ne w a nt s t o c o mm it s ui ci de ,
P2: I f s ome o ne w a nt s t o c omm it s ui ci d e , t he n n ob od y ha s t he r i g ht t o
st o p hi m/ he r
C: N ob od y ha s t he r i g h t t o s t o p a pe r s on (w h o w a nt to co mm it s u ic i d e )

T hi s a rg ume nt i s va l i d . So if w e wa nt t o c ha l l e ng e t he c on cl us i on, w e ca n on ly d o
t hi s b y s h owi ng t ha t a p r e m i se i n not t r ue . I n t hi s e xa mp l e , t he p r op on en t s d i s p ut e
t he s e c ond p re m is e b y st a t i ng t ha t s ui cid a l p e op l e a r e m e n t al ly i l l, a nd t ha t t h e se
p e op l e s ho u ld b e t r e a t e d . A nd t he s e p e op le ca nnot be t r e a te d if w e (t he s oc ie t y)
le t t he m co mmi t s ui cid e .

I n a c t u a l p r a c t i c e , o ne mi g ht s e e t ha t s om e p r e m is e s or t he c on c l us io n h a s n ot
b e e n e xp li c it l y s t a t e d . Be ca use t he r e i s s om e c om mo n k n ow le d ge or ba ck g r o un d
a g re e me nt be t w e e n t h e pr e se nt e r a n d t he re c ei ve r of t he a r g um e nt , w hi c h mu st be
a ss um e d a s p a rt of t he c o nt e x t of t he a r g um en t . Co n si de r t he a r gu me nt : "I 'm not
g oi n g t o cla s s e s t o da y , b e ca us e I 'm il l. " F or ma ll y, we ca n e xpr e s s t hi s a s f ol l ow s:
P1 I 'm i ll
C I 'm no t g oi ng t o c la ss e s t od a y

79
T he p r e m i se P 1 d oe s n ot s up p l y a d e q ua t e re a so n s f o r a c c e p t i ng t he c o n cl us i on s.
We nee d t o a d d a p r e mi se t o g ua ra nt e e t he tr u t h of t he c on c l us i o n. We ca n
r e a s o na b l y s up p l y f or t he mis s ing or u ns tate d premi se (b y r e l e va nt c om m o n
k now l e d g e ) t he st a t e m e nt : "I f I ' m i l l, t he n I 'm not g oi ng t o cla ss e s ", w hi c h ma k e s
t he a r g um e nt va l i d. S o , if w e re co n st r uct a n a rg ume nt f or d e t e r m i n in g w he t he r t he
a r g ume nt is va l id , we ha ve to a d d a l l t he m i ssi ng p r e m ise s or c o n c lu si on. I t c a n
ha p p e n, how e ve r, t ha t a r e ce i ve r s up p l i e s a n ot he r pr e mi s e f or t he u nst a te d
p r em ise t ha n t he pr e s e nt e r , w hi c h ca n l e a d t o m is und e r s ta nd i n g s.

4.3 . D ed u c ti v e a n d no n- d ed u c ti v e ar g u m en ts

V al id a r g u me nt s a re of a de d uctive na t u r e , i. e . the co n cl us i on is e n cl os e d i n t he
p r em is s es : t he re s ul t, t he c o nc l us io n, sa y s n o m ore a nd i s not l og i c a l ly s t r ong e r
t ha n t he t ot a l i t y of p r e mi s se s t ha t t he a r g u me n t i s b a se d on. V al i d a r g u me nt s
t he r e f o re a r e mo noto nic , i. e . a d di n g ne w pr e mis e s ca n no t c ha ng e a nyt hi ng in t he
log i ca l va lid it y of a c o ncl us io n th a t is d r a w n . T hi s i s ob v io us b e ca us e t he
co n cl u si on w a s a l r e a d y i mp lie d i n t he ol d s e t of pre mi sse s, s o i t i s a ls o i nc l ud e d i n
t he n e w a nd la r g e r se t of pr e m i s e s.

M a ny a r g um e nt s f r om d ai l y p r a c t i c e a r e no t c on st r u ct e d d e d u ct i ve l y a t a l l. I n t he se
no n-de ductive a rgum ent s ( a ls o k now n a s n on- mo n ot on ic ar g um ent s ) , t he
co n cl u si on i s l og i ca ll y st r on g e r t ha n t he pr e mis se s. I n ot he r w o rd s , t he pr e mi sse s
if t r ue g i ve a l i mi t e d a m o u nt of su p p or t to t he co ncl us io n. In s u ch s it ua t i o n i t
is a l w a y s t he ca se t ha t t he t r ut h of t he p r e mis se s d oe s no t g ua r a nte e t he t r ut h of
t he c on cl us io n. A d di ng ne w p r e m is se s ca n s t re n g t he n or w e a ke n t h e c o nc l us io n.
A c ce p ti ng t he c on c l us i on i s b a se d on co n sid e r at i on s t ha t ma ke us e of t he
pla us ibilit y princ iple f or n o n- d e d u ct i ve a r g um e nt a t i o n. For e x a mp l e , w e m us t
a ss um e t ha t Jo hn a t e the ca k e b e t w e e n 8 . 0 0 an d 9 . 00 a . m. b e ca us e t he ca ke
d isa p p e a re d i n t he me a n t ime a nd he w a s t he o nl y p er s on t o ha ve b ee n i n t he
r o om , a ni ma ls ha d n ot a c ce ss t o t he ca ke t r a y, a nd a ll ot he r e xp la n a ti on s f o r t he
ca ke s d i sa p pe a r a nc e c a n b e e x c l ud e d . T he su m of a l t e r na t iv e e xp la na ti ons t o b e
e x cl ud e d m us t be c o nt in ue d u nt i l t he y l ea d t o a p la u si b l e a s s u mp t i on, i . e. t h a t
Joh n m ust i nd e e d h av e e a t e n t h e ca ke . I n t hi s non -de d uc t i ve a r g um e nt a t i on a n
a t t em p t i s ma d e to b e c o nv i nc i ng t h r ou g h e n ume r a ti on a nd s up p le me n t a r y
a r g ume nt a t i o n, w he re a ll ima g i na b l e d oub t s ha ve n o b a s e a nd th e co n cl u si on m us t
b e t r u e , s o t ha t i n t hi s ca se Jo h n m u st ha ve e a t en t he c a ke. A sma l l d eg r e e of
u nc e rt a in t y r e m a i n s i n t hi s a r g u me nt a t i on d u e t o it s i nd i r e ct na t ur e (n ob od y
a ct ua l l y s a w Jo hn e at i ng t he ca ke ) .

A fr e q ue n t l y o cc ur ri ng f or m of no n -d e d uc t i v e ar g u me nt a t i o n in s ci en ce i s c a ll e d
in du ct ive a rg ume ntati on : a rg u me nta t i o n f r om t he p a rt i c ul a r t o t he g e ne r a l.
A tt e m p t s a r e ma de t o su p p or t t he t r ut h of a n e mp i r i ca l l a w b y me a ns of
me a s ur e me nt r e su lt s. A st a nd a r d e xa m p l e i s t he B oy le s l a w of g a s: pr e ss u r e t i me s
vo l ume is co ns ta nt ( p x V = c) . O n t he b a s i s of a lim it ed n um b e r o f e xp e ri me nts ,
B oyl e d r e w th e co n cl u si on t hat f or all va l ue s of pr e ss ur e a nd v ol u me t he p r od u ct
ha d t o b e c on st a nt . Fo r t hi s ca s e w e ca n c he c k t he de g r e e of p la u s ib i l it y of t h is
co n cl u si on us in g t he f oll ow i n g cr itical que stion s :
1 . We r e t he e xp e r i m e nt s ca r r ie d ou t r el e va nt f o r t he c o nc lu si o n ?
2 . We r e s uf f i cie nt e xp e r i me n t s ca r ri e d o ut to s up p or t t he co n cl us i o n?
3 . A re t he r e n o c ou nt e re xa mp le s ?

I f al l t he s e qu e st io n s ca n b e a ns w e r e d p o sit ive l y, we ca n sp e a k of a s o u nd
a r g ume nt a t i o n a nd not of a va l i d a r g ume nt a t io n. It i s on l y i n t he c a se of d e d u ct i ve
a r g ume nt a t i o n t ha t w e ca n sp e a k of va li d a r g um e nt a ti o n. D ue t o t he i nd i r e ct
na t ur e of n o n-d e d uct i ve a r g um e nt a t i o n, t he r e al w a ys is a sm a l l d e gr e e of

80
u nc e rt a in t y: it ca nn ot be e x cl ud e d t ha t t he n e xt me a su re m e nt of a g a s w il l not
me e t Bo y l e s la w . De d uc ti ve a rg u me nta t i o n co mp l e t e l y e x c l ud e s a n y p o ss i b le
d o ub t . T he y a re d i r e ct (w i t h o ut e n um e r at i on s a nd s up p le m e nt a r y a r g um e nt a t io n);
if t he pr e mi s e s a r e t r ue , i t i s im p o ss ib le f o r t he c o nc l usi o n t o b e un t r ue .

A fa l la c y r e la t e d t o i n d uct i v e a r g um e nt a t io n is t he ras h ge nera li za tio n . T hi s oc c ur s

if t he ge ne r a l iza t i on i s n ot so und , b e c a use t oo fe w ob se r va t i on s w e r e us e d a s a
b a si s f or t he g e ne r a l s t a t e me nt for e xa mp le . U si ng p a rt i c ul a r a r g um en t a t i o n
sc he me s i n t h e e t hi ca l a r g um e n t s i n t he n e xt se ct i o n, we s ha l l c om e a c r os s s e v e ra l
f a ll a c ie s.

4.4 Ar gu me n ts i n e thi c a l the o r i es

I n t hi s s e c t i on, w e sh a ll c on si d er t he a s se s s me n t of a r g um e nt s t ha t ar e u se d i n
t hr e e e t hi ca l t h e or ie s: U t i l it a r ia ni sm , Ka nt ' s e t h ic s a n d vi r t ue e t hi c s, o n t he b a s i s
of t he u nd e r l y in g a rg u me n t at i on sc he me s of t he p r a gma -d ia l e ct ic a l a p p roa c h 97.
B ef or e t hi s w e w i ll d is c us s a f re q ue nt l y use d a rg um e n t at i on sc he m e i n e t h i ca l
d is c ou r s e , a rg um e nt at i on b y a na l og y, w h i ch a re of t en us e d t o f i l l t he po li c y or
mor a l va c uu ms, e sp e c i a l l y, s ur r o u nd in g mo d e rn t e c hno lo g y.

4 . 4 .1 A rgume nta ti on b y a na logy

I n a n a r g ume nt a t i on b y a na l og y w e tr y t o re a c h a mo r al a s se s s m e nt of a n u n k no w n
or ne w s it ua t i o n b y b a si ng t ha t a ss e s s me nt on a sit ua t io n i n w h ic h t h e m ora l
a ss e s s me nt is c l e ar a n d t he c omp ar i so n i s s u f f ici e nt . Re g a rd i ng m o r a l q ue st i on s
r e la t e d t o mo d er n t e c hno lo g y, t he r e of t e n is a s e a r c h f or c omp a r a b le t r a d i t i o na l
ca s e s t ha t ha ve a lr e a d y b e e n mor a l l y a s se s s e d. O ne e xam pl e of t h is w a s t h e
d is c us si o n i n t he e a rl y ni n et i e s on ha c ki ng , i . e . the a t t e m p ts t o g a i n a c ce ss t o
co mp ut e r ne t w or k s t h at b e lo ng t o ot he r s. A n umb e r of ha c ke r s f e l t t h e ir b e ha vi or
w a s m or a ll y a c c e p t a b l e , be ca u se t he ir on ly p u rp ose w a s t o he l p s ys te m ma na g e r s
t o t r a ce e r r or s i n t hei r s yst e m s. H ow e ve r, a n op p o ne nt ca n ma ke u se of t he
f oll ow i n g a r g ume nt at i on b y a na l og y t o ne g a te t he sta nd p o i nt : Y o u do n ot g o t o a
cl ot hi ng st or e a nd s e t f ir e t o th e cl ot hi ng t he r e t o se e w he t he r f i re sa f e t y
p r oc e d ur e s ar e i n p la c e . T hi s i s b as e d o n t h e c o n ce a le d p r e m is e t ha t se t t i ng f i re
t o cl ot hi n g t o t e s t fi r e s af e t y is m ora l l y u na c c ep t a b l e . A na l og ousl y, ha c ki ng i s
u na c ce pt a b le t o o.

T he a r g um e n t a t i o n b y a na l og y ha s a non -d e d u ct i ve na t ur e , b e c a u se w e dr a w a
co n cl u si on o n t he b as i s of com p a r i s o n. We c an ne ve r st a t e w it h c e r t a i nt y t ha t t he
sa m e ha s t o a pp l y i n a comp arable s it ua t i on ( ob vi ous l y s om e t hi ng d if f e r e nt f r om
t he s a me sit ua t i o n) a s is t he ca se in t he s e l e ct e d e xa m p le s i t ua t i o n . Us i ng c r it i ca l
q ue s t i o ns , me nt i one d be l ow , w e ca n d e t e rm i ne how pl a us ib le t he a ss um pt i on i s
a nd w he t he r o r n ot t h e a rg u me nt at i on is s o und .

Ar g u m en ta ti o n by a n al o g y

I f s ome t hi ng is / w a s t h e c a se i n a n e xa mp l e c a se , t he n i t a l s o ho ld s t r ue f or a
co mp a r a bl e s it uat i on.

F orm a l d es cr ipt io n :
- Sit ua t i o n q is c om pa r a b le w it h s it ua t i on p ( t he a na log y p rem ise ) .
- I f s it ua ti o n p o c c ur s t he n r a p p l ie s .
- So, i f s it ua t io n q oc c u r s t he n r a p p li e s .

97
V a n E em er en & G r o o t en d o r s t ( 1 9 9 2 ) , K i en p o i n t e r ( 1 9 9 2 ) , a n d S c h el len s ( 1 9 8 5 ) .

81
Criti cal q ues t io ns :
1. A re t he t w o sit ua t io ns co mp a ra b l e ?
- A re t he r e im por t a nt r e le v a nt s i m il a r i t ie s ?
- A re t he r e n o i mp ort a n t r e le va n t d i f f er e n ce s?
2. I s w ha t i s a s s e r te d a b ou t t he e xa mp le si t ua t io n t r ue ? I n ot he r w or d s, i s it
t r ue t ha t if si t ua t io n p o c c ur s t he n r a pp l i e s?

I f t he a rg ume nt at i on b y a na l og y i s t o b e so und , a ll c ri t i ca l q u e st io ns ha v e t o be
a ns w e re d p os it iv e l y. I n t he e xa mp le g i ve n a b o ve , i. e . ha c ki ng , t he prop one nt ( w h o
is de f e nd i n g t he st a nd p oi nt ) has t o a ns w e r t he se co n d cr it i ca l q ue s ti o n p os it i ve l y,
i. e . t he as se r ti on t ha t i t i s mo r a ll y u na c ce p ta b le t o se t f ir e t o cl ot hi ng i n a c lo t hi ng
st o r e t o t e s t f i r e s a f et y mu st b e a c ce p te d a s t r ue . T he f a ct t her e a re i mp or t a nt
si m il a r i ti e s is c le a r t oo : i n b ot h c a se s t he a i m i s t o t es t t he sa f e t y of a c e r t a i n
sy s te m . H ow e ve r , t he q ue s t i on w he th e r th e r e a r e n o i mp or t a nt a n d re l e va nt
d if f e r e n ce s i s p r ob l e m a t ic . T he re i s a n i mp or t a nt ( s i g nif i c a nt ) d if f e re n ce , b e c a us e
in t he c a s e of ha ck i ng i n c ont r a st wi t h c r a c ki ng no d a ma g e i s c a us e d a n d i n
t he e xa mp l e s it uat i on t he r e is d a ma g e . T hi s di f f er e n ce is hig h ly r e l e va nt , b e c a u se
ca us in g d am a g e t o cl o t hi n g w a s r e le va nt f or the m ora l a cc e p t a bi l it y w h ile t he re i s
no ma t e r ia l da m ag e i n ha c ki ng . T he a na l og y t he r e f o re f a il s. We th e n sp ea k of a
f a ll a c y: fals e analog y .

F or a b e t te r a n al o g y, t he sit ua ti on of ha c ki n g c oul d b e co mp a re d t o u nla w f ul e nt r y:

t he d e li b e r a t e e nt r y of s om e on e s h ome a g a i ns t hi s/ he r w i ll . T he i mp o r ta nt
d if f e r e n ce is now r e m ov ed , b e ca us e th e ca u si ng of da ma g e ha s b e e n r e m o ve d a s
a n is s ue . P e op l e f i nd i t mo r a l l y u na c ce p t ab le f or s ome o ne t o e nt e r the ir h om e
w it ho ut p e rm i ss i o n, i rr e sp e ct i ve of w he t he r t he i nt r ue r ca use s d a m a g e . We s e e t hi s
a na l og y b e in g us e d i n t he D ut c h C om p ut e r C r imi na l it y A ct of 1 99 3 , i n w hi c h
ha c ki ng is vi ew e d a s a mo de r n f or m of unl a w f ul e n t ry. T hi s i s a ls o r e fl e ct e d i n t he
t e rm unlawfu l comp ut er e nt ry a nd i t s d e s cr i p ti on: t h e d el i b e ra t e e nte r i ng of a
co mp ut e r sy s t e m or p a rt of it a ga i ns t t he w i ll of t he ow ne r or a dm in ist r a t or .

4 . 4 .2 A rgume nt s in a uti lita ria n ple a

T he a s s um pt i on of ut il it a r ia n is m t o d e te r mi ne w het he r a n a ct i o n is a c c e p t a b le , i s
a s f o ll ow s:

A n action is m ora ll y a ccep table if a nd onl y if that a ctio n ca n b e r ea s onab ly

expe ct ed to pr od uce t he grea tes t hap pine ss for t he greate st num b er of
people.

I n a ut i li t ar i a n p le a , t he me a ns -e nd a r gu me nt a t i o n i s a t t h e f o re f r ont . F r om a
g i ve n e nd t he m ea ns a r e d e r i ve d t o r e a l i ze t ha t e nd. T hi s a r g ume n t at i on i s no n -
d e d u ct i v e, a s t he co nc lu si on i s n ot e m be d d e d i n t h e p r e m i se s. T he r e ma y b e ot he r
me a n s t o re a li ze t he e nd , b u t t ha t d oe s not me a n t he c h oi ce f or m e a n s y ha s t o b e
ma d e (s e e b o x b e l o w) . S o w he n w e a p p l y t he me a ns -e nd a r g u me nt at i on, w e m us t
ma ke a r ea s ona b le ca s e f or t he c h oi ce of m e a ns y a nd n ot f or s om e ot he r m e a ns
t ha t c o ul d a l s o r e a li z e t h e e nd .

M ean s - en d a r g u m en ta ti o n

I f y ou w is h t o a c hi e ve e n d x, t he n y ou m us t ca r r y out a ct i o n y .

F orm a l :
- x ( t he e nd)
- ca r r y i ng o ut a c t i o n y ( t he me a n s) re a l i ze s t h e e nd x ( t he m ea ns -e n d
prem ise )
- So: d o y

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Criti cal q ues t io ns :
1. Do e s a c t i on y i n de e d r ea l iz e e nd x ?
2. C an a ct i on y b e ca r r ie d out ?
3. Do e s e x e c ut io n of a ct i on y l e a d t o u na c c ep t a b le si d e e f f e c t s ?
4. A re t he r e n o ot he r ( b e t t e r ) a c t i on s t o a c hi e v e x ?
5. I s t he e nd a c c e pt a b le ?

T he e n d i n a ut il i t a ri a n a r g um e nt i s w e ll -kn ow n: t he g r e a t es t ha p pi nes s f or t h e
g r ea t e st n um be r ; t he me a n s t o t his i s a n a ct io n. T he ut i l it a r ia n e n d i s ve r y
a b st ra c t; d e pe nd in g o n t he co ns e q ue n ce s of t he p os si bl e a c t i o ns , the e nd i s ma d e
mor e co nc re t e . T he a c t io n w i t h t h e b e st c o n se q ue n ce s l ea d s t o t he mo s t ha p p i ne s s
f or t he la r ge s t n um b e r of p e op le . I n ut i l it a r i a ni sm, t he e nd is f o r m ula t e d s uc h t ha t
t he f i f t h cr it i c a l q ue st i on i s no t r el e va nt : t he ut il i t ar ia n e nd i s w or t h st r i vi ng f or b y
d e f i nit io n, a t l e a s t a c c or d i ng to p e opl e a d h e r i ng t o ut i lit a r ia n ism . D ep e ndi n g on
t he c ont e xt i n w hi c h s uch a n a r g ume nta t io n is u se d , t he cr i t i ca l q ue s ti o ns ar e of
g r ea t e r or le ss e r r e le v a n ce . T he mo st r el e va nt c r it ic a l q ue st i on i n a ut i l it a r ia n
a r g ume nt a t i o n i s t he f ir st o ne : D oe s a ct io n y a ct ua l l y r e al ize o b j e c t ive x ? T wo
ma t t e r s a re of imp or ta n ce t o a n sw e r t hi s q ue st i o n. F ir st , w e m ust d e mo ns t r a t e t ha t
t he a c t i on le a d s t o t he e x p e c t ed co ns e q ue n c e , a nd s e c o nd t ha t t he c o nse q ue n ce i s
t he b e st o ne, i . e . t he g r e at e st ha p p i ne s s f or t h e g r e a te st n um b e r . For t he f or me r ,
ca usa lit y arg um entatio n is of im p or t an ce , b e ca use a n e xp e ct e d c o n se q ue n ce is
d e ri ve d f r om a ce r t a i n a ct io n. In o t he r w or d s, t h e re i s a c a u sa l li n k b e tw e e n t he
a ct i o n a nd t he e x p e ct e d c ons e q ue nce . I n th e b ox, w e g i ve t w o f or ma l d e s cr ip t io n s
of t he ca u sa li t y a r g um e nt a t io n. T he f ir st t y p e i s the n on- d e d u ct i ve va r ia nt of t h is
a r g ume nt a t i o n: t h e c ons e q ue n ce ( t he co n cl u si o n) i s n ot e m b e d d e d w i t hi n t he
p r em ise ( t he a c t i on ). T hi s co nt ra s t s wi t h t h e s e c ond t y p e: t he d e d uc t i v e t y p e of
ca usa li t y a r g um e nt a t i o n. I f p i s t r ue a nd i f i t i s t r ue t ha t p ha s q a s a
co n se q ue n ce , t he n q i s t r ue t oo . T hi s a rg u me n t at i on sh ow s som e si mil a r i t y t o t he
mod u s p one ns . I n ma n y ca se s, i t i s p os sib l e t o c on ve r t a no n -de d u ct i ve
a r g ume nt a t i o n i nt o a de d u ct i ve o ne. Ho w e v e r, t he pro b le m of p l a us ib i li t y oc c ur s i n
b ot h. I n t he f i r st de s c ri p t i on of t he ca usa li t y a r g um e nt a t i o n, t he p l a us ib il t iy
p r i n ci p le is cle a r fr om t he fa c t t ha t w e ca n ne ve r b e c er t a i n t ha t q is t he e xp e ct e d
co n se q ue n ce of a c t i o n p . I n t h e s e c o nd t yp e , i t i s hi d d e n w it h in t he ca u sa l i t y
p r em ise .

We sha ll i l l ust r a t e t he ca usa lit y a r g um en t a t i o n i n ut i l it a ri a n r e a s o ni ng b y me a ns of

t he G ol de n Ga t e Br i d g e s ui ci d e b a r r ie r ca s e f r om t he i n t r od uc t i on. The r e t he ac ti on
no t t o i ns t al l a s ui c i d e b a r ri e r i s c on si d e r e d m or a ll y a c ce p t a b l e b y t he o p p o ne nt s
si nc e t he b a r r ie r is n o t w o r t h t he c os t s. T he ca u sa li ty a r g um e nt a t i on c ont a in s t h e
f oll ow i n g ca usa lit y p r e m ise : t he a ct io n i n q u e st i o n l e a d s t o t he f ol l ow i ng e xp e ct e d
co n se q ue n ce : 20 t o 25 p e opl e p e r ye a r w o ul d not be s a ve d , 5 0 m i l l io n b uil di ng
co st s, a n d t he a nnua l op e r a t i o n a nd ma i nt e n an ce c ost s t . T he cr it i c a l q ue st i o ns
b e l on gi ng t o t hi s ca us a lit y a r g ume nt a t i o n a r e hi g hl y re le va n t he r e . I n t hi s ca se
t he y a r e f or mu l at e d a s f ol low s: d oe s n ot in st a lli ng t he b a r ri e r i nd e e d l e a d t o t he
e xp e ct ed 2 0 to 2 5 pe o p le t o d i e e a c h ye a r i n c om p a ri s on w it h i nst a lli ng t he
b a rr ie r ? A re t he b u il di ng c os t s r e a ll y a m ou nt to 5 0 mi l li o n d ol la r s ? Wha t w a s t he
b a si s f or t he e st i m a t i o n of n um b e r of 20 t o 2 5 p e opl e ? E t c.

Ca us a li t y ar g u m en tati o n

I n t hi s a g u me nta t i on, us e i s m ad e of th e f a c t t ha t a ce rt a i n e xp e ct e d co n se q ue n ce
ca n b e d e r i ve d fr om a ce r t ai n s it ua t i on o r a c ti o n.

F orm a l d es cr ipt io n :
- p (a ct i on or s i t u at i on)
- So: q (t he e xp e c te d c o ns e q ue n ce )

83
or

- p
- p c a u se s q o r p ha s q a s a c on se q u en ce ( t he ca us ality p rem ise )
- So: q

Criti cal q ues t io ns :

1. Wil l t he g i v e n s i t ua t i o n or a c t i on i nd ee d le a d t o t he e x pe ct e d co ns e q ue n ce ?
2. Ha ve n o i ss ue s b e e n f or g ot t e n, f or exa m pl e , w i th r e s p e ct t o t he e x p e c t e d
co n se q ue n ce ?
3. How d o y ou de t e r m i ne t he e xp e ct ed c o nse q ue n ce a n d c a n i t b e j us t if ie d ?

Ne xt , w e n e e d to d e m on st r a t e t ha t t he c ons e q u e nce i s i n d ee d t he b e st o ne. T hi s i s

d e t er mi ne d b y me a ns of a compa rati ve a s e s sme nt . T hi s j ud g e me nt c a n b e ma d e i f
t he e x p e ct e d c on se q u e nc e s of a l l p os si b le a ct i o ns h a v e b e e n d e t e r mi ne d ( i n w h ic h
a ca u sa li t y a r g um e nt a t io n i s u se d ea c h t im e ) , so t h at t he y ca n b e c omp a re d . U si ng
a k in d of co s t -b e ne f it a na l y si s, t he b e st p os s ib le co ns e q ue n ce is se le c t e d . B e nt ha m
f e lt m o ne y wa s a s ui ta b le me a ns w it h w hi c h t o e xp res s c o ns e q u e n c e s f or t h e ir
co mp a r is o n. B y d e f i ni t io n, t he b e s t co ns e q ue n ce is t h e g r e a t e s t h a p pi ne s s f or t he
g r ea t e st n um be r . N ot e tha t t hi s c omp a ra t iv e j ud g em e nt is a l so und e r pi nne d b y
a r g ume nt a t i o n i n w h ic h t he c ri ti ca l q ues t i on Ca n we e x p r e ss a ll co ns eq ue nc e s i n
mo ne t a r y t e rm s ? is e x t r em e l y r e l e va nt . T hi s a ls o p la ye d a r ol e i n t he G ol de n Ga t e
B ri dg e s ui c i d e b a r ri e r ca s e a nd i n t he F o rd P int o ca s e (se e ch a p te r 3 ).

B ec a us e i t i s im po ss ib l e t o de t e r m i ne t he e x p e c t ed c o nse q ue nc e s of a l l a ct i ons i n
ma n y si tua t i on s, s om e ut i l i ta r ia n s ma ke u se of a no the r e nd : t he s u m of t he t ot a l
us e f u ln es s ( pl e a s ur e ) a nd us e le s s ne s s ( p a i n) ha s t o b e p o sit i ve . Wi t h t h is c r it e r i o n,
w e ca n d e t e r m i ne w he t he r a ce r ta i n a c t i on i s s ui t a bl e a nd mo ra l ly a c ce p t a bl e
w it ho ut it b e in g ne ce s s a r y t o c o ns i d e r a l l ot he r p os s i b le a c t i on s.

F r e q ue ntl y oc cu rr i n g f al la ci e s in ca us a l it y a r gu me nt a t i o ns i n cl ud e t he pos t h o c
ergo p ropter ho c ( a f t er w a r ds , s o t he r ef or e ) a nd t he s lippe ry s lo pe . I n t he pos t
ho c ergo pr opter h oc , a c a u sa l re l at i on s hi p i s d e r i ve d si m p l y f rom t he f a c t t ha t t w o
e ve nt s oc c ur a f t e r e a c h ot he r . F or e xa mp l e , I sa w a bl a c k ca t ye s t e r d a y a n d t he n I
sa w a ca r a c c i d e nt . So bl a c k ca t s a re b a d l uc k. I n t h e s li pp e r y s lo p e wi ld
a r g ume nt a t i o n i s i n v ol ve d : f a r -re a c hi ng co ns eq u e nc e s a re d e r i ve d f r om a sma l l
ca use . F or e xa mp l e , Y ou s h ou ld n ot g a m b le . I f you st a r t y ou w il l not b e a b l e t o
st o p . So on y ou w il l l o s e a ll y our m one y a nd e nd up i n t he g ut t e r . I n me a n-e nd
a r g ume nt a t i o n f a ll a c ie s o c c ur if t he m e a n s d oe s n ot l ea d t o t he e nd . T hi s is
co mp a r a bl e t o t he p os t h oc erg o pro pte r hoc .

4 . 4 .3 A rgume nta ti on in Kantian reas oni ng

T he a s s um pt i on i n K a n t 's t he or y t o d e t e r m i ne w he t he r a n a ct i o n is m or a ll y
a c ce p t a bl e i s a s f oll ow s:

A n action is m ora ll y a ccep table if a nd onl y if the action me ets t he first

cate gorical im pera ti ve .

or

A n action is m ora ll y a ccep table if a nd onl y if the action me ets t he s econ d

cate gorical im pera ti ve .

We sha ll s t a r t w it h t h e f ir st ca t e g o r i ca l i m p e r a t i ve a nd t he n de a l w i th t h e s e c ond
on e i n K a nti a n r e a so ni ng .

84
T he f ir st cate gorical im pera tive
T he f ir st ca t e g or i c a l i mp e r a t i ve (t he uni ve r s a li t y pr i n ci pl e ) r e a d s i s a s f o ll ow s: A ct
on l y on t ha t m a x im w h ic h y o u c a n a t t he sa m e t i m e wi ll t ha t is s h o ul d b e c om e a
u ni ve r s a l la w . I f w e w is h t o d e fe nd t ha t a n a c ti on h is m or a l l y r i g ht , t he n w e fi r st
t a ke t he ne g a t i o n of t ha t ac ti on ( not h) a n d th u s no t d oi ng t hat a ct i o n . Ne x t , w e
sh ow th a t t he a ct i o n not h is m or a l l y una c ce p t a bl e b y s h ow i ng t ha t t he ma x i m of
t ha t a ct i o n ( i . e . the p r i nc i p le t ha t t h e a c ti on is e it he r p e rm i t t e d o r for b id d en f o r
yo u) le a d s t o a c ont r a di ct i o n a s s o on a s yo u ma ke a g e ne ra l l a w o f it 98. Thu s w e
ca n sa y t ha t h i s m or a ll y a c ce p t a b l e . K a nt g i ve s a n um be r of ex a m pl e s o n h ow t o
r e a c h s uc h a c o nt ra d i c t i on. His m ost w e l l -k now n e xa m p le is t he ea r li e r m en t i on e d
e xa m p le of f a l se p rom i se s ( s e e bo x) .

A no th e r f i n ds hi m se lf f or ce d b y n e c e s si t y t o b or r ow m one y. He k n ow s t ha t he w i l l
no t b e a b l e to r e pa y i t , b ut se e s a l so t ha t n o t hi ng w il l b e l e nt t o hi m unl e s s he
p r om i se s f i r m l y t o r e p a y it in a d e f i ni t e t im e . He d e s i re s t o ma ke t hi s p ro mi se , b ut
he ha s s ti ll s o m uc h c on s ci e nc e a s t o a s k h i ms e lf : I s it n ot u n la w f ul an d
in c on si s t e nt w it h d ut y t o g e t out of a d i ff i c ul t y i n t hi s w ay ? S up p o se how e ve r t ha t
he re s ol ve s to d o s o: t he n t he ma xim of his a c ti on w o ul d b e e xp r e ss e d t h us:
Whe n I t h in k m ys e l f i n wa nt of m on e y, I w i l l b or r ow m on ey a nd pr omi s e to r e pa y
it , a lt h oug h I kn ow t h a t I ne v e r c a n d o s o. N ow t hi s p r i nc ip l e of s e lf -l o ve or of
on e 's ow n a d va nta g e ma y p e r ha p s be co ns i s t e nt w i t h m y w hol e f ut ur e w e lf a re ; b ut
t he q ue st i o n now i s, I s it r ig ht ? I c ha ng e t he n t he s u gg e st i on of se lf -l ov e i nt o a
u ni ve r s a l la w , a nd st a t e t he q ue s t i o n t h us : How w ou ld it b e i f m y ma xi m w e r e a
u ni ve r s a l la w ? T he n I se e a t o n ce t ha t it co ul d nev er hol d a s a un ive r sa l l aw of
na t ur e , b ut w oul d ne c e ssa r il y c o nt r a di ct it se lf . F or s upp o si ng it t o b e a uni ve r sa l
la w t hat e ve r y one in d if f ic ul t y s ho uld b e a b l e t o pr om i s e w ha t e ve r he p l e a s e s, w it h
t he p ur po se of not ke e p i ng h is pr om is e , t he p ro mi se it se lf w o uld b e c om e
im p os s i b le , a s w e ll a s w ha t it i s s up p ose d t o a c c omp li sh, si n ce n o on e w o uld
co n sid e r th a t a nyt hi ng wa s pr om is e d t o hi m, b ut w o ul d r i di c ul e a l l s uc h s ta t e me nt s
a s va i n p r e t e nse s. (K a nt 1 7 85 )

I n h is e x am p l e , Ka nt s ho w s t h a t t he a ct i o n I w i l l no t kee p m y p r om ise ( no t -h) i s

mor a ll y u na c ce p t a b l e i f y ou a r e i n ne e d of m on e y f or e xa m p le . He d oe s t hi s b y
sh ow i n g t ha t t he ma x i m if I a m i n ne ed of mo ne y, I ma y b r ea k m y p r omi s e le a d s
t o a c ont r a di ct io n a s s oon a s a g e ne r a l la w i s m a de of i t : a n yb od y ma y b re a k
hi s/ he r p r om ise s i f he / sh e i s i n ne e d of mo ne y ( A). Fr om t h is g e ne r a l l a w w e ca n
d e ri ve t ha t it ma kes s en se t o brea k m y p ro mise ( p ) , b e c a us e t he n I w ill ge t o ut of
my m one y p r ob le m s . O n t h e ot he r h a n d, w e ca n de r i ve it m akes n o s en se to b rea k
my pr om ise ( not - p ), b e ca us e no b o d y w il l va l ue h is/ he r p ro m i se s a n y m or e .
P r om is e s n o lo n ge r ma ke se ns e , be c a us e e ve r y bo d y i s a l l ow ed t o b r e a k t he i r
p r om i se s. F r om t he c o nt ra d i c t i o n t ha t i t b ot h m a k e s se n se a nd no s e ns e t o b re a k a
p r om i se , w e ca n d e d uc e n ot - A : yo u ca n not ma ke a ge ne r a l la w o f if I am i n ne e d
of m o ne y, I ma y b re a k m y p r o mi se . Th u s, o ne m us t ke e p one s p r omi se s.

T hi s i n d ir e c t m e t ho d o f p r oof i s a l so r e f e r r e d t o a s proof from t he abs ur d or

redu ctio a d abs ur dum (La t i n f o r r e d u ct i o n t o t he ab su r d ) . H e r e , i t is a s s ume d t ha t
t he p r op os i t i o n t o b e d e m on st r a te d i s no t t r ue a nd f r om t hi s a c o nt r a di ct io n is
d e ri ve d. 99 O ne of t he o l d e st e xa mp le s of t hi s a r g ume nt a t io n te c hn iq ue i s t he p r oof
t ha t 2 i s n ot a r a t io n al num be r .

98
Cf. Korsgaard (1996).
99
I n in t u i t io n i s t ic l o g ic t h e p r o o f o f t h e a b s u r d c a n n o t b e d er i v ed , s in c e i n t u i t on is t ic lo g i c
d o es n o t a c c e p t t h e A r i s t o t el ia n l a w o f e x c l u d e d m id d l e ( A o r n o t - A ) .

85
Th e s q u ar e r o o t of 2

A ss um e t ha t 2 i s a r a ti o na l n umb e r. T his a ss um pt i on i m pl ie s t ha t t h e r e e x i st
int e g e r s m a nd n w i t h n 0 s uc h t ha t m / n = 2. T he n 2 ca n a l so be w r it t e n a s
a n ir r e d u cib le f r a c t i on m / n ( th e f r a c t i o n i s s ho rt e ne d a s m uc h a s p os si b l e ). T hi s
me a n s t ha t m a nd n h a ve no c om m o n f a ct or g r e a te r t han 1 . F ro m m / n = 2 i t
f oll ow s t ha t m = n 2 , a nd s o m 2 = ( n 2 ) 2 = 2 n 2 . S o m 2 i s a n e v e n numb e r ,
b e ca us e it is e q ual t o 2 n 2 , w h i ch i s e ve n. I t f ol l ow s t ha t m it s e l f is e v e n. B e ca use
m i s e ve n, t he re e xi s t s a n i nt e g e r k sa t i s f y in g m = 2 k . We ma y t he r e f or e s ub st it ut e
2 k f or m i n m 2 = 2 n 2 , t he re b y ob t a i ni ng t he e q ua t i on ( 2 k ) 2 = 2 n 2 , whi c h i s
e q ui va le nt t o 4 k 2 = 2 n 2 a n d ma y be si mp li fi e d t o 2 k 2 = n 2 . B e ca u se 2 k 2 i s e ve n, i t
no w f o ll ow s t ha t n 2 i s al s o e ve n, w hi c h me a n s t ha t n i s e ve n (r e ca ll t ha t on l y e ve n
n um b er s ha ve e ve n sq ua re s ).
T he n, m a n d n a r e b o t h e ve n, w hi c h c ont r a di ct s t he p r op e r t y t ha t m / n i s
ir r e d uc i bl e . Si nc e w e h a ve f o u nd a co nt r a d i ct i on, t he i ni t i a l a ss um p t io n t ha t 2 is
a r at i ona l nu mb e r i s f a lse ; t ha t i s to sa y, 2 is ir r a t i o nal .

T he i nd i r e ct p r oof is a d e d u ct iv e f o r m of a r g ume nta t i on. T he co n cl us io n n ot -A i s

co mp l e t e l y s up p o rt e d by t he pr e mi s e s A s s u mi ng A l ea d s t o p a nd a ss u mi ng A
le a d s t o not - p . F or f o rm a l la ng ua g e s ( s u c h a s ma t he ma t ic s) , p r o of f r om t he
a b s ur d i s not p r ob l e m a t ic . H ow e ve r , wh e n w e c o n ve rt l a ng ua g e s of c o nte nt (s uc h
a s t he l a ng ua ge w e us e da i l y) in to a f orm a l l a ng ua ge , t he ne ga t i o n a nd p a rt i c ul a rl y
t he d ou bl e ne g a t io n c an b e e s p e c ia l ly d i ff i c ult . Sa y f or ex a m p l e a m a n s a y s to h is
w if e I t i s n ot t r ue t ha t I d o not t r us t y ou . F r om a l og i ca l p e r sp ec ti ve , t hi s s houl d
b e e q ua l t o I t r u st y o u, b e c a us e no t no t - A i s l ogi c a ll y eq ui va le nt t o A . It i s c le a r
t he m a n d oe s n ot me a n it t hi s w a y t h ou g h. T he t e r m t r us t im p l i c i tl y re f e r s t o a
va l ue s ca l e r u nni ng f r om ve r y tr u st w or t h y t o ve r y un t r us t w o r t hy . Se a r c hi ng f o r a
co nt ra d ic t i on i n t h e a p p li c a t i o n of t he f ir st c a t e gor i c a l i m pe r a t i ve , we com e a cr os s
t hi s p r ob l e m to o: ca n w e d e d uc e t hat a n a ct i on i s m or a ll y a c c e p t a b le f r om t h e
ne ga t i on of a m or a ll y una c ce p t a bl e ac ti on? Sa yi ng tha t l yi ng is v i e w ed a s a m or a ll y
u na c ce pt a b le a c t i on, d oe s t ha t m e a n t ha t b y d e fi nit io n a p e r s o n ha s ca r r ie d out a
mor a ll y a c c e p t a b le a ct io n by not l yi n g ? We w o uld p rob a bl y ha ve t o ne g a t e t h is ,
b e ca us e th e t e rm mo r a ll y a c c ep t a b l e r e f er s t o a v a l ue s ca le 100. F r om th e a b ove i t
f oll ow s t ha t a s fa r a s ou r d a il y u se of la ng u a g e i s c o nc e r ne d , t he p r oof f r om t he
a b s ur d ca nn ot b e a d e d uc t i v e a r g ume nta t io n b y d e f i ni t i on, b e ca us e th e co n cl u si on
is not a lw a ys e m b e d d e d i n t he p r em ise s up o n c l os e r i ns pe c ti on. B y a ns we r i ng t he
cr it i c a l q ue st i ons, w e ca n d e t e r mi ne t o w ha t e xt e n t t he a rg u me nt a t i on is v a li d .

P r o of f r om t h e a bs u rd

T he p r op os i ti on i s pr o ve n b y s h ow i n g t ha t t he ne ga ti o n of t he p r o p os it i o n le a d s t o
a c o ntr a d i ct i o n ( a n i n c on si s te nt se t of s ta t e me n t s) .

F orm a l:

- A ss um i ng A ( lo g i ca l l y) l e a d s t o a n i n co ns i st e nt se t of st a t e me nt s
- So: n ot -A

C ri t i ca l q ues t io ns :
1. Do e s a s su mi ng A i nde e d l e a d to a n i n co ns i st e nt se t of st a t e me n ts ?
2. I s n ot -A ( or not -p ) i n d e e d t he ne g at i on of A ( or p ) ? I n ot he r wo r d s , ca n A
b e co nc l u de d f ro m not n ot -A ?

A ni ce e xa m pl e i n lit e r at ur e of t he i ndi re ct p r oof t o s h ow t h a t t h is m e t ho d i s n ot

on l y us e d i n a s c ie nt i f i c w a y st e ms f r om t he no ve l T he na me of t he Ro se b y

100
S e e , e . g . , W i l l i a m s ( 1 9 7 3 ) , es p ec i a ll y c h a p t er 1 1 : E t h ic a l c o n s i s t en c y.

86
Um be r t o E c o, i n w h i ch t he F r a nci s ca n f ri a r Wi l li a m of B a s ke r vi ll e he a r s f r om t he
a b bo t , t ha t mo n k Ad e l m o, w ho d i e d s om e d a ys e a r lie r p o ss ib l y b y a f a l l o ut t he
w in d ow is b ur i e d a t t he c hur c h ya r d . Wi l l ia m d r a w s f ro m t h is i nfo r ma t i o n t he
co n cl u si on, t ha t t he wi nd ow c o nc er ne d h a s t o b e cl ose d. 101

Th e N a me of th e R o s e

If t h e w i nd o w ha d b e e n op e n, y o u w o uld im m e di a t e l y ha ve t ho u g ht h e ha d t hr ow n
hi ms e lf o ut of it . F r om w ha t I co ul d t e ll f r om t he ou ts i d e , t he y a r e l a rg e w i n dow s
of op a q ue g l a s s, a nd w in d ow s of t ha t s or t a re no t us ua ll y pl a ce d, i n b ui ld i ng s of
t hi s si ze , a t a m a n 's h ei g ht . So e ve n if a w i n dow ha d b e e n op e n, i t w o ul d ha ve
b e e n i mp os si b le f or t h e u nf or t u na t e m a n t o l e a n o ut a nd l o se hi s b a la n ce ; t hu s
su i c id e w ou ld ha v e b e e n t h e on l y c on ce i va b l e e x p la na t io n. I n w hi c h c a s e y ou
w o ul d not ha v e a l l ow e d hi m t o be b ur i e d i n co n se cr at ed g r ou n d . B ut s i n ce y o u
g a v e hi m C hr ist i a n b ur i al , t he w i nd ow s m us t ha ve b ee n cl os ed .

I n t hi s e xa m p l e , Wi l li a m a s s ume s t ha t t he w i nd ow w as o pe n. T hi s a ss um p t i o n l e a d s
t o a c ont r a di ct io n. O n t he o ne ha n d , if t he w in d ow w e r e op e n, m o nk A de l mo w e r e
no t a l lo we d t o be b ur i ed i n c o nse c r a t ed g r ou nd , a nd, on t he ot he r ha nd, he w a s
a ll ow e d t o b e b ur ie d i n c on se cr a t e d g r o un d ( a C hr i st ia n b ur ia l ), si nc e t he a b b ot
g a v e hi m a ct ua l ly a Ch r ist i a n b ur i a l . So, t he i nit ia l a s s um pt i on ( t he w in d ow w a s
op e n) i s f a l s e , w hi c h me a n s t ha t t he wi nd o w w as clo se d .

A pp l y i ng t he t he or y of a r g um e n t a ti on, a n d e s pe ci a lly t h e i n di r e c t p r oof , t o Ka nt s

e t hi ca l r e a s o ni ng p r es se d us t o f in d out w ha t t he e xa ct f or m i s of t he c ont r a d i c t io n
w he n w e e xam i ne , f or e xa m p le , t he m a xi m of Ka nt s m a n w h o d e ce i t f ul l y p r o mis es .
A c co rd i ng t o K a nt, t he ma n s m ax i m is i n ca p a b le of b e i ng co n ce i ve d a nd w il le d
w it ho ut c o nt ra d i ct i on, how e ve r im m or a l a ct i ons d o no t se e m ve r y e as il y
p r on o un ce d 'c ont r ad i c t or y ' a s Ka n t s ug g e st e d .

Se co nd cate gorical im perative

T he se c on d ca t e g o r i ca l i m p e r a t i ve ( t he r e cip r oc it y p r i nc i p l e ) i s a s f oll ow s: A l w a ys
a ct a s t o tr e a t huma ni t y, w het he r i n yo ur ow n p er so n or i n t ha t of a n y ot he r , i n
e ve r y c a se as a n e nd , ne ve r as me a ns on l y . Thi s i mp e r a ti ve me a ns w e sh o ul d
a lw a ys r e sp e ct our pe r so na l f r ee d o m a nd t ha t of ot he r s t o ma ke w e l l- c o ns i d e r e d
c ho ic e s.

Se co nd l y, a s r e g a r d s ne c e s sa r y d ut ie s, or t ho se of st r i ct ob l ig a ti on, t ow ar d s
ot he r s: H e w ho i s th i nki ng of ma ki ng a l yi ng p r omi se t o o t he r s w i l l se e a t o n ce
t ha t h e w ould b e us i n g a not he r ma n me re l y a s a me a n, w i t h o ut t h e la t t e r
co nt a i ni ng a t t he s a m e t i m e t he e nd i n hi m s e lf . F or h e w ho m I p ro p o se b y s uc h a
p r om i se t o us e f or m y ow n p u rp ose s ca n not p o ssi bl y a s se nt t o my mod e of a c ti ng
t owa r d s him a nd , t he r e for e , ca nnot hi m se l f c ont a i n t he e nd of t h is a ct io n. ( Ka n t
1 7 85 )

I n t hi s a r g um e nt a t io n, Ka nt us es a n e nd s -m e ans f o r m of a r g ume nta t io n: if it i s m y

a im t o ob ta i n m one y f r om s ome o ne w it ho ut g i vi ng it b a c k, I c a n r e al iz e t hi s b y
me a n s of a f a l s e p r o m i se or b y mi s le a di ng s om e o ne (t h e me a ns ). Ne xt , w e m us t
a sk t he q ue s t i on w he t he r t he p e r so n I ma d e t he p r om i se t o w o ul d a g re e t o t he
me a n s a n d t he e nd it i s s u pp ose d t o me e t . I f t h e a ns we r is p os i t i ve t he n t he a ct io n
is mo ra l l y a c ce p t a b l e , b ut if t he a ns w e r i s ne g a t i ve ( a s i n t hi s ca se ) t he a ct io n is
mor a ll y i na c ce pt a b le .

N ot e tha t t he c o n ce p t e nd i n t he e nd s- me a ns a r gu me nt a t io n i s u s e d d i ff e r e nt l y
t ha n in t he s e c ond ca t e g or i c al im p e r a ti ve . I n t hi s im pe r a t i ve , t he e nd i s t he

101
Eco (1983).

87
r e sp e c t f or t he f r e e d o m t o ma ke w el l- c o ns id e re d c h o i ce s: yo u ha v e t o i nfo r m t h e
p e rs on t ha t yo u a re u s in g him a s a me a ns t o ac hi e v e yo u r e nd , s uc h t ha t t he
p e rs on in q ue s t i o n ca n ma ke a w el l- c o ns id e r e d c ho ice w het he r or not t o c oop e r a t e.

4 . 4 .4 A rgume nta ti on in vi rt ue -et hical rea s on in g

I n v i rt ue e t hi c s, t he f o ll ow i ng a s su mp t io n is m ad e t o de t e r m in e w h e t he r a n a c t io n
is mo ra l l y a c ce p t a b l e : 102

A n action is m ora ll y a ccep table if a nd onl y if that a ctio n is w hat a virt uou s
agent w o uld d o in t he ci rc um sta nces .

T he q ues t io n i s, of c our se , how w e d ef i ne a v ir t u ou s p e r so n. T he d e f i nit i on is as

f oll ow s: a vi r t uo u s p e r s on is one w ho a c t s v i rt u o us l y, t ha t is , on e w ho ha s a nd
e xe r c ise s t he vir t ue s . 103 T o d e t e r mi ne w he t he r a n a ct io n i s m or a ll y a c c ep t a bl e , not
a ll vi r t ue s a r e e q ua ll y r e le va nt be ca use t hi s i s d et e r mi ne d b y t h e p os i t i on s ome one
ha s a nd w h at i s e x pe c t e d of hi m/ he r i n t ha t p os it i o n. T hu s, a v ir t u ou s sa le s p e r so n
mu st p o sse s s t he v ir t ue s of f r ie ndl i ne s s a nd p ol i t e ne ss . A vir t uo us d e s ig ne r n e e d s
t o po ss e ss o t he r v ir t ue s l i ke cr e a t i v it y. T he vi r t ue s f ri e nd li ne s s a nd p ol it e ne s s a r e
le s s r e l e va nt f or a d e s ig ne r.

A c co rd i ng t o D e n ni s M ob e r g , t he v i rt ue s r es po ns i bi lit y, lo ya l t y a nd tr ust a r e
r e le va nt f or a vi rt uo us e mp lo ye e i n a n o rg a n iza t i o n. 104 To s h ow w he t he r t he a ct i on
of a n e mp l o ye e i s m or a l l y r ig ht , w e ha ve t o de t e r mi ne w he t he r h e / s he w oul d a c t
t ha t w a y if he / sh e w a s a vir t uo us e m p l oy e e . But how d o y ou kn ow ho w a v ir t u ou s
e mp l o ye e w oul d a ct ? F or t h is we ne e d e xa mp le s of v ir t uou s e m p l oy e e s. B ut f o r
t ha t yo u f ir s t ne e d t o d e c i de w het he r t he c h ose n e xa mp l e r e a ll y i s a n e x a m p l e of a
vi r t uou s e m pl oye e . T o t h is p ur po se , w e ma k e us e of a cha racter is tic- judge me nt
argume ntatio n .

C h ar a c teri s ti c - ju d ge m en t a r gu m en ta ti o n

I f s ome o ne or s ome t hi ng X di sp la ys c e r t a i n c ha r a ct e ri st i c s s 1 , s 2 , . .., s n , t h e n

j ud g e m e nt A i s j u st if i e d f o r t ha t p e r s o n o r t hi ng .

F orm a l :
- X ha s t he c ha r a c t e r ist i c s s 1 , s 2 , . . . , s n
- c ha r a c te r i s ti cs s 1 , s 2 , . . . , s n a r e t yp i ca l of A ( t h e character ist ic-jud gem ent
prem ise )
- So: A a pp l i e s t o X

A se ssm en t q ue st ions :
1. Do t he c ha r a c t er i st ic s m e nt i on e d j us ti f y j ud g e me nt A ?
2. A re t he c ha r a ct e ri s t i cs me nt i one d a l l t yp ic a l of A ?
3. A re t he r e a n y ot he r c h a r a c t e ri st ic s ne ce ss a r y f o r A ?
4. Do e s X p os s e s s c ha ra c t e r i s ti c s t ha t j u st i f y t h e j u dg e me nt not A ?
5. Do e s X p os s e s s t he c h a r a c t e ri st ic s m e nt i o ne d ?

T o s how t ha t a n em p l oy ee i s a vi r t uo us e m p lo ye e (i . e. A a pp l ie s t o em p l o ye e X so
he / s he m u st b e v ir t u o us ) , w e ne e d t o de m ons t r a t e t ha t th e e mp l o ye e p os s e s se s
t he v i r t ue s r e s p on si b il i ty, l oy a l t y a nd t r u st ( X ha s ch a ra c te r is ti cs s 1 , s 2 , . .. , s n ) .
T he se vi rt ue s a r e c ha r a ct e rs t i c of a vi rt uo us em p l o ye e ( t he c ha r a ct e ri s t i c-
j ud g e m e nt p r e mi se ) . F r om t he vi rt ue -et hi c a l a ss um p t i o n i t f ol l ow s t ha t t h e a ct i ons
ca r r ie d ou t b y t his e m pl o ye e a r e m ora l l y a c c e p t a b l e.

102
H u r s t h ou s e ( 1 9 9 1 ) .
103
H u r s t h ou s e ( 1 9 9 1 ) .
104
M o b er g ( 1 9 9 7 ) .

88
T he c ha r a c t er i s t ic s- j u d ge m e n t a r g ume nt at i on is of a no n-d e du ct i v e na t ur e ,
b e ca us e th e co n cl u si o n d oe s n ot ne c e s sa ri ly f ol l ow f r om t he p re m i se s. T h us , a n
e mp l o ye e ma y p os se ss t h e c har a ct e r i st i c s t y pi ca l of a vir t u o us e m p lo ye e , b ut ma y
no t ha ve t o b e a vir t uou s e mp lo ye e . T he f ir s t f our c r it ic a l q ue st io n s a r e r e la t e d t o
t hi s. Whe t he r t he a b ov e a r g um e nt a t i o n i s v a li d d e p e nd s on how t he c r i t i ca l
q ue s t i o ns ar e a nsw er e d . Be si de s tha t , t he so u nd ne ss of t he a r g um ent a t io n i s
li nk e d t o w he t her t he e m pl oye e r e a ll y d oe s p os se ss t he vi r t ue s t he f i na l c r i t i ca l
q ue s t i o n i s r e l a te d t o thi s .

4.5 Fa l l ac i es

I n t hi s b oo k w e d e f i ne a fa l la c y a s a n e r r o r or de f i ci e n c y i n a n a r g um e nt . A fa l la cy
se e m s t o b e c orr e c t b ut p r ove s , o n e xa m ina t io n, no t t o b e so. It i s i mp or t a nt t o
r e c og n iz e fa l la ci e s , b e ca use t he y ca n mi s le a d us . A p e rs on w h o r e co g ni z e s f a lla c i e s
is in a b e t t e r p o sit i on t o a r g ue s ucc e sf ul l y, a nd a p e r s o n w h o c a n n ot c a n f a ll pr e y
t o t he i l l us io n s of ve r b a l t r i ck s te r s.

I n t hi s s e c t i on w e w il l d is c us s so me c omm o n f al la ci e s w hi c h a r e oft e n u se d i n a n
e t hi ca l d e b a t e a nd w e w ill di s c us s s om e fa l la ci e s tha t ca n c om m on l y b e f ou nd i n
p ub l i c d e ba t e s on t he a c ce p t a bi lit y of t e c hn o log i ca l r i s k s.

4 . 5 .1 Some comm o n fa lla cie s in et hi ca l d is c us sio ns

T he r e i s n o uni v er sa l l y a c ce p t ed cl a s s if i ca t i o n of f a l la c ie s, b ut a co mm on
d is t i nc ti on, h owe ve r , i s b e t w ee n f orm al a nd inf orma l fallacie s . F o r m a l f a l la ci e s a re
d e t er mi ne d s ol e l y by t he f or m ( he n ce t h e na me ) or st r u ct ur e of a n a r g um e n t . A ny
in va l i d a r g um e nt ( se e se ct i on 4. 2 ) i s a f or m a l f a lla c y. I n t hi s se ct i o n w e w il l f o c us
on t he i nf or m al f a lla ci e s. I nf o r ma l f a l la c ie s a r e b a se d on co ns i de r a t io ns of t he
co nt ex t a nd c ont e nt of t h e a r g um e nt s. I nf or ma l f a l la cie s w h ic h a r e of t e n be u se d
in e t hi ca l d is c us si o ns a r e : a t t a c k o n t he pe r so n, conf us io n of l a w a nd e t hi c s, st r a w
p e rs on, w i s hf u l t h in k in g , na t u ra l i st ic f a l l a c y, a nd a mb i g ui t y.

A tta ck o n the pers on ( Ad Ho minem )

T hi s f a l la c y i s c omm it t ed w he n a n a tt e mp t i s m a de t o d i s cr e d i t a n a r g um e nt b y
b r i ng i ng in t o q ue st i o n in s ome n e ga t iv e w a y t he p r es e nt e r of t he a r g ume nt i ns t e a d
of a tt a c ki ng t he a r g um e nt it se l f . T hi s l i ne of re a s on i ng is f al la c i ou s b e ca u se one
mu st ke e p one 's fo c us o n t he a r gu me nt a nd ig no re t he q ua l i ti e s of t h e p e r s o n w ho
ha p p e ns t o m a ke i t . In so me ca se s , a n i nd i vi d ua l 's c ha ra c t e r ist i c s c a n ha ve a
b e a ri ng on t he q ue s t i on of t he c r e d i b ili t y of he r cl a i ms . F or e xa m p l e , if s ome o ne
ha s s h ow n t o be a p a t ho lo g i ca l l ia r , t he n w ha t s he sa y s ca n b e c on si d e r e d t o b e
u nr e li a b l e . S uc h a t ta c ks , how e ve r, a r e we a k , si nc e e ve n p at h olo g i ca l l ia r s mi g ht
sp e a k t he t r ut h o n o c c a s i on.

Confu sio n of la w a nd eth ic s

C onf u si o n of l a w a nd et h ic s ca n s i mp l y b e p ut a s If i t i s n't i l le g al , it i s e t h i ca l .
E t hi c s is , ho w e ve r, m or e e nc om pa s s in g t ha n la w . La w ca n not f o r bi d a l l
ina p p r op ri a t e or ha r mf ul b e ha vi our , w hi c h is of t e n no t e ve n d e s ir a b l e . H a vi n g a n
e xt r a m a r i ta l af f a i r i s not f orb id d e n, b ut tha t is n ot t o sa y t ha t t hi s is mo r a ll y
a c ce p t a bl e . The sa me hol d s f or ly i ng , b e t ra y a l a nd ne p o ti sm.

Stra w p ers o n
T he st r a w pe r so n f a l la c y i s c omm i tt e d w he n a n a t t e m p t is ma d e t o m i ss ta t e a
p e rs ona l ' s a ct ua l p os it io n a nd co nc l ud e s th a t t he or i g i na l a r g u me nt is a b a d
a r g ume nt . O f te n t hi s mi s st a t e d a r g um e nt i s a d is t or t e d, e xa g g er a t e d or f o ol i s h
ve r si o n of t he or i g i na l o ne . Su p p os e t ha t s o me o ne i s cr i t i ca l of t h e us e of n uc le a r

89
e ne r g y, a nd h is op p on e nt re a ct a s f ol lo w s: P e r s o nal ly, I t h in k t he e n e r g y p ow e r
su p p l y i s of t he h ig he s t im p o r ta n ce . Wi t h t h is t he o pp o ne nt s ug g e st s t ha t th e f i r st
on e d oe s not a d h er e t o g o od e n e r g y p o w er s up p l y, b ut t his ca nn ot b e d e r i ve d f r om
hi s c r i ti c s o n nu cl ea r e ner g y.

Wis hf ul t hin king

Wis hf ul t hi n ki ng (o r f a l la cy of d e s i r e ) o c cu r s w he n a p er so n i nt e r p r e ts f a c t s ,
r e p or t s, e ve nt s, p e r ce pt i on s, e t c. , a c c or d i ng t o w ha t s he w oul d l i k e t o b e t he ca se
r a th e r t ha n a cc or d i ng t o t he a ct ua l or r a t i o na l a c c e pt a b le e vi d e nc e . So, t he o n ly
e vi d e n ce t he p re s e nt e r g i v es is he r d e si r e f o r s e v er a l t hi ng s t o b e t he c a s e .
E xa mp le s ca n b e of t e n f o un d i n t he a t t it u d e s , p os iti o ns, a nd co mm ent s of p eo p le
w h o a r e d e e p ly com m i t t e d t o s ome ca u se . F or e xa mp l e , Sur e l y G od ex i st s,
b e ca us e I ha ve c om p le t e b e li e f t ha t He do e s .

Nat uralistic falla cy

T he na t ur a li st ic f a ll a c y t a ke s t he f orm of d e d u ci ng n or m at i ve s t a t e me n t s b a s e d
on l y on d e s cr i p t i ve s t a t e me nt s. We c a n s i mp l y p u t i t a s : d e r i vi n g oug ht f r o m is .
T he ( f a ls e ) re a s o n be h in d t hi s f a lla c y i s t ha t w e m us t a l w a ys a c ce p t t hi ng s a s t he y
a r e . F or e xa mp le , S t e al i ng bi ke s is m or a l l y ac ce p ta b l e i n t h e N et h e r la nd s , b e ca u se
mor e b i k e s a re s t ol e n t ha n b o ug ht i n t h e Ne t he r la nd s. S o, a so und nor m a t i ve
co n cl u si on a lw a y s ne e ds so me nor ma t i ve p r e m ise s.

A mbig uit y
F a ll ac ie s of a m b ig ui t y p l a y w i t h t he m e a ni ng of w or d s or p h ra se s a nd t he r e f or e
of t e n a r e h um or ou s. T he ne xt a ne c d o t e ill us tr a t e s t hi s:

A c a pt a in g ot ve r y a nn oy e d a t t he e x c e s si ve d r i n ki ng of t he f i rs t m a te , a n d on e
d a y he w r ot e i n t he j o ur na l : T he f ir st ma t e wa s d r u nk t od a y . T he f ir st m a t e ,
se e ki ng r e ve n g e o n t he c a p t a in, w ro t e in hi s j o ur nal, T he Ca p t a i n wa s s ob e r
t oda y. H e su gg e st s, b y in c l ud i ng t he w or d , t od a y , t hat t he Ca p t a i n i s u s ua ll y
d r un k. ( C o pi a nd B ur g e ss - Ja c ks on, 1 9 90 , p . 11 7 )

A pe r s o n c om mi t s t h is fa l la c y w he n s he u se s a w or d or p h ra se un c l e a r . Tha t i s if
t ha t w o r d o r p hr a se ha s m ore t ha n o ne d i s t i n ct me a ni ng ( a m b ig uo us ) or ha s no
d is t i nc t m ea n i ng ( va g u e ). O n e m u st be ca r e f ul if w or d s o r p h r a se s ca n ha ve
d if f e r e nt i nt e rp r e ta t i ons, b e ca use it ca n ma ke a s ig ni f ica nt d i f fe r e n ce t o t h e
me a n i ng of w ha t i s sa i d a nd c a n t her e f ore g e ne r a t e f a l la ci ous i nf e r e nc e s .

4 . 5 .2 F allacie s of r is k 105

I n p ub li c d e b a t e s o n t he a c c e p t a b ili t y of t e c h no lo gi c al ri s ks s om e s pe ci f ic f a ll a c ie s
ca n b e i de nt if ie s re la t e d t o t he s ub je ct -m a t t e r. I n t h is se ct io n w e d is c us s so me of
t he s e fa l la ci e s , w he r e X a nd Y st a nd f o r a n a ct i v i ty, p r od u ct or t e c h nol o gy. I n
c ha p te r 8 on t he a cc e p t a b i li t y of t e ch nol og i c a l r i s ks, w e w ill c om e up o n th e m os t
of t he se f a l l a cie s.

T he s heer s ize falla cy

X i s a c ce p t e d
Y i s a sm a l le r r i s k t ha n X
So, Y sh o ul d b e a c ce p t e d

E xa mp le : Y ou m u st a c ce p t nuc l e a r e ne r g y, b e ca us e t h e r is k s a r e sma l le r t ha n t ha t
of d r i v i ng of a ca r . T hi s f a l la c y i s a ls o b a se d o n a f al se a na l og y. T he a na lo g y c a n

105
T h is s e c t i o n is b a s e d o n H a n s s o n ( 2 0 0 4 a ) .

90
on l y b e m a de i n a r i g ht w a y, if X a n d Y a r e a lt e r nat iv e s i n t he sa m e d e c i si on, b ut
w e d o us ua ll y n ot c hoose b e t we e n nu cl e a r e ne r g y a nd d r i vi ng a ca r.

T he fa lla cy of nat ura ln ess

X i s u n na t ura l
So, X s ho ul d not b e a c c ep t e d

T hi s f a l la c y c or r e sp on d s w it h t he na t ur a lis t i c f a l l a c y. A n or m a t i ve s ta t e me nt is
d e ri ve d f r om o nl y a d e sc ri p t i ve s ta t e me nt . T he id e a be h in d t h is f a l la c y i s t ha t
w hat e v e r is u n na t ur a l is w r on g . Th e p ro b le m w i t h t hi s i s t ha t i s no t c le a r w ha t is
me a n t b y na t u r al . T he t e r m na t ur a l i s u se d i n ma ny d i f f er e nt c ont e xt s. I s
sc a l d e d m i l k na tu r a l ? I s b oi li ng c o nta m i na te d w a te r b e f or e d r i nki ng it na t ur a l ? I s
n uc le a r p ow e r na t ur a l ? A n e x t r e me d ef i ni t io n of na tur a l co u ld b e t ha t a l l p r od u ct s
of ou r ci vi liz a ti o n a r e al s o p ro d uc t s of na t ur e , si nc e w e a r e a l s o b i ol ogi ca l
cr e a t ur e s. O r an ot he r e xt r e m e, on l y t he pr o du ct s t ha t we r e a va i la b le t o pr e -
ci vi li za t i o n h uma ns a r e na t ur a l.

T he o strich 's fal lacy

X d oe s n ot g i ve r i s e t o a n y de t e ct a b l e r i s k or t h e re i s no s cie n ti f i c p r oof
t ha t X i s d a n ge r o us
So, X d o es not g i ve r i s e t o a ny una c c e pt a b le r is k

A c ou nt e r -e xa m p le of thi s f a l la c y i s a sb e st os , an i s ola t io n p r od u ct . D ur i ng t h e
co u rs e of t im e a s be st o s p r ov e d t o ha ve s ome e xt r em e l y ha r mf u l s id e ef f e ct s, s uc h
a s l u ng ca nc e r a nd s to m ac h l i ni n g. T he g i st of t he f a l la c y is t ha t a s l o ng a s a r is k
d oe s no t r ev e a l , t he r i sk d oe s not e xi s t.

T he dela y falla cy

I f we w a it w e wi l l k no w mo re a b o ut X
So, n o d e c is i on a b out X sh oul d b e ma d e n ow

T hi s i s o ne of t he m os t d a ng e r ou s f a l l a cie s c on ce r ni ng t he a c c e p t a b il i t y of
t e c h no l og i c al r i s ks, s i n ce t he p re m i se I f w e w a i t w e w il l k now m o r e ab o ut X i s
a lm os t a l wa y s t r u e . As a co n se q ue n ce , t he d e ci s i o n c a n a lw a ys b e p os tp o ne d t o
a v oid ri s k- r ed u ci n g a c t io ns . It ma y ve r y we l l b e bet t e r t o ma ke a n e a r l y d e ci si on
on fa i r l y i n c omp le t e i n f or ma t io n t ha n t o m a k e a m or e w e l l -i nf o rm e d d e c is i o n a t a
la t e r st a ge , s i nc e t he p ro b le m m a y g e t w or s e .

T he te ch no crat ic fallacy

I t i s a n e ng i ne e ri ng i s su e how d a n g e r o us X i s
So, e n g i ne e rs s hou ld d e ci d e wh e t her or not X i s d ang e r ou s

I nd e e d , en g i ne e rs ha v e c om p e t e nce i n d e t e r m i ni ng t h e na t ur e a nd th e ma g nit ud e
of t e c hno lo g i ca l r i s ks, b ut t hi s co m pe t e nc e i s n ot t h e s a me a s c om p e t e nc e i n
d e c id in g w he t h er or not a te c hn ol og i ca l r i s k is m ora l l y a c c e pt a b l e . The r e f l e ct i o n
on t he a c ce p t ab i li t y of te c hn ol og ica l r is k s r e q u ir e s not on l y t e c h no l og i c al
k now l e d g e , b ut a l s o e t hi ca l c om pe t e n ce . Se e a ls o s ub se ct i on 1 . 5. 2 .

T he fa lla cy of p rici ng

We ha ve t h e we i g ht t he r i s ks of X a ga i ns t i t s b e nef it s
So, w e m u st p ut a p r ic e o n t h e r i s k s of X

91
T he F or d P in t o -c as e i n t h e p re vi o us c ha p t er i s a n il l u st r a t i o n of t hi s f a lla c y . T he re
a r e m a ny t h i ng s w e c a n not e a si l y va l ue in t e rm s of m one y, in cl ud i ng t ho se t ha t
in v ol ve t h e l os s of hu ma n li ve s. F ur t her mo r e , the r e is n o se ns ib le p r i c e t ha t ca n be
me a n i ng f ul l y a s si gn e d to t e c h n ol og i ca l r is k s , s i n ce i t a ls o d e pe nd s on t he
ci rc um st a n ce s . I n c ha p t e r 6 w e w il l di sc u ss s om e al t er na t i ve s t o w e i g h t he p r o s
a nd c ons of t e c hn ol og i ca l ri s ks w it h out e xp re ss i n g t he se i n m o ne y.

4.6 C ha p te r s u mma r y

I n a n e t hi ca l d e ba t e w e a r e r e g u la r ly co nf r o nt e d w it h a r g ume nt s p ut f orw a r d b y
ou rs e l ve s a nd ot he r p e op le . T o as se ss t h e se a rg um e n t s is of t e n t h e be s t w a y t o
j ust if y o u r ow n op i ni o n a nd, i f ne ce ss a r y, t o re f ute t h e a r g ume nt s of o t h e r s. I n
t hi s c ha p t er , w e ha ve b e c om e a cq ua i nt e d wi th s om e ba s i c p r i n ci p l e s of
a r g ume nt a t i o n t he or y w hi c h c o nc e r n i s t o d i st i ng u is h g o od a r g u me nt s f r om ba d
on es .

We ha ve d i s ti ng u is he d t wo ma i n b r a nc he s i n a r g um e nta t i o n t he or y : d e d u ct i ve a nd
no n-d e d uc t i ve a r g um e nt a t io n. I n de d u ct i ve a rg ume nt a t i on w e ca n d i vi d e a r g um e nt s
in va li d a nd i n va l id a r g u me nt s. An a r gu me nt is va li d if a nd o nl y if t he c o n cl us io n of
t he a r g um e nt f oll ow s w it h ne c e s si t y f r om it s p r e mi se s . How e ve r , ma ny a r g um e nt s
us e d in et hi c a l d e b a t e s a r e no n-d e d uc t i v e: t he p r e mi s e s (i f tr ue ) g ive a li m it e d
a mo u nt of su p p or t to t he c onc l us i o n. T he n w e ca ll an a r gu me nt s o und if t he
co n cl u si on i s pl a us ib l e g i ve n t h e p re m i se s. T o a s se ss no n-d e du ct i v e a r g um e nt s w e
ha ve u se d t he a r g um e nt a t io n s c he me s of t h e p ra g ma -d ia le ct ic a l a pp r oa ch. I n t hi s
c ha p te r w e ha ve se e n se ve ra l a r g um e nt a t io n s c he me s of t e n u se d i n e th i c a l
d e ba t e s:
- I nd u ct i ve a r g ume nt a ti on
- A rg ume nta t i on b y ana l og y
- M e a ns -e nd a r g um e nt a t io n
- C au sa l it y a rg ume nt a t i on
- P r oof f r om t he a b s ur d
- C ha r a ct e r i st i c- j ud gm e nt a r g um e n t a ti on

Wit h t he he l p of t he a rg ume nt at i on s c he me s w e ha ve c onst r uc t e d ho w t he e t hi c a l

t he or ie s ( ut i li ta r ia ni s m , Ka nt s e t h i cs , a nd vir t ue e t hi c s) co me t o c o nc l us io n s a b out
w het he r a n a ct io n i s m or a ll y a c ce pt a b le or no t .

E a c h a r g ume nt a t i on s c he m e has it s ow n cr i ti ca l q ue s t i o ns . T he se q ue st i o ns ca n b e
us e d to c he c k w he t h e r a p a r ti c ula r p a r t of a r g um e nt a t i o n i s s ou nd a nd t he r ef or e
ca n b ea r t he s c r ut i n y of cr i t i ci sms. I f a n a r g um e nt i s no t so u nd , t he n a n er r o r o r
d e f i ci e n c y oc c ur s in t h e a r g um e nt . T hi s w e h a ve ca ll e d a f a ll a c y. We ha v e
me n t i on ed se ve r a l f a ll ac ie s i n r e la t io n t o t h e a c c e p t a b ili t y of t e c h nol og i c a l r i s k,
su c h a s t he f a l l a c y of na t ura l ne s s a nd t he t e c hno cra t i c f a l l a cy.

A rg ume nta t i v e s ki ll s a re va l ua b le b e ca us e t h e y c o ntr ib ut e t o f r ui t f ul m or a l

d e li b e r a ti on. He r e t he r e c og n it i o n of ba d a r g ume nt s is i m p o rt a nt, s in ce w e m us t
t r y t o a vo id p e r s ua d i n g b y ot he r s o n in s uf fi c ie n t gr o u nd s. B ut i t i s a ls o i mp or t a nt
t o be a b le t o p e r s ua de ot he r s w it h g ood a r g u me n t s w hi c h ca n b e d e f e n de d t o
a g re e o n w ha t i s t h e b e st mo r a ll y a c c e pt a b le a ct io n or d e c is i o n.

Q u es ti o n s c h a p ter 4

1 . Wha t i s t he d if f e r e nc e b e t w ee n a va lid a nd s ou n d a r g um e nt a t io n ? Gi ve a n
e xa m p le of a va l id a rg ume nt a t i on a nd a n e x am p le of a so u nd a r g um en t a t i o n.

2 . De sc r i be t he n a t ura l is t ic f a l la c y, a nd g i ve a n ex am pl e .

92
3 . E xp l a i n w hy t h e p hr a s e y o u r e ei t he r w it h u s, or aga i ns t u s is a f a ll a c y.

4 . Gi ve a c on t e x t i n w hi c h t he use of t he f a l l a c y of na t ur a l ne s s c a n b e
j ust if i e d .

5 . So me a rg ue s t ha t : I t ma ke s n o s e nse t o t a k e t he Co n co rd e o ut of se r vi ce .
T he sa f e t y r e c or d of t he Co n c ord e i s r a t her g o od ; it w a s t he f ir st a c ci d e n t i n
3 1 yea r s. F l yi ng t he C on c or d e i s p e r k il ome t r e t r a v e ll ed m uc h sa f e r t ha n
r id in g a c a r . C a r a c ci d e nt s a r e g e ne ra l l y a c c e p t ed , so t he r e i s no r e as o n t o
su p p os e t ha t t he r is k s of t he C o nc or d e a r e u na cc e pt a b le .

How d o w e ca l l t hi s f a l la c y ? A nd a r g ue , w hy t hi s a rg um e nt a t i o n i s no t
so u nd.

6 . I n a ut i li t ar i a n p le a , t he me a n- en d s a r gu me nt a t io n i s a t th e f o re f r ont . Wha t
is t he me a n s, a nd w ha t i s t he e n d i n s uc h p l e a ?

7 . Wha t a s s um p ti on i s m a d e t o d e te r mi ne w he t he r a n a cti o n is m or a l l y
a c ce p t a bl e i n v ir t ue e t hi c s?

8 . T he f ol l ow i ng a p pe a r e d a s p a r t of a n a n n ual re p or t s en t t o s t oc k h old e r s b y
O l ym p i c F o od s, a p r oc es s or of f r oz e n f o od s :
O v er t i m e, t he c os t s of p r o ce ss i ng g o d ow n b e ca use a s o r ga ni za t i on s l e ar n
ho w t o d o t hi ng s b et t e r , th e y b e c ome m ore e f f ici e nt . I n c ol o ur f i l m
p r oc e s s i ng , f or e xa m p l e , t he co st of a 3-b y -5 -i n ch p ri nt f e ll f ro m 5 0 ce nt s
f or f i ve -d a y s e r vi ce i n 1 9 70 t o 20 ce nt s f o r o ne -d a y se r v ic e i n 1 98 4 . T he
sa m e p r in c ip l e a p p l ie s t o t he p r o ce s si ng of f oo d . A nd si n ce O l ym p i c F oo d s
w il l s oo n c el e br a t e it s 2 5t h b ir t hd a y, w e c a n e xp e ct t ha t o ur l on g e xp e r ie n ce
w il l e na b le us t o m i ni m ize c o st s a nd t hu s m a xi m iz e p r of i t s.
a . How d o w e ca l l t hi s a r g u me nt a t i o n sc h e me ?
b . Wha t a r e t he c r it i c a l q ue st i ons t o d e ci d e wh e t he r t h is a r g um e n t a t i on
is so und ?
c. I s t hi s a r g u me nt a ti o n s ou nd ?

9 . I n t he ca se T he Gol d e n G a t e B ri d ge s ome o n e ar g ue s : A s ui ci d e b a r r ie r w i ll
no t b e e f f e c ti v e , si n ce p e op l e w ho w a nt to k il l t hem se l ve s w i ll s i m p l y g o
som e w he re e l s e .
a . How d o w e ca l l t hi s a r g u me nt a t i o n sc h e me ?
b . Wha t a r e t he r e le va n t cr i ti ca l q ue s t i o ns to d e ci d e w he t he r t his
a r g ume nt a t i o n i s s o u nd ?
c. I s t hi s a r g u me nt a ti o n s ou nd ?

1 0 . E xp l a i n t ha t t he r e s p o ns ib i li t y ar g u me nt of t he p r op o ne nt s i n t he c a se T he
G old e n Ga t e B r id ge ca n b e f ou n de d o n v i rt u e e t hi c s. A nd w ha t a r e t h e
cr it i c a l q ue st i ons y o u co ul d a s k t o a t t a c k t hi s a r g ume nt ?

93
C h a p ter 6. E thi c a l q ue s ti o n s i n th e d es i g n of tec hn o l o g y

6.1 In tr o d uc ti o n

O ne of t he c or e a ct i v it i es of e ngi ne e r s i s to d e s ig n t e c h ni ca l pr o d u ct s, s ys t e m s a n d
se r vi ce s . T he de s i g n p ro ce s s i s a ce nt r a l s p ot w he r e e t hi c a l c o ns id e r at i ons
co n ce r ni ng t e c hn ol og y a r is e . T he r e a s o n f or t hi s i s t ha t c r uc i a l de c i si on s r e ga r d i ng
t e c h no l og y a re ma d e i n th e d es ig n p r oc e s s. To a n i m p o rt a nt e xt e n t t he de si g n of a
t e c h no l og y d et e r mi ne s how i t w il l b e p r od u c e d an d be u se d , w ha t m a i nte na nc e w i l l
b e r e q ui r e d , a nd h ow t he pr od uc t is t o b e sc ra p p e d. O bv i ou sl y, la t e r c ho i ce s, b y
f or e xa mp l e us e r s, a ls o a r e of imp ort a n c e , b ut c hoi ce s i n t he d e si gn p r o ce ss
g r ea t ly i nf l ue n ce t he s oc ia l c ons e q ue n ce s of a p r odu ct . Ne a rl y a l l e t hi ca l q ue st i on s
r e la t e d t o t e c h n ol og y d e ve lo p me nt t ha t e n g i ne e r s a r e co nf r o nt e d wi t h t he re f or e
a r e r e f l e ct e d i n t he d e si g n p r o ce s s i n s ome w a y o r a not he r . F or t hat re a so n, t hi s
c ha p te r f oc us e s o n e t h ica l q ue st io ns co n ce r n i ng de s ig n.

De si g n, a nd te c hn ol o g y d e v e l op m e nt in g e ne ra l , g i ve s r i se t o e t hi ca l q ue st i on s
b e ca us e , a m o ng ot h e r t hi ng s, t he p e op l e a f f e c t ed b y t h e co n se q ue n ce s of
t e c h no l og ie s of te n ha ve n o i nf l ue nc e on t h e d e si g n of t he s e t e c h no lo g ie s . O n t he
b a si s of K a nt s p r i n ci p le of r e c ip r o ci t y, t hi s c a n be c onsi de r e d pr o b le ma t i c. K a nt
a ss e r t s t ha t p e o pl e s hou ld not b e sim pl y us e d a s m ea ns, b u t s ho ul d a ls o b e t re a t e d
a s a g oa l i n t he m s e l ve s. As w e ha ve se e n, t h is me a ns t ha t p eop le s h oul d b e
of f e re d t h e o p p or t unit y t o ma ke w e ll -i nf o r m e d c h oi ce s of t he i r o wn. Th e q ues t i on
is w he t he r t hi s ca n b e re a li ze d fo r t e c hn ol og y d e ve lo p me nt . I t s e e ms im po ss ib le t o
g i ve a v ot e i n t he d es i g n p r oc e s s t o e ve r y b o dy w ho co ul d p o t ent ia l ly s uff e r a
t e c h no l og y s c on se q ue nce s . H ow e ve r, w e ca n st il l q ue s t i on w h e t h e r t h e p r oc e s s of
d e s ig n s ho ul d n ot b e org a n ize d mor e d e m o cr a t i ca ll y. Wi n ne r ha s p oi nte d o ut t ha t
t e c h no l og y so me t im e s ha s a s m uc h i nf l ue n c e on so ci al de ve l op me nt s a s le g is l a t i o n,
w hi le le g i sl a t io n co me s a b o ut d e m o cr at i ca ll y a nd t e c h no l og y d e ve l opm en t do e s not
or a t le a st to a f a r le ss e r e xt e nt . 106 A nu mb e r of a ut ho r s t he r ef or e ha s a d v o ca t e d
t he de m oc r a t iz a ti on of t e c h nol o g y de ve l o p me nt a nd th e d e s ig n p r oc e s s. 107 T he
p r op o sa l s f or Co ns tr u ctive Te ch n olog y A sse ss me nt ( CT A) t h a t w e r e b r ie f l y
d is c us se d i n c ha p t e r 1 a r e c l o se l y re la t e d t o t h is p le a f or d e mo cr a t iza t io n. I n t hi s
c ha p te r w e w il l s e e t ha t t he d e g r e e t o w hi c h d e m o cr a t i c l e g it i mi z at i on i s m is s i n g
f or d e si g n d e c is io ns l a rg e l y d ep e nd s o n w h e the r w e de a l w it h r e de s ig n of e xis t i ng
p r od uc t s ( no r ma l de si g n ) or t he d e si g n of ne w i n n ov at i ve p rod u ct s ( r a d i ca l
d e s ig n) . I n ra d ic a l d es ig n, de m oc ra t i c al l y s a nc t i on e d r ul e s f or ma ki ng de s i g n
d e c is i o ns a r e u s ua ll y a b se nt a n d e n gi ne e r s ha ve a lar g e r r e sp on si bi l i t y f or t he
d e s ig n de c i s io ns t he y ma ke . Be f o r e w e w i ll di s c us s t h is d if f e r e nce b e t we e n nor ma l
a nd r a d i ca l d es ig n, w e s t ar t w i t h a d e s cr i pt i on of w ha t d e s i g ni ng i s a nd w ha t t yp e
of e t hi c a l is s ue s m a y ar i s e i n t he va r io us st a ge s of t h e d e si gn p ro ce s s (s e c t i o n
6 . 2 ). Ne xt , w e s ha l l t a ke a cl os e r l oo k a t one a sp e ct of t he de si g n: t he c ho ic e
b e t we e n d if f e r e n t co n ce pt ua l d e si g ns i n the l i g ht of d e sig n r e qu ir e me nt s a nd
t r ad e -of f s ( se ct io n 6. 3 ) . F i na l l y, w e l ook a t t he di ff e r e nc e b e t we e n no r ma l a nd
r a di ca l d e si g n ( s e c ti o n 6 . 4 ).

6.2 Et hi c al i s s u es d ur i n g t he d es i g n p r o c es s

De si g n in g c a n be d es cr ib e d a s a n a c t i vit y in w h i ch e n g i ne e rs t r an sl a t e ce r ta i n
f unc t i o ns o r ai ms i nt o a w or k in g p r od uc t or sy st e m. A f e r r y c a n b e c on ce i ve d of a s
t he t ra n sla t io n of t he f un ct i o n tr a ns p or t i n g p e op le fr om o ne s i de of t he r i ve r t o
t he ot he r . I n mo st ca s e s a f un ct io n o r so cia l g oa l c a n be t r a n sla t e d i nt o a
t e c h ni ca l s ol ut i o n i n s e ve r al w a ys. I f y ou w ant t o a c hie ve t r a ns p or t b e t w e e n t w o
106
W in n er ( 1 9 8 3 )
107
E . g . S c lo v e ( 1 9 9 5 ) .

95
r i ve r ba n k s, yo u ca n c hoo se a mo ng a se r i e s of p os si bl e t e c h ni ca l s ol ut i o ns, s uc h a s
a b ri dg e , a t un ne l , a f e r r y, or a ca b le -l if t . T he s ol ut io n c ho s e n n ot on ly d e p e n d s o n
t he f u n ct i o n t o b e r e a l iz e d, b ut o n a s e r i e s o f a ddi ti ona l d e s ig n r e q ui r e me nt s , s uc h
a s sp e e d of t r a ns p or t , c ost s, b ui ld i ng t i me , su st a ina bi lit y, a nd s a f et y.

E ng i ne e r in g d e s i g n is th us t he p r oc e s s i n w h ic h ce rta i n f u n ct i o ns a re t r an sl a t ed
int o a b l ue p r i nt f or a n a r t if a ct , s yst e m, o r s e rv i ce t ha t ca n f ul f i ll t he se f u nc ti ons .
E ng i ne e r in g d e s i g n is us ua l l y a s y st e ma t i c p r o ce s s i n w hi c h us e is ma d e of
t e c h ni ca l a nd s cie nt if i c k no w le d ge . T he d e si g n p r o ce s s is a n it e ra t iv e p r o ce ss t hat
ca n b e d i vi d ed i n d if f e r en t s t a g e s , l ik e :

Proble m analys is a nd form ulatio n , i nc l ud i n g t he f or m ul a ti on of d e s i g n

r e q ui r e me nt s.
Con cept ua l des ign , i nc l ud i ng t he cr e a t i o n of a lt e r nat i v e c on ce p t ua l so l ut i o ns
t o t he d e si g n p r o b le m a nd p os si b l e re f o r m ula t io n of t he p r o bl e m.
Sim u lati on of on e o r m or e co n ce p t d e s ig n t o t e st h ow w e l l t he y m e e t t he
d e s ig n r e q ui r e me nt s
De ci sio n : C hoi ce of on e c o nc ep t ua l sol u t io n f r om a se t of po ss ib l e s ol ut i o ns.
Deta il de sign: t he d e si g n is f ur t he r de t a i l e d, e nd i ng w it h a de s ig n t ha t ca n
f unc t i o n a s a b l ue p r i nt f or t he pr od uc ti on p r oc es s.

B el ow w e s ha l l g o t hr ou g h t he va r i o us st a g e s i n t he d e s ig n p r oc e ss a nd i n di ca t e
p e r st a g e w hat t he m ost i m p or t a nt e t hi ca l i ss ue s a r e t ha t you ca n e nc ou nt e r a s a
d e s ig ne r.

6 . 2 .1 Proble m analys is a nd form ulatio n

D ur i n g t he fi r st st a g e , t he d e s ig ne r or t he d e s ig n t e a m c once p t ua l ize s t he d e s i g n
p r ob le m . T hi s s ta g e r e s ult s i n a c er t a in f or mu la t i o n of t h e d e si g n p r ob le m a nd of
ce r t a i n de s ig n r e q ui r e m e nt s t ha t a g oo d or a c c e p t a b le s ol ut i on has t o m e e t.
F ind i ng s i n l at e r st a g e s c a n s om e t im es r e s ul t i n t he r e vis io n of t he p r ob l e m
f orm ul a t i on o r t he d e s ig n r e q uir e me nt s .

Proble m fo rm ula tio n a nd pe rs pecti ve

T he f or mu la t i o n of t he d e s i g n p ro b le m is of g r e a t im p o r t a n ce , b e ca u se i t
d e t er mi ne s t he f r a m e w or k i n w hi c h t h e p r o b le m w i ll be a p p r oa c he d d ur i ng t he re s t
of t h e d e si g n p r o ce ss . O f t e n t he p a rt y co m mi s si oni ng t he d e s i g n onl y ha s a va g ue
no ti on of w ha t t he p r ob le m r ea l ly is. T he d e si g ne r s t he n p la y a cr uci a l r ol e i n
e xp li c it l y d e f i ni ng t he pr o b le m.

I n f or m ul a t i ng t he d e si g n p r ob le m, a ce r ta i n pe r sp e ct i ve m a y b e imp li ci t l y o r
e xp li c it l y c hos en. I n t he d e s ig n of a se a r ch eng i ne f o r I nt e r net , for e xa m p l e, yo u
ca n t a ke t he pe r s p e c t iv e of t he co mp a ny t ha t p r ov id e s t he s e a r c h e ng i ne . F or
t he m , th e se a r c h e n g i ne w il l not on l y ha ve t o op e r ate p r op e r l y a nd b e e a sy t o us e,
b ut it wi ll ha v e t o s to r e i nf or ma t i on o n t he s ea r c h be ha vio r of vi s it o r s s o t ha t t he
se a r c h en g i ne p r o vi d e r c a n se l l b a nne r a d v e r ts t o pot e n t ia l l y in t er e s t e d pa r t ie s.
F r om t h e p e r s p e ct i v e of t he u se r of t he se a r c h e n g i ne ha v in g t o de a l w it h b a nn er s
is p r o ba b ly u nd e s i ra b le . Thi s i s no t onl y b e ca us e t he u se r s d o not w i s h to b e
b ot he r e d b y b a nn e r s, b ut a l s o be ca use t he y ma y co ns id e r t h e s t or a g e of se a r c h
d a t a a v i ol a ti on of t he i r p r i va c y.

T he c h oi c e of p e r s pe c ti ve f or t he d e si gn p r ob l em i n t he e xa mp l e m e nt io ne d ha s
e t hi ca l r e l e va n ce t oo. The q u es t i o n i s w hi c h i nt er est s f r om w hi c h of t h e pa r t ie s
in v ol ve d m us t b e ta k e n i nt o a cc o unt f r om a m ora l vie w p oi nt , a nd w hi c h m ora l
no rm s a nd v a l ue s s u c h a s t he r e sp e c t f or p ri va c y a re a st a ke .

96
F orm ula tion of de sig n req uirem e nt s
Ne xt t o t he d e s ig n p r ob l e m , t h e d e si g n r e q ui re m e nt s a r e f or m ul a te d . O n t he b a s i s
of p r of e ss io na l a nd c or p or a t e c od e s, a nu mb e r of e t hi ca l co ns i d e r at i on s ca n b e
me n t i on ed t ha t s ho ul d b e t a ke n in t o a c c ou nt i n f or m ul a t in g t he de s i g n
r e q ui r e me nt s. T hi s co n ce rn s ma t t e rs l i k e s a fe t y, he a l t h, t he e n vir o nme nt,
su st a ina b i li t y, a nd t he so c i a l c o nse q ue nc e s o f te c hn ol og i e s.

De si g n r e q ui r em e nt s de r i ve d f r om e t hi ca l c on si d e r a t i on s a re s om e t ime s l a id d ow n
in le g isl a ti on. F o r e xa mp le , t he r e i s m uc h le g is la ti o n i n t he f i e l d s of sa f e t y, he al t h
a nd t he e nv i r on me nt t ha t e nf or ce s r eq u ir e me n t s on t h e de si g n p r oc e s s. Ne xt t o
le g i s la t i on, t he r e of t e n a r e t e c hni c a l co d e s and sta n da r d s t ha t a r e of im p or t a nc e.

Opera tiona liz ing de sign requireme nt s

A not her p oi nt a t w hi c h e t hi c a l qu e st io n s ca n a ri s e i s t he o p e ra t io na l i za t i o n of t he
d e s ig n r eq ui r e me nt s . A r e q ui r e m e nt l i ke sa f e t y ca n be o p e ra t io n a li ze d in va ri ous
w a y s. I n t h e d e sig n o f a c he m i ca l p la nt, on e c a n l oo k a t t h e sa f e t y of e m p l oye e s
a nd t ha t of p e op l e li v i ng cl os e t o t he p l a nt f or e xa m pl e . E t hi ca ll y , it w ou l d n ot b e
a c ce p t a bl e t o l im i t sa f e t y t o o nl y t he e m p l oy e e s. Ob v io u sl y, p e o p le i n t he d i r e c t
e n vi r on s of s u c h a p la nt e x p e r i e nc e t he c o ns eq ue nc e s of t he d e s i gn c h oi ce s ma de
w it ho ut ha vi ng ha d t h e op p or t u ni t y t o a g r e e or d i sag r ee o r t o b en e f it d i r e c t l y f r om
t he p l a nt .

6 . 2 .2 Con cept ua l des ign

I n t he c o nc e pt ua l de si gn st a ge t he a i m i s t o g e ne r a te c onc e p t d e si gn s. Th e fo c us
is on a n i nt e g r a l a p p r oa c h t o t he de s ig n p r ob l e m. T he d e s ig ne r d oe s not t r y t o
r e a li z e e a c h d e sig n r e qu i re me nt i nd e p e nd e ntl y, b u t w or ks o n a c omb i na ti on of
d e s ig n re q u ir e m e nt s a nd s e a r c he s f or a t ota l c on ce p t t ha t ca n b r i ng a b o ut t hi s
co mb i na t i on.

D ur i n g t he c onc e pt u a l de si gn st a ge t he cr ea t i v i t y of d e s i g n e r s i s of ma j or
im p or t a nc e. C re a t i vi t y is a p ri me vi r t ue f or d es ig ner s. De si g ne r s a r e be t t e r a b le t o
d o t he ir w or k t he m or e c r e a t i v e t he y a r e . Ne xt t o cr ea t i v it y v ir t ue s l i ke
co mp e t e nc e, p r e c isi o n, ho ne st y, a c c ur a c y, a nd r e l ia b il i t y a r e im po r t a nt f or
d e s ig ne r s ( se e cha p te r 3 ).

C re a t iv i t y i s a p r ofe s s io na l vi r t ue , b ut i t is not a mo r a l one . T hi s me a n s t ha t i t is

a n imp or t a nt pr of e s si ona l c ha r a ct e ri st ic f o r a d e s i g ne r . H ow e ve r , cr e a t i v it y d oe s
no t m a ke yo u a mor a ll y b e t t er p e r s on. N e ve r t h e le ss , c re a t i vi t y ca n a l so f r om a
mor a l p oi n t of vie w b e a n im p or t an t vi r t ue f or de si g ne r s. I t c a n he lp t o b r id ge
se e m i ng l y op p os e d m or a l va lu e s t ha t p la y a r ol e i n t h e de s ig n p r o ce ss. A g o od
e xa m p le i s t he d e s ig n of t he st orm s u r g e ba r r ie r i n t he E a st e rn S c he ld t , t he
Ne t he r l a nd s, w her e t he m or a l va l ue s of sa f e t y an d e c ol og i ca l c ar e w e re a t st a ke .

Ca s e: T h e d es i g n of the s to rm s u rg e ba r ri er i n th e E as t er n Sc h el d t 108

A ft e r t he f l ood d is a st e r in 1 9 5 3, in w hi c h a la r g e nu mb e r of d i ke s in t he p r ov i nc e
of Ze e la n d , t he Ne t he r la n ds , g a ve w a y a nd m or e t ha n 18 0 0 p e o p l e we r e k ill e d, t he
De l t a P la n w a s d ra w n up . Pa r t of t hi s De l t a P l a n w as t o c lo se of f t he E a st e r n
S ch e ld t. F r om t he e nd of t he s i x ti e s, h ow e ver , t he r e w a s g r o wi ng so ci e t a l
op p os i t i o n t o cl os i n g of f t he E a s t e r n S c hel d t. E n vi r o nm en t a l i st s, w ho f e a r e d t he
los s of a n e co lo gi ca l l y va l ua b le a r e a b e ca us e of t he d e s a li na t io n of t he E a s t e r n
S ch e ld t a nd t he la c k of t id e s, st a r t ed t o r e s i st it s c l o su re . F is he r me n a l so w e re
op p os e d t o it s c l o s ur e b e ca us e of t he n eg a t i ve c on se q ue n ce s f or t he f i s h in g

108
Van de Poel (1998).

97
in d u st r y. A s a n a l t e r na ti v e t he y s ug g e st e d ra i s i ng t he di ke s a r ou n d t he E a s t e r n
S ch e ld t t o suf f ic i e nt l y g ua ra nt e e t he sa f e t y o f t he a r e a .

I n June 1 9 72 , a g r o up of st ud e nt s l a un c he d a n
a lt e r na t i ve p la n f or t h e c lo s ur e of t h e E a st e r n
S ch e ld t. I t w as a p l a n t ha t h a d be e n wor k e d ou t a s a
st ud y a s s ig nme nt b y s t ud e nt s of t he S ch ool of C iv i l
E ng i ne e r in g a nd t he S c hool of A r c hi t e c t u r e of t he
T ec hni c a l Un i ve r sit y of De lf t a nd t he S c ho ol of
La nd s ca pe A r c hi t ec tu r e of t h e A g r i c ul t u ra l U ni ve rs i t y of
Wa g e ni ng e n. Th e a s p e c t s t he st ud en t s f o c us e d on
w e re s af e t y a nd t he e c ol og i ca l ca r e . O n t he b a si s of t he se c o ns id e r a ti ons , t he y
p r op o se d a s t or m s ur g e b a r ri e r, i . e . a b a r r i e r t ha t w o ul d nor ma ll y be op e n a n d
a ll ow w a t e r t o pa s s t hr o ug h, b ut t ha t c o uld b e c l ose d if a f lo od t h re a t e ned t he
hi nt e rl a nd . T he f l oo d b a r r i e r w a s a cr e a ti ve co mp r om i se t o b a la n c e t he t w o mo ra l
va l ue s, sa f e t y a nd e co log i ca l c a re , t hat w e r e a t st a ke .

A t fi r s t t he R i jk sw a t e rs ta a t , t he go ve r nm e nt a l b od y r es po n si b l e f or w a t e rw a y s i n
t he N et he r l a n ds , d i sca r de d t he i de a b e ca us e it w as not co ns id e r ed f e a si b l e
t e c h ni ca l l y . H ow e ve r , p r e ss ur e f ro m p ol it ic a l d e ve lo p me nt s p a rl ia me nt t o o
st a r t ed t o r e si s t t he n ot i o n of cl os i ng o ff t he E a s t e r n S c he l dt m a de t he
Ri j k sw a t e rs ta a t ta k e t he op t i on m ore se r i o u sl y a nd a f te r so me t i me i t w a s d e c id e d
t o b ui l d a st o rm s ur g e b a r ri e r. T h ou g h t he s tor m s ur g e b ar r ie r t ur ne d out t o b e
mu c h m or e e xp e ns i ve t ha n t he o r ig i na l s ol ut i on a n d a ls o e xc e e d e d t he or i g i na l
b ud g e t ma n y s t il l c on si d e r t he d e s i g n t o b e a c rea t iv e a nd a c ce p t a b l e
co mp r om is e b e t w ee n s a f e t y an d t he e co lo g i c a l va l ue s .

6 . 2 .3 Sim u lati on

T he c o nce pt d e sig n s a re ch e c k e d i n t he s im ula t io n st a ge t o s e e w het he r t he y m e e t

t he d es ig n r e q u ir e me nt s . T hi s t a ke s pl a c e in a nu mbe r of w a ys, e . g . t h ro u g h
ca l c ul a ti o ns , c ar r yi ng ou t c omp ut e r s im ula t i on s a nd d oi ng t e st s w i t h p r ot ot yp e s f o r
e xa m p le .

A n i m p or t a nt q ue s t i o n i n t hi s s t a g e is ho w re l ia b le t he p re d i c t i o ns a r e t ha t a r e
ma d e i n t h e d e s ig n p r oc e s s a bo ut t he l at e r b e ha v i o r of t h e d e s ig ne d p ro d uc t . T he
r e lia b i l it y of p r e d i ct i on s i s m ai nl y a m e t ho d ol o gi ca l is su e a n d the r e fo r e f al ls
ou ts id e t he sc op e of t hi s b o ok. H ow e ve r, m or a l co n si de r a t i o ns p l a y a p a rt i a l r ol e i n
ho w mu c h r el ia b ili t y i n p r e d i ct io ns i s d e s ir a bl e o r st i ll a cc e p t a bl e . The a ns w e r t o
t hi s q ues t i on d e p e nd s i n p a rt o n wh a t is m or a ll y at s ta ke . I n t he c a se of t he de s ig n
of a n uc le a r p owe r p la nt , w he r e a n a c ci d e n t c a n r e s ul t i n t h ou sa nd s of d e a t h s a nd
a n a r e a ca n be c ome u ni nha b it a b l e f or a n e x t e n de d per io d , t h e d e ma n d s pl a c e d o n
t he r e lia b il it y of a st a te m e nt c o nc er ni ng t he p r oba b il it y th a t a n a c ci d e nt w il l oc c ur
is be l ow a g iv e n fr e q ue n c y a r e c on si d er a b l y hi g h er t ha n sa y f or a t i n o p e ne r .

Com puter m ode ls

C om p ut e r m ode ls a re of t e n us e d i n s im ul a ti on s. N e xt t o t he f a ct t ha t s u ch m od e l s
som e t i m e s ma ke u se of k no w le d ge t hat i s no t c om p le t e l y r e l i ab l e, c om p ut e r
si m ula t i on s ca n be u nr e li a b l e f or a numb e r of r e a s o ns: 109

C om p ut e r m ode ls ca n c ont a i n m is t a k e s or e r r or s t ha t t he u se r s of t he m od e l
a r e u na w ar e of . On e e xa mp le is Ar ia ne 5 s f a il ur e to l a u n ch i n Ju ne , 1 9 9 6
( se e b ox) .

109
P et r o s ki ( 1 9 8 2 ) , c h a p t e r 1 5 .

98
 T he a s s um pt i on s m a d e i n d ra w i n g up a co mp ut e r m od e l ca n be w r o ng e ve n
if n o e x pl i c i t e r r or s o r mis t a k e s a r e ma d e . T h e pr ob le m i s of t e n co mp ou nd e d
b e ca us e us er s of t he m od e ls a r e una w a r e of t he a ss um pt i ons m a d e b y t he
mod e l- ma ke r s a nd t he p o ss i b l e unr e lia b il it y of t he se a ss um p t i o ns.
T he u se r s of co mp ut e r mo de l s a re so m et i me s u na w a r e of t he l im i t ed d oma i n
of a p p li ca t i on f o r s u c h mo de l s. T he r e i s a d a ng e r t ha t t he c om p u te r m od e ls
us e d a r e e xt ra p ola t e d t o f i e ld s of a p pl i ca t i o n i n w hi c h t he ir p r e d i ct i on s a r e
le s s r e l ia b le .

T he se p r o bl e m s of t e n in cr e a se b e c a u se co m p ut e r m od e l s e v o ke a n ap p e a ra n ce of
p r e c i si on a nd ce r t a i n t y. A s a r e su lt , e ng in e e rs ofte n pl a ce mo r e t r us t i n th e
r e lia b i l it y of p r e di ct i o n s b a s e d o n c om p ut e r mod el s t ha n i s j us t if i e d .

Ca s e: T h e e x p l os i o n of th e f i rs t Ar i an e 5 r oc k e t

O n 4 J une , 1 9 96 , a n unma n ned A r i a ne 5 ro c ke t e x p l ode d

j ust a f t er it s l a un c h. T he r oc ke t a nd it s l oa d tog e t he r
ha d a va l ue of 45 0 mi l lio n E ur o s. A n i nv e st i g a t io n
sh ow e d t ha t t he sof tw a r e ha d i ns t r uc te d t he r o c ke t t o
se l f -d e st r uct . T he p r ob l em c o ul d b e t ra c ed t o t he f a ct
t ha t t he sof t w a r e ha d not b e e n p r op e r ly a d a pt e d a nd
st i l l w a s b a s e d o n t he A ri a ne 4 r oc k et . T he A ri a ne 5 ha d a
mor e p ow e r fu l e ng i ne tha n t he A ri a ne 4 , so t ha t t he
sof t w a re ha d t o c op e w it h f a r l a r g e r nu mb e r s. The e r r o r
oc c ur re d w he n t he h or i zo nta l sp e e d w a s me a su r ed a nd
st o r e d a s a 6 4 -b it r e a l n um be r a nd t r a ns l a t e d i nt o a 16 -
b it r e al nu mb e r . H owe ve r , t he va l ue w as hi g he r t ha n 3 27 6 8 , whi c h i s t he hi g he s t
n um b er t ha t ca n b e d e sc r i b e d i n 1 6 b it s , s o t ha t i nst r um e nt s w e re f e d t he w r ong
va l ue s.

T es ts
O ne w a y t o c he c k t h e p r e d i ct io n s b a s e d o n ca lc u la t i o ns o r s im ula t io n s is t o d o
t e st s. How e ver , t e s t s a r e f a ll i b le t o o. O ne pr o b le m is t ha t t es t s a re no t a l wa ys
r e pr e se nt a t i ve of t he ci r c um st a nc es i n w hi c h t h e p ro d uc t e v e nt ua l l y ha s t o
f unc t i o n.

Y ou ne e d t o k now w ha t c ir cu ms ta n ce s a r e re l ev a n t i n a ct ua l p r a ct i ce a nd w hi c h a r e
ir r e le va nt f or pe r f o rm in g a g oo d t e s t . A n e xa m p le i n w hi ch ce r t a in a sp e ct s of
a ct ua l us e w e re e r r on e o us l y i g no re d a s i rr e le v a n t c once r ns t he p e st i ci d e 2 , 4, 5 -T
( se e b o x) . 110 T ox ic ol og is ts w ho a sse r te d t ha t use of t h e p r od u ct w a s a c ce p ta b le
a ss um e d t ha t t h e p r od uc t w a s p ro d u ce d a nd u se d a s pre sc ri b e d . U nd e r t hos e
sp e ci f i c c o nd i t i on s t he p r od u ct w a s s a f e . I n t h e c ir c um st a n ce s in w h i ch it wa s
a ct ua l l y use d , how e v e r, i t w a s u n sa f e .

Ca s e: T h e p es ti c i d e 2,4 ,5- T

I n t he se ve nt ie s t he r e wa s s om e u nr e s t a mo ng a g r i c ul t ur a l w o rke r s i n E ng la nd
co n ce r ni ng t he s af e t y of us i ng p e s t i c i d e 2, 4 , 5 -T on a l a rg e s ca l e . T he s ci e n t if i c
P e st ic i de s A d vi so r y Co mm it t ee ma i nt a in e d t ha t 2, 4 , 5 -T w a s n ot a hea l th r is k. T he y
b a se d t he m se l v e s o n l a b o r a t or y st udi e s o n t he t o xi cit y of the s ub st a nc e.
C om pl a in t s i s s ue d b y t he u ni on of a g r i cu lt ur a l w o r ks w er e se t a s i d e a s im a g i ni ng s.
I n it s a ss e ss me nt , t h e s ci e nt if i c c omm i t t ee a s su me d t ha t t he la b ora t o ry s it ua t i o n
w a s re p r e se nt a t i v e of a ct ua l p ra ct i ce : p ur e 2 , 4 , 5 -T of f e r s no ha z a r ds t o us e r s nor
t he g e ne ra l p ub l i c p ro vi d e d t ha t t he p r od u ct is u se d a s d ir e ct e d. 111

110
W yn n e ( 1 9 8 9 ) .
111
C it e d in W yn n e ( 1 9 8 9 , p . 3 6 ) .

99
M or e s p e c i f i ca l l y, t he f ol l owi ng a s s um p ti o ns w e r e t he ba s i s f or b e lie vi n g t ha t
2 , 4 ,5 -T wa s ha r m le s s:
1 . T he p r od u ct io n p r o ce ss i s s u c h th a t di o xi n a nd ot her t ox i c s ub s ta n ce s ne v e r
co nt a m i na t e t he ma i n p ro d uc t .
2 . T he co n ta i ne r s of 2 , 4 , 5-T a l wa ys r e a c h t hei r d e st ina t i on w it h f ul l a nd c le a r
in st r u ct i o ns f or use r (f a r me r s a nd a g ri c ult ur a l w or k er s) .
3 . F a r me r s a nd a g r i c ult ur a l w or ke r s a lw a y s u se t h e r i ght s ol v e nt s , p r e s s ure
va l ve s, s pr a y n oz zle s a nd sa f e ty c l ot hi ng d e sp i t e the i n co n ve ni e n c e .

A ll t hr ee of t he s e a s s um p t i o ns we r e p ro b le ma t i c , bu t t he t hi r d on e i n p a r t i c ul a r
p r ove d unf e a sib l e. A sci e nt is t w h o i nve s ti g at e d t he w or ki ng co n di t i ons of t h e f a r ms
in qu e st io n, de s c ri be d th e s ci e n t i st s f r om t he p e s t i c i d e co mm i t t e e a s l i vi n g i n
cl oud -c uc koo l a nd b e h in d t he l a b or at or y be n c h. 112 In c o nt ra st t o w h a t t he p e st ic i de
co mm i t t e e s ta t e d , t he r e w e r e g oo d r e a s ons t o b e lie v e t ha t 2 , 4, 5 -T w a s a ha z a rd t o
t he he al t h of a g ri c ult ura l w or k s a t le a st un d e r t he c o nd i ti ons in w hi c h t he y
no rm a l l y ha d t o w or k.

6 . 2 .4 De ci sio n

I n t he d e c i s io n st a ge , va r i o us c on ce p t d e si g ns a r e c om p a re d w i t h e a c h ot he r a n d a
c ho ic e i s m a de f o r a d e sig n t ha t ha s t o b e d e t a i le d. T he re s ul t s f r o m t he
si m ula t i on s t a g e a r e u se d f or t hi s co mp a r is o n. E va l ua t io n of t he d i f fe r e nt p o ss ib l e
d e s ig ns us ua l l y ta k e s p la ce i n te r m s of t he d es ig n r e q ui re m e n t s t ha t re s ul te d f ro m
t he a na l ys is st a g e . Ne xt t o t ha t va r i o us d e s ig ns c a n be ev a l ua t e d i n te r m s of t he
p o sit i v e a nd n e g a t i v e so cia l i mp a ct t he y m a y ha ve .

I n g e ne ra l , t he r e w il l not b e ju st one d e si g n t ha t m ee t s t he va r i ous de s ig n

r e q ui r e me nt s b e s t . T o ha ve a p r e c i se u n d er st a nd i n g of w h y t h is i s t he c a se , i t is
us e f u l t o c on si de r t he d if f e r e nt sh a p e s t ha t de s ig n r e q ui re m e nt s c a n t a k e on. Som e
r e q ui r e me nt s ar e f or m ula t e d i n su c h a w a y t ha t t he y a r e me t c om p le t e l y or not a t
a ll . Som e r e q ui r e me nt s a r e s o f or m ul a te d t h a t pr od u ct s m e e t th e m t o a gr e a t e r o r
le s se r e xt e nt . T hi s is us ua l l y t h e ca se f or r e q ui r e m e nt s l i ke sa f e t y, su st a i na bi li t y,
co st s, a nd e a s e of us e . C ha r a c t e r i st ic a l l y, s uc h r e q ui r e me nt s a r e for m ul a t e d i n
t e rm s li k e a s m uc h a s p os si b le ( sa f e t y, s us t ai na bi l it y, a nd e a s e o f us e ) o r as l ow
a s p o ss i b le ( co st s) . T he s e ki n ds of d e s ig n re q ui r eme nt s a re of t e n r ef e r r ed t o a s
d e s ig n cr it e r i a .

F or mo st d e s i g n p r oc e ss e s, no ne of t h e p o s si b l e d e si g n s s c or e s b e st for a l l of t he
d e s ig n cr it e ri a . The s a f e st ca r d e s i g n u s ua ll y i s not t he c he a p e st . To d e t er mi ne
w hi c h de s i g n i s t he b e st , i t i s ne c e s sa r y t o ma k e c omp ro m is e s c on ce r ni ng t he
va r io us d e sig n c r i te r i a . This i s a l s o r ef e r r ed t o a s a tra de-off b e t w e e n d e s i g n
cr it e r ia . Y ou t r ad e of f a c e r t a i n le ve l of s a f e t y f or a ce r t a i n l e ve l of co st s. T he
cr u cia l q ue st i on is ho w w e c a n de t e r mi ne t he m os t de s i r ab l e o r a c ce p t a b l e tr a d e -
of f s be t w e e n t he d if f e re nt d e s i g n c r it e ri a . I n m a n y c a se s t h i s q ue st io n ha s a n
e t hi ca l si d e t o it , b e c a us e d if f e r e nt d e si g n cr it e r ia l i ke s af e t y, s u st a i na b il it y, a nd
e a se of us e ha ve a m ora l m ot i va t io n. We w il l d i sc u ss tr a d e -of f s i n m or e d e ta i l i n
se ct i on 6 . 3 .

6 . 2 .5 Deta il de sign

O n ce t h e c ho i c e ha s b e e n ma d e f o r a pa r t i c ula r d e si g n, it ha s t o b e e l a b or a t e d o n
a nd de t a il e d. He re t o o e t h ica l q ue st i on s ca n a ri se . I n t hi s s ta g e , c h oi ce s ha v e t o
b e m ad e on w hi c h ma t e r ia ls t o u se for e xa m pl e . M a t er ia l s d if f e r i n t e rm s of ri sk s,
he a l t h e f f e c t s, a nd e n vi r o nm e nt a l i m pa c t. O ne e xa m ple is t he u se of im p o ve ri s he d
ur a ni u m a s a st a b il i ze r in a i r p l a ne s. F un ct i ona l l y t h is i s a s ui t a b le ma t e ri a l, b ut i t

112
C it e d in W yn n e ( 1 9 8 9 , p . 3 7 ) .

100
ce r t a i nl y i s a cc om p a ni e d b y ce r t a i n he a l t h r is k s. T o w ha t e xt e nt t he se a re
a c ce p t a bl e is a n e t hi c a l is su e . A not he r e xa mp l e i s t he use of tr op i ca l ha r d -w o od
f or d a m s in r i v e r s or c a na l s. A g a i n, t he m a t e r ia l i t se lf ha s d e si r a b le pr o p er t ie s b u t
f r om t he pe r sp e ct i ve of s ust a i na b ili t y t he p r e s e r va t io n of t he r a i n f or e st t he
us e of s uc h a ma t e r ia l ca n b e u nd es ir a b l e .

I n t hi s st a g e t he f i na l pr o d uc t is not onl y d e t ai led b ut t he p ro d u ct i o n pr oc e s s is

d e s ig ne d t oo. O n ce a g a in, n um e r ou s e t hi ca l que st io ns ca n p la y a r ol e . T he w a y i n
w hi c h t h e p ro d uc t i on pr o ce ss i s d es ig ne d , f or e xa mpl e , ha s c o ns e qu e n ce s f or t he
w or ki ng c o nd i t i on s of la b o r er s i n t he p r od u c t io n p la n t . Wh ic h l a b or c ond i t i on s a r e
e t hi ca ll y d e si r a b l e or a cc e pt a b le ? A not he r q ue s t i on i s w h e t he r it is d e si r a b l e or
a c ce p t a bl e t o a ll ow p a r t of t he p r od u ct i o n t o t a k e p la ce i n l ow -w a g e c ou nt r ie s or
w het he r us e s ho ul d b e m ad e of c h ild la b o r.

6.3 T ra d e- o ff s

A s w e ha ve se e n i n the ev a l ua t i o n s t ag e of t he d e s ig n p r oc e s s, the de si gn is
a ss e s s e d i n t e rm s of t he d es ig n r e q ui r e me nt s . A c hoi ce ha s t o b e ma d e be t w e e n
d if f e r e nt d e s ig ns. T hi s c h oi c e i s of t e n f ar f r om s i mp le , b e ca us e t he d i ff e r e nt
d e s ig ns u su al l y sc or e we l l on d if f e r e nt cr i t e ri a . H er e , t oo, m or a l q ue s t i on s ma y
a r is e , be c a u se t he d es ig n c r it e r ia so me t i me s a r e r e la t e d t o d if f e r e nt m or a l va l ue s.
F or e xa mp le , h ow sh oul d e nv i r onm e nt a l c on ce r ns r e g a r d i ng t h e d es ig n of ne w
co ola nt s f or re f r ig e ra t or s b e w e ig he d a ga i ns t sa f e t y c on ce r n s ? ( Se e b ox. ) We s ha l l
d is c us s f i ve w a y s i n whi c h t h is e va l ua t i o n ca n ta ke p l a c e : c o st -b e ne f i t a na l y s i s,
mu lt i -c r i t e r ia a na l ys i s , t he d e t e rm i na t i on of t h re s hol d s f or d e si g n c ri t er i a,
r e a s o ni ng a b o ut va l ue s , a nd t he se a r c h f or ne w t e ch n ica l s ol ut i o ns. F o r e a c h
me t ho d w e s ha l l p r e se nt t h e ma i n a d va nt a ge s a nd d i sa d va nt a g e s.

Ca s e: H o us e h ol d r ef r i g era t or s - An a l ter na ti v e f o r CF C 1 2 113

In t he 1 9 3 0s c h e mi s t s at Ge ne ra l M ot o r s d e ve lo p e d th e s o- ca ll e d
c hl or ofl uor o ca r bo n s ( CF C s) , i. e . h yd r oc a r b o ns i n w hi c h s om e of t he hyd r og e n ( H)
a t om s a re re p la ce d b y c hl or i ne ( Cl ) or f lu or i ne (F l) a to m s. C F C t ur ne d o ut , d ue t o
t he i r t he r mo d yna mi c p rop e r t i e s, t o be e xc e ll e nt c ool a n t s. M or e ove r , the y ar e n on -
t ox i c a nd n on-f l a mm a b l e. F o r ho us e ho ld re f r ig e r at o rs, t he m ost c omm o nl y us e d
C FC c oo la nt b e c am e CF C 12 . I n t he 1 9 8 0s it w a s d is cov er e d t ha t C F Cs a r e ma i n
co nt ri bu t or s t o t he h ol e i n t he oz o ne la ye r . I n 1 9 87 , t h e M o nt r e a l P r ot o co l ca l l e d
f or a w or l d -w i d e re d uc t io n i n t he p r od u ct i o n and us e of CF C s. Su b s e q u en t l y, in t he
1 9 90 s, C F Cs w e r e for b id d e n i n m a n y c o u nt r i e s.

A s a co ns e q ue n ce of t he b a n on CF C s i n t he 1 9 9 0s , an a lt e r na t i ve had t o b e f o un d
t o CF C 1 2 a s a re f r ig e ra nt i n ho use h ol d re f r i g e ra t or s. Thr e e m or a l va l ue s p la y e d a n
e xp li c it r ol e in t he f or m ul a t i o n of d e s ig n r e q ui re m e nt s f or a l t e rna t i ve c o ola nt s :
sa f e t y, he a l t h a n d e nvi ro nm e n t a l s us ta i na b i l it y. I n t he d e s ig n p r o ce s s, s af e t y w a s
ma i nl y t r a nsl a t e d as no n -fl a m ma b il i t y, a nd he a l t h a s no n-t ox ic i t y . E nv ir o nm e nt a l
su st a ina b i li t y w a s e q ua t e d wi t h l ow O DP ( O zo ne D ep le t i on P ot e nt ia l) an d a l ow
G WP ( Gl o ba l Wa r m in g Pot e nt i a l) . B ot h O DP a nd G D P mai nl y d e p e nd o n t he
a t mo sp her i c l if e t i me of r e f r i g e r a nts . I n t he d e s i g n p ro ce ss , a c onf l i ct a ro se
b e t we e n t ho se t hr e e v a lue s. T hi s va l ue c onf li ct c a n be i l l ust ra t e d w it h t he he l p of
F ig u re 1 . 114

113
B a s ed o n V a n d e P o el ( 2 0 0 1 ) .
114
T h is f i g u r e is b a s e d o n M c Li n d en & D i d i o n , 1 9 8 7 .

101
 F ig u re 6 . 1 : P r op e r t i e s of r ef r ig e r a nt s

F ig u re 1 i s a g r a p h i c r e p re s e nt a t io n of CF Cs b a s e d on a p a r t i c ula r h yd r oc a r b on. A t
t he t op, t her e i s me t ha ne or e t ha ne , o r a no the r h y dr oca r b on. If o ne m o ve s t o t he
b ott om, t he h y dr o g e n at oms a r e r e p la ce d e it h e r b y c hl or i ne at o m s ( if one g oe s t o
t he l e f t) o r f l uor in e a tom s (i f one g oe s t o t h e r ig ht ). I n t hi s wa y, a l l t he C F C s
b a se d o n a p a r t i cu la r h yd ro ca r b o n a re r e p r e se nt e d . T h e f ig ur e sh ow s how t h e
p r op e r ti e s of f la m ma bi l i t y ( sa f e t y) , t oxi cit y ( h e al t h) a nd a ll t h e e nv ir o nm e nt a l
e f f e ct s de p e nd on t he e xa ct c om p os i t i on of a CF C . A s ca n b e se e n, mi ni m iz i n g t he
a t mo sp her i c l if e t ime of r ef r i g e r a nt s me a ns m a xim i zi n g t he nu m b e r of h y d ro g e n
a t om s, a l l of w hi c h in cr e a se s f la mm a b i l it y. Thi s m ea ns t hat t he r e is a f u nd a m e nt a l
t r ad e -of f b e t w e e n f l a m ma b ili t y a nd e n vi r o nm en t a l e f f e ct s, o r b e t w e e n t he va l ue s
of sa f e t y a nd s us t a i na bi l it y.

M a i n a lt e r na t i v e s t o C FC 1 2 ( CH ClF 2 ) t ha t w er e c ons i d e r e d a r e HF C 1 34 a ( C 2 H 2 F 4 )
a nd h yd ro ca r b on s li ke i so b ut a ne ( HC 6 0 0a o r C 4 H 1 0 ) . T a b l e 6. 1 sh ows t he O D P a n d
G WP of t he se su bs ta n ce s. I ni t ia l l y t he in d us t r y p r e f e r re d t he a l t e r na t i v e HF C 1 3 4 a.
E ve n if t hi s s ub st a nc e has l a r g e r G WP , a nd t h us c ont r i b ut e s mo r e t o t he
g r ee n hou se e f f e c t, t ha n h y dr oca r b o ns l i k e HC 6 0 0a , it is in f la mm a b l e w hi le
h yd r o ca r b on s a r e f l a m ma b le . HF C 1 4a w a s a lso a t tr a ct i ve f o r t he c he m i ca l i nd u st r y
b e ca us e i t c oul d b e p at e nt ed , i n c o nt ra st t o th e e xi st i ng h yd r o ca r bo n s, a nd
t he r e f o re w o ul d b e m u c h m or e p r of i t a bl e t o p r od uc e .

C o o la n t ODP (compared to CFC 12) GWP (compared to CO2)

CFC 12 1 8500
HFC 134a 0 1300
H C 6 0 0 a ( i s o b u t a n e) 0 3
T ab l e 6 . 1 : O DP a nd G WP of som e co ola nt s

6 . 3 .1 Cost-be nefit ana lys is

C os t- b e ne f i t a na l ys is i s a g e ne r a l m e t ho d t h a t is of t e n us e d i n e n g i ne e r i ng . Th e r e
a r e var io u s t yp e s a n d va r ia nt s of c o st - be n e f it a na l y si s . If w e c on si d e r t he co st s
a nd b e ne f i t s f or s oc ie t y a s a w ho l e, t hi s is u su a ll y re f e r re d t o a s a so c ia l c os t -
b e ne f i t a na l ys i s. C ost - be n e f it a na l ys is ca n a l so b e l im i t ed t o t he c ost s a nd b e ne f i t s
of a c om p a n y t hat i s d e ve l op i ng a p r o d uc t a nd l ook in g t o m a r ke t i t.

102
V ar i ou s cr it e r i a ca n b e us e d i n c os t -b e ne f i t a na l y s e s to ma ke a c hoi ce be t w e e n
a lt e r na t i ve s . 115 Som e t im e s a ll of t he op t i o ns i n w hi c h t he b e ne f i t s a r e g re a t e r t ha n
t he co st s a re c ons i d e re d t o b e a c ce pt a b l e . H ow e ve r , o ne ca n a ls o c h oos e t he
op t i o n i n w hi c h t he ne t b e n e f it s a re hi g he s t. O r o ne c a n ch o os e t he o p t i o n i n
w hi c h t he ne t b e n e f it s a re hi g he s t a s a p e r c e nt a g e of t he t ot a l co st s. C os t- b e ne f i t
a na l y se s ca n b e us e d t o ma ke a c hoi ce b e t w ee n di f fe r e n t d e s i g n o p t i o ns . T he
q ue s t i o n is w he t he r t hi s me t ho d i s s ui t ab l e f o r d ea l i n g w it h c onf li c ti ng d e s ig n
cr it e r ia i n t he d e s ig n p r oc e s s. Y o u c o ul d s a y t ha t t he a p p li ca t i o n of c os t -b e ne f i t
a na l y se s is b a se d on t he p re s um pt io n t ha t t he d e s i g n c r it e r ia a re not of o ve r r i d i n g
im p or t a nc e f or t he c ho ic e b e tw e e n d if f e r e nt d e s i g ns. N e v e r t hel e s s, t he y a r e
in d i ca t i v e of w ha t is d e s ir ab l e.

So me va r ia nt s of c o st - be ne f it a na l ys es a r e r e la t e d t o t he e t hi ca l t he or y of
ut i li t a r ia ni s m de s c ri b e d i n ch a pt e r 3 . Th i s is t he ca se if w e a r e de a l i n g w it h a
so ci a l c os t -b e ne f it a n a ly s i s i n w h ic h we a l s o a s s um e t ha t t he c ost a nd b e n e f it s
in cl ud e d a r e a g oo d m e a s ur e of t he t ot a l a m ou nt of ha p p i ne s s ( or unha pp in e s s ) or
t he w e lf a r e of p e o p le s uf f e r in g t he co ns e q ue n ce s. I n B e nt h am s va r i a nt of
ut i li t a r ia ni s m t he a s s um p t i o n is t ha t a l l r e le va nt m or a l va l ue s a t st a ke ca n
e ve nt ua ll y b e e xp r e s s e d i n te r ms of t he mo r al val ue of huma n ha p p i ne ss or h um a n
w e lf a r e. M o re ov e r , i n co st -b e ne f it a na l y si s i t i s pr e su me d t ha t t he de g r e e t o whi c h
t hi s va l ue i s r ea l i ze d ca n b e ex p r e ss e d i n mo ne t a ry u nit s. T he l a t te r i s a ra t h e r
p r ob le m at i c a s s um p t i o n. T a ke t he c a se of c oo l a nt s f or h ou se hol d re f r ig e r a t or s. I s
it p os si b l e t o de t e r mi n e how m u c h ha p pi ne s s or w e lf a r e C FC 12 p r ov i de s co mp a r e d
t o HF C 1 34 a , or co mp a r ed t o i so b ut a ne ? T hi s i s no t t ha t s im p le . P e r ha p s we ca n
e xp re s s t he e c onom i c b e n ef i t s of t he s e co o la nt s f o r t he va r io u s p a r t i e s i nv ol ve d ?
T he ch e mi c a l i nd us t r y e a r n s m ore f r om H F C 13 4 a t ha n f r o m is o b uta ne . O n t he
ot he r ha nd , f ut ure g e ne ra t i on s w o u ld p r ob a bl y b e b et t e r of f if w e now s wi t c h t o
is ob ut a ne b e ca us e i t d oe s n ot c on t r i b ut e a s mu c h t o t he g r e e nho u se e f fe c t, s o t ha t
t he y d o not ha ve t o s p e n d a s mu c h co mb a t i ng t h is e f f e c t . E v e n if the su m c a n be
ma d e , t he q ue st i o n i s w h e t he r e c ono mi c g a i ns a re a g oo d me a su r e f o r hum a n
ha p p i ne ss or w e lf a r e . Mor e o ver , how sh oul d w e w e i g h t he b e nef i ts of f ut ur e
g e ne r a t io ns a g a i n st t he pr e se nt b e ne f it s f or t he c he mi c al i n d u s t ry ? E ve n i f t he s e
p r ob le m s co ul d b e s ol ve d , t he q ue st i on r e ma i ns w he t he r w e ca n t r a ns la t e a l l
r e le va nt (i ns tr ume nt a l ) val ue s in t he ( i nt ri ns i c) va lu e s of h u ma n ha pp i ne ss or
w e lf a r e. N ot o nl y i s it d i ff i cu lt t o i nd i ca t e t o w ha t e xt e nt s af e t y, he a lt h, t h e
e n vi r onm e n t , e as e o f use , a e st he t i c s , j us t i ce , e t c. a s i nst r um e nt a l va l ue s
co nt ri bu t e t o t he i nt r i ns i c v a l ue of hu ma n h a p p i ne s s of we l f ar e , b ut a r e w e r e a l l y
d oi n g j ust i c e t o t he s e va l ue s b y s imp l y t a ki ng t he m t o b e i nst r um e nt a l va lu e s ?
S ho ul d nt i ss ue s li k e j us t i ce a nd t he e n vi r o nme nt be s t r i ve d f o r j us t f or t he ir ow n
sa k e , i nd e pe nd e nt of whe t he r t he y c oul d l e a d t o h uma n ha p p i ne s s o r w e l f ar e ?

6 . 3 .2 Multi- criter ia a nalysis

A s e c ond m e t hod t o we i g h d if f e re nt d e s ig n c ri te r ia i s m ul t i - cr it e r i a a na l y s i s.
Sim i la r t o c os t -b e ne f i t a na l y si s t he r e a r e va r io u s t yp e s a nd va r ia nt s. We s ha l l
r e st ri ct ou r se l ve s t o the ma in o ut l in e s. Mu lt i -cr i t e r ia a na l ys is i s b a s e d o n a
co mp a r is o n of d if f e r e nt o p ti o ns w it h e a c h ot he r w it h re s p e ct t o a n umb e r of
cr it e r ia . U s ua ll y, t he r el a ti ve imp or t a n ce of t he cr it e r i a i s d e t e r m i ne d f ir st , b e c a us e
us ua ll y no t a l l c ri t er i a a re e q ua ll y i m p or t a nt . N e x t, e a c h opt i on i s we i g he d f o r a l l
t he cr it e ri a a nd a n u me r i c val ue is a w a r de d o n a sca l e f r om 1 t o 5 f or e xa mp l e.
F ina l l y, t he va l ue f or e ac h o pt i on i s c a l c ul a t e d ac c or d i ng t o t he f ol lo w i ng f orm ul a :
w j = g i * v i j o ve r I, w he re w j i s t he va l u e of t he j t h o p ti o n, g i is t he r e la t i ve
w e ig ht of t he i t h cr i t e r io n, a n d v i j is t h e s c or e of t he j t h op t io n on t he i t h c r it e r i o n.
T he op t i on w i t h t he hi g he st va l ue i s t he n s e l ec t e d .

115
See, e.g., Mishan (1975).

103
M ul t i - cr i t e r i a a na l ys i s se e m s t o c op e w i t h a numb e r of sh or t c om i n gs f o u nd i n co st -
b e ne f i t a na l ys i s. M ul ti -c r i t e r ia a na l ys i s d oe s n ot de ma nd t ha t a ll cr it e r ia a r e
t r an sl a t ed in t o on e o ve r a r c hi ng cr i t e r i o n o r va l ue , su c h a s hum a n ha p p i ne s s o r
w e lf a r e. H ow e ve r , m ul t i- c r it e ri a a n a l ys is d oe s de m a nd t ha t w e de t e r m i ne t he
r e la t iv e i m p or t a nce of t h e d i f fe r e nt d e si g n cr it e r ia i n s om e w a y or a not he r. T he
q ue s t i o n i s t o w ha t e xt e nt a t ra d e - of f be t w e e n t he d if f e re nt d e si g n c ri te r ia is
p o ssi b l e a n d a c ce p t a bl e . F or e xa mp le , c a n y ou re a ll y s a y t ha t t he p o or sa f e t y of a
p r od uc t c a n b e co mp e nsa t e d b y i t s e nv ir o n me nt a l l y fr i e nd li ne ss ? S uc h a st a t e me nt
p r es up p ose s t ha t va r i ou s c r i t er i a ca n b e m ea s ur e d or e x p re s s e d o n a c om mo n
sc a l e . A c co r d i n g t o s om e e t hi c i st s, h ow e v e r , t h e e xi s t e nc e of s u c h a c om m on s ca l e
is p ro b le ma t i c ( s e e b ox) . 116 M or e o ve r, di f f er e nt p e o p le t h in k d if f e r e nt ly a b ou t t he
r e la t iv e i m p or t a n ce of va l ue s li ke s a fe t y, w e l f a r e, a n d su st a in ab i lit y.

Va l u e i nc o mm ens u r abi l i ty a n d tr a d e- o f f s

T wo or m or e va l ue s ar e i nc om me ns ur a bl e i f t he y c a nno t b e e x pr e s se d or me a su r e d
on a c om mo n sca l e or i n t e r m s of a c o m mo n va l ue me a su r e . T hi s c a n b e a n
or d i na l , a n in t e r v al or a r a ti o s ca le .

I t s h oul d be not e d t ha t t h e i n com m e ns ur a b ili t y of va l ue s d oe s n ot a s s u ch e n t a il

t he i n co mp a r a b i li t y o f op t i o ns . F or e xa m p l e, if a ll r e le va nt va l ue s e va l ua te t he
sa m e o pt i o n a s b e st i n t he a b se n ce of va l ue c onf li ct t he n i nc om me n s ur a bi l it y w i ll
no t e nt a i l i n co mp a r a bi l it y. In s i t ua t i on s i n w hi c h a l e x ic og ra p hi ca l or d e r i ng of
va l ue s e x ist s, t ha t i s i n si t ua t i on s w h e re a n y sma l l a m oun t of o ne va l ue i s wor t h
mor e t ha n a n y la r ge a mo u nt of a n ot he r v a lue , i nc om m e ns ur a b il i t y w i l l a l s o n ot
le a d t o i n c om p ar a b il i t y. We c a n th e n s i mp ly or d e r th e o pt i ons w it h r e sp ec t t o t he
mos t im p or t a nt va l ue a nd i f t w o op ti ons sc or e t he sa me on t hi s va l ue w e w i ll
e xa m in e t he sc or e s w it h r e s p e c t t o t he s e c o nd, l e s s i mp or t a nt, val ue.
I nc om me n s ura b il it y of va l ue s i s t hu s ma i nl y a pr ob le m if a le xi c og r a ph i c a l or d e r i ng
b e t we e n t he va l ue s i s a b se nt a nd i f t h e va ri ou s va lu e s o r de r d if f e r e nt op t io n s a s
b e st .

I t ha s be e n s u gg e st e d t ha t r e si s t a n ce t o ce r t ai n tr a d e -of f s i s c o nst it uti ve of

ce r t a i n va l ue s or g oo ds . 117 C on si de r , f o r e xa mp le , t he f ol l ow i n g t r a d e -of f : f or h ow
mu c h m o ne y a r e y ou w ill i ng t o b e t r a y y our f r i e nd ? It ma y w e l l b e a rg ue d t ha t
a c ce p t i ng a t r a d e -off be t w e e n fr i e n d s hi p a n d f i na nc ia l g a i n u n d er mi ne s t he val ue
of fr i e nd s hip . O n t h is b a si s it i s c o ns t it ut i v e of t he va l ue of f r i e nd sh ip t o re je ct t he
t r ad e -of f b e t w ee n f r ie nd s hi p a nd f i na n ci al g a i n.

I t ha s a l so be e n s ug g e st e d t ha t va l ue s m a y re si st tr a d e -of f s b e ca us e t he y a r e
p r ot ec te d or s a c re d . 118 T hi s se e ms e s p e c i a l ly t r ue of m or a l va l ue s a nd va lu e s t hat
r e g ula t e t he r e la t io ns b e tw e e n, a nd t he id e nt it ie s of , p e o p le . T r a d e - of f s be t w e e n
p r ot e ct e d va lu e s cr e a te a n i r r e d uc i b l e l os s be ca u se a g a in in o ne va l ue ma y n ot
a lw a ys co m pe n sa t e or ca nc e l o u t a lo ss i n t he ot he r. T he l os s of a g o od f r ie nd
ca nn ot b e c om p e ns a t e d b y ha vi n g a be t t e r c ar e e r o r m or e m one y.

So me p hil o so ph e r s ha ve d e ni e d t he e x ist e n ce of va l ue i n com m e ns u r a bi li t y. T he y

b e li e v e t ha t a l l va l ue s ca n ul t i ma t e l y b e e x p r e s se d i n t e r m s of o ne ove r a r chi ng or
su p e r va l ue . U t il it a r ia ni sm of te n a t t r i b ut e s su c h a ro le t o t he va l ue of h uma n
ha p p i ne ss , b ut a s i mi la r r ole ma y b e p la y e d b y t he va l ue of g oo d w i l l i n
K ant ia ni s m. The not io n tha t t he r e i s ul t im a t e ly on ly o ne va lu e tha t is t h e s our ce of
a ll ot her va l u es i s k no w n a s va l ue mo ni sm . V a lu e m on is t s d o n ot ne ce ssa r il y d e ny
t he e xi s t e n ce of m or e t ha n o ne va l ue b ut the y b e l ie ve t ha t va lue c onf li ct s ca n
e ss e nt ia l l y b e s ol ve d b y ha v i n g r e c o ur se t o a s upe r va l ue .

116
S e e , e . g . , s o m e c o n t r ib u t i on s in C h a n g ( 1 9 9 7 ) .
117
Raz (1986).
118
B a r o n & S p r a n c a ( 1 9 9 7 ) ; T et l o c k ( 2 0 0 3 ) .

104
M ul t i - cr i t e r i a a na l ys is a lso pl a ce s g r e at d e ma n d s o n h ow w e p re ci se l y we ca n
me a s ur e t he va l ue of op t i on s on i nd i vi dua l cr i t e r i a. I n ma n y c a s e s it is not t ha t
ha r d t o d e t e rm i ne w h ic h o pt i o n s c or e s be t t e r f o r w h i ch c r it e ri o n. H ow e ve r, t he
me t ho d d o e s r e q ui r e t ha t w e ca n e xpr e s s t hi s b y me a n s of a n u me ri c va l ue t ha t
t e ll s u s s om e t hi ng a b out t he r e la t i ve de g r e e t o w h ic h opt i on s sc or e on ce r ta i n
cr it e r ia . Ta ke , f or e xa mp l e , t h e de s ig n of a n e l e vat or . O ne r e le va n t d e si gn cr i t e r io n
is t he s pe e d w i t h w h i c h w e c a n m ov e f r o m one fl oor t o t he n ex t. I t is no t ha rd t o
r a nk v a r i o us p ote nt ia l e l e va t or d es i g ns a cc or d i ng to t hi s cr it e r i o n. H ow e v e r , ca n
w e une q ui v oc a ll y t ra n sla t e t hi s r a n k i ng i nt o a r e l at i v e va l ua t i on ? F or e x a mp le , i f
t r av e l i n g t im e i s re d u c e d f r om 30 se co nd s to 2 0 se c ond s, is t ha t w ort h a s m u ch a s
sa v i ng t e n s e c ond s b y re d u ci ng t ra ve li ng t im e f r o m 2 0 s e co nd s t o 1 0 s e c ond s ?

T he re s ul t of a mu lt i - cr it e r i a a na l ysi s d e p e nd s o n t he sca le c h os e n. Le t us ha ve a
lo ok a t t he e xa m p le of t he co ol a nt s i n r e f r ig e ra t o rs . Sa y t ha t w e a sse ss t he opt i on s
HF C 1 3 4 a a nd i s ob ut a ne f or t he c ri t er i a of s a f et y ( f la mma b il it y) a nd e n vir o nm e nt a l
im pa c t ( O D P a nd G WP ) . M or e o ve r , we f e e l b ot h cr i t e r i a a r e e q ua ll y im po r t a nt . O ne
p o ssi b l e r e s ult f r om t h is m ul t i -c r i t er i a a na l ys i s c o ul d b e t he f o ll ow i ng , in w hi c h t h e
hi g h er n um b er st a n ds f or g re a t e r a p p r e c ia t io n:

Ta b le 6 . 2

He r e , t h e s c ore f o r t he c r i te r ia o pt i on s r a n f r om 1 t o 3 . Sa y ho w e ve r t ha t w e
co n ve rt t hi s t o a n a s s e ss me nt on a s ca le f r om 1 t o 5 . We co ul d h a ve t h e fo l l ow i ng
r e s ult (T a b le 6. 3 is c o ns ist e n t w i t h T a b l e 6 . 2 ):

Ta b le 6 . 3

T hi s e xa m p le s h ow s t h a t b y c ha ng i ng s ol e l y the ch oice of s ca l e , w e c an ch a ng e t he
c ho se n opt io n. So our c h oi ce d e p e nd o n t he c hos e n s ca l e i n st e a d of o n t he
in he re nt p r op e r t ie s of t he d if f e r e nt op t io n s, w hi c h i s u n d es ir a bl e . T he sa me e f fe c t
ca n oc c ur i n a l l o ca t i ng n um e r i c va l ue s t o t he r e la ti ve im p or t a nc e of t he cr it e r ia .

6 . 3 .3 T hres ho ld s

A t hi r d wa y to c ope w i t h c onf l i c t i ng d e sig n cr it e r ia i s t o se t a thr e s ho ld f or e a c h

cr it e r io n. F o r ea c h s e p a ra t e cr it e r io n ( e . g. s a f e t y, hea l th, c ost s, a nd s us t a i na b il i t y )
a t hre s ho ld i s d e t e r m i ne d fo r w ha t i s a c c e pt a b le . S e t ti ng t h r e s hol d s n ot onl y
oc c ur s in t he de s i g n p r oc e s s, b ut a l s o i n le g i s la t ion ( s ta nd a r d iz a t i o n) a nd i n
t e c h ni ca l co de s a nd st a nda r d s. A m i ni ma l l e ve l of sa f e t y i s oft e n d e f i ne d t hi s w a y
f or e xa m p l e.

A n e xa m p l e of s e t t i n g t h re s hol d s i s t o b e f oun d i n t he c a s e of t he d e s ig n of ne w
r e f ri ge r a nt s . I n t hi s c a s e , t he e n gi ne e r s M c L i nd e n a nd Di o n f r om th e Nati onal
Burea u of Sta ndard s in t he U SA d r ew t he f ol l ow i ng f ig ur e w it h r e s p e ct to t he
p r op e r ti e s of C F C s :

105
 F ig u re 6 . 2 : P r op e r t i e s of r ef r ig e r a nt s 119

A c co rd i ng t o M c Li n d e n a nd D i d i o n t he b la n k a r e a i n t he t ri a ng l e c ont a i ns
r e f ri ge r a nt s t ha t a r e a c ce p t a bl e i n t er m s of he a l t h (t ox i ci t y) , sa f e t y ( f l a mm a b i l it y)
a nd e nv i r o nme nt a l e f f e ct s ( a tm o sp he r i c lif e t im e ). N ot e t ha t b y d ra w i ng t he b l a nk
a r e a i n t h e fi g ur e , M c L i nd e n a nd Di d i on i mp li c it ly e st a b l is h t h re s ho ld va l ue s f or
he a l t h ( t ox i ci t y) , sa f e t y (f la m m a bi li t y) a nd t he e n v ir on me nt.

O ne a d va nt a g e of se t t i n g t hre s ho ld s i s t ha t t he a c ce p t a b l e t h re s hol d is c o ns id e r e d
f or e a c h c r i t e r i o n w i th o ut ma ki ng d i re ct t ra d e - of f s b e tw e e n d if f e r e nt de s ig n
r e q ui r e me nt s. Ho w e v e r, t he q u es t io n i s w he t he r i t is p o ss i b l e or d e s ir a b l e t o
d e t er mi ne t h re s h ol d s i n t hi s wa y. I f , f o r e xa mp le , t he g o ve r nme nt d r a w s up sa f e t y
st a nd ar d s, t hi s us ua ll y t a ke s p la ce i n t he li g ht of t he co st s i n vo l ve d t o a c hi e v e t ha t
le v e l of sa f e t y a n d w ha t e l se w e ha ve t o s a cr if i c e i n t e r m s of ot he r mo r a l va l ue s
su c h a s w e lf a re , a g o od lif e , o r s us t a i na b i l i t y. Set t i ng a t h re s hol d pe r c ri te r i o n i n
t he d e s i g n p ro ce ss al s o oc cu rs w i t h r e f e r e nc e to ot he r cr it e ri a a nd w ha t is
t e c h ni ca l l y fe a si b le . T he r e i s a d a ng e r t h a t th r e sh ol d s a re s e l e ct e d t ha t m a ke a
d e s ig n p os si b l e und e r al l c ir c um st a nc e s. T he q u e st io n is w he t h e r t hi s i s e t h i ca ll y
a c ce p t a bl e . I t w oul d f or e xa m p l e no t a l wa ys b e d e s i r a b l e t o a da p t y o ur
a ss e s s me nt of t he de si re d d e g r e e of s us ta i na b il it y t o w ha t i s a c hie v a b le .

A not her p os si b l e d i sa d va nt ag e of s e t t i ng t h r e s hol d s is t ha t yo u l i mi t yo ur se lf a s a n

e ng i ne e r t o r e a liz i ng t he s e v a l ue s , w hil e m or e ca n b e a c hi e ve d w it h a g i ve n de s i g n
in t e r m s of e nv i r o nme nt a l i m p a ct o r s u st a i n a bi l it y f or e x a m p l e. T hi s w a s a l so t he
ca s e w it h t he d e si g n of c ool a n ts f or r e f r i g e r a t or s. T h e a l t e r na t i ve HF C 1 3 4 a d i d
me e t t h e t hr e s h old s s e t b y t he e n g i ne e rs Mc L in de n a nd Di d i on, b ut a c c or d i ng t o
ot he r s t he c he mi c a l ha d a t oo l a rg e e nv i r on me n t al im p a ct . Wha t a lso pl a ye d a rol e
w a s t he f a ct t ha t i n t he e x ist i ng s t a nd a rd s, li ke the A S H RA E Cod e for Mecha n ica l
Refr ige rati on (A SH RA E St a nd ar d 1 5 -19 7 8 ), co ola nt s i n e qu i p m e nt for ho u se ho l d
a p pl ic a t i on s w e r e not a ll owe d t o b e fl a m ma b le . T he a c c e pt a n ce of f l a mm a b l e
co ola nt s i n t hi s i ns ta n ce r e q ui r e d t he r e f or mu l at i on of t he s ta n d a rd i n q ues t io n.
T hus, t he AS H RAE C o de w a s r e f orm ul a te d i n 1 9 9 4 ( A SH RA E St a n d a r d 1 5 -1 9 94 ) , s o
t ha t h o us e h ol d e q ui p me n t wa s a l l ow e d t o c on t a i n a ma x i m um of 3 kg of f la mm ab le
co ola nt i n ce rt a i n ca s e s. 120 I n th is ca s e, e nv i r on me nt a l c on ce r n s p ar t l y b a s ed on
mor a l co n si d e r a t i on s le d t o t he r e f or m ula t i on of e x i s t i ng s t a nd a r d s.

119
T h e f i g u r e is d r a w n f r o m M c L in d en & D i d io n , 1 9 8 7 .
120
Van de Poel & Van Gorp (2006).

106
6 . 3 .4 Reas on ing

T he a p p r oa c he s t o d e a l i ng w it h t ra d e -of f s t ha t ha ve a l r e a d y b e e n d i sc u sse d a r e a l l
ca l c ul a ti ve a p p r oa che s . The y st r i ve t o o p e r a t io na liz e a nd m ea s ur e t he va l u e of a
d e s ig n i n one w a y or a no t he r . O f t he s e a pp r oa c he s , t he s e t ti ng of thr e s hol d s d oe s
no t a im a t c a l c ul at i ng t he o ve r a ll va l ue of a n o p ti on, b ut i t d oe s p re s up p ose t h a t
t he va l ue of a n op t i on ca n b e me a s u re d fo r e a c h of t he i nd i v id ua l d e si gn cr i t e r i a.
We w il l n ow l ook a t a n a p p r oa c h t ha t d oe s not s ha r e t hi s c a l cu la t ive a pp r oa c h, b ut
w hi c h em p ha s i ze s j u d g me nt a nd r e a s o ni ng a b o ut va l ue s. T hi s a pp r oa c h a im s a t
cl a r i f yi ng t he v a l ue s t ha t und e rl i e t he co nf l ic ti ng d e s ig n re q ui r e me nt s . As
il l us t r a t i on, w e w il l lo ok a t t he va l ue s i n vol v e d in t he d e s i g n of a u t om a t i c
se a t b e lt s: s a f e t y a nd f r e e d om (s e e b o x).

Ca s e: Au to ma ti c s ea tbel ts

A ca r wi t h a ut oma t i c s ea t b e lt s w il l n ot s t a r t i f t he a ut om a ti c s e a tb e lt s a r e no t p u t
on. T hi s f or ce s t he u se r to w e a r t he a ut om a ti c se a t b e lt . O ne c ou l d s a y t ha t t he
va l ue of dr iv e r sa f e t y is b uil t i nt o t he t e c hnol og y of a ut oma t i c se a t b el t s. T his
co me s a t a c os t , h o w e ve r : t he u se r ha s le s s f r e e do m. I nt e r e s t in gl y, t he r e a r e
va r io us se a t b e lt d e s i g n s w h ic h e xi st t h a t w ou ld im pl y t ha t t h e re a re d i f fe r e nt
t r ad e -of f s i n t e r m s of s af e t y a n d use r f re e d om. T he t r ad i t i ona l s e at b e l t , f or
e xa m p le , d oe s not e nf o rc e i t s us e , b ut t he r e a r e va r io us s y s t em s t h a t g i ve a
w a rn i ng si g na l i f t he se a t b e l t is n ot b e i ng w or n. Th i s d oe s n ot e nf o r ce s e a t b e l t
us e , b ut it d oe s e nc ou r a ge t h e d r i ve r t o w e a r hi s s e a t be l t.

T he f ir st t h in g t o d o w h e n o ne wa nt s t o e xe r ci se j ud g me nt i n c a s e s of v al ue
t r ad e of f s i s t o g a i n a be t t e r und e r st a nd i ng of t he va l ue s a t s t a k e . Wha t d o t he se
va l ue s i m p l y a nd w hy a r e t he se va l ue s i m p or t a nt ? T a ke t he va l ue o f f r ee d om in t he
ca s e of sa f e t y b e lt s. F re e d om c an be c o ns t rue d a s t he a b s e n ce of a ny c on st r a i nt s
on t he d r i ve r; it t he n b a si ca l l y m e a ns t hat pe o p le s h ou ld be a b l e t o d o w h a t t he y
w a nt . F r e e d om c a n, ho w e ve r , a ls o b e va l ue d a s a n e ce s sa r y p re c on d it io n f or
ma k i ng on e s ow n co ns i de r e d c h oi ce s; s o c on ce i v ed f r e e d om ca r ri e s w i t h it a
ce r t a i n r e s p o ns ib il i t y . I n t hi s r e s pe c t it m a y be a rg ue d t hat a s a fe t y be l t t ha t
r e mi nd s t he dr i ve r t ha t h e has f or g ot t e n t o us e it do e s n ot a ct ua l ly im pe d e t he
f r e ed om of t he d r i ve r b ut ra t he r he l ps h im to ma ke r e sp on si bl e c ho ic e s. It m ig ht
p e r ha p s e v e n b e a rg u e d t ha t a ut oma t i c sa f e t y be l t s ca n b e c o ns ist e nt wi t h t hi s
no ti on of f r e e d om , pr o vi d e d t ha t t he dr i ve r ha s f r e e l y c ho se n t o us e s uc h a s yst e m
or e nd or s e s t he le g al ob l i g at i on f o r su c h a s ys t e m, w hi c h i s n ot u nl i ke l y i f f r e e d om
is no t j u st t he l ib e r t y t o d o w ha t on e wa nt s b ut r at he r a p r e co nd it i on f o r
a ut on om o us r e s p o ns i bl e be ha v ior . O ne may t h us t hi n k of d i f fe r e n t
co n ce p t ua li za t i o ns of t he va l ue s a t s t a ke a nd t he se d if f e r e nt co nc ep t ua liz a t i on s
ma y l ea d t o d i f fe r e n t p o ssi bl e s ol ut io ns t o t he va l u e c onf l i ct .

A se c on d j ud g me nt st e p w ou ld b e t o a r g ue f or sp e c i f i c co n ce p t ua l iza t io n s of t he
r e le va nt va lu e s. Som e c o nc e p t ua l i za t io n s mig ht n ot b e t e na b l e be c a use t he y
ca nn ot j us t i f y w hy t he va l ue a t st a ke i s w ort hw hi le. F or e xa m p le , it m a y b e
d if f i c ul t t o a rg ue w hy f re e d o m, co n ce i ve d o f a s the a b se n ce of a n y c o nst r a i nt, is
w ort hw hi le . M os t of us d o not st r i ve f or a li fe w it hout a n y co ns t ra in t s or
co mm i t me nt s b e ca us e s u ch a li f e wo u ld p r ob a b l y n ot b e ve r y w or t hw hi l e. T hi s i s
no t t o d e ny t he va lu e of f r e e d om ; it s ugg e st s t ha t a co n ce pt ua li za t i on of f r e e d om
on l y i n te r ms of t he a b se n ce of c on st r a i nt s mi sse s t he p oi nt of j us t w ha t i s
va l ua b le a b out f r e e d o m. Co n ce p tu a li za t i o ns mi gh t no t onl y b e u nt e na b l e f or s uc h
su b st a nt i a l r e a so ns , t he y m a y a l so b e i nc o ns i st e nt , or i n co mp a t i b le w it h som e of
ou r ot her m or a l b e lie f s.

107
A t hi r d s t e p in j udg me n t i s t o l ook f or t he c om mo n g r o un d b e hi n d t he va ri ous
va l ue s th a t mi g ht he l p to so l ve t h e va lu e c onf li ct . Thi s i de a c a n, for e xa m p l e, b e
f ound i n K a n t s not io n of t he g oo d wi ll . It i s li kel y t hat Ka n t w o ul d ma i nt a i n t ha t
t he g oo d w il l ca n sol v e a ll va l ue co nf l ic t s , a t le a st i n p ri n ci p le . T h i s is p r ob a b l y t o o
op t i mi s t i c, b ut t ha t d oe s n ot r e d uc e t h e ne e d t o l o ok f or co mmo n gr o und b e t w e e n
va l ue s. Ev e n i f su c h c om m o n g r o u nd c a nno t a lw a ys be f ou n d, it m a y b e a va il ab l e
in sp e c i fi c ca se s.

6 . 3 .5 Innovatio n thr o ugh Value Se ns it ive De s ig n

T he p r e vi o us a pp r oa c h t re a t s th e oc c ur r e nc e of v a l ue c onf l i ct m er e ly a s a
p hi l os op hi ca l pr o b le m to be so l ve d b y p hi lo so p h i ca l a na l ys is a nd a rg u me nt.
How e v e r, i n e ng i ne e r i ng d e s ig n v a l ue co nf l i ct s ma y al so be s ol v e d b y t e c hn i ca l
me a n s. Th a t i s t o sa y, in e n g i ne e ri ng it mig ht b e p os si b le t o de ve l op ne w , not ye t
e xi s ti ng, o pt i ons t hat sol v e or a t le a s t e a se t he va l ue tr a d e of f . In a s e ns e, s ol v in g
va l ue t r a d e of f s b y me a n s of ne w t e c h nol og i e s i s wha t lie s a t t he h ea r t of
e ng i ne e r i ng de si g n a n d t e c h nol og i ca l i n n ov a t io n. E ng i ne e r i ng d e si g n i s a b le t o p la y
t hi s p a r t b e c a us e m os t va lu e s d o n ot c onf li ct as s uc h, b ut o n ly in t he li g ht of
ce r t a i n t e c h ni ca l p os s i b il it ie s a nd e ng i ne e r i n g d e s ig n m a y b e a b le t o cha n ge t he s e
p o ssi b i lit ie s . A n i nte r e st i ng e xa mp le i s t he d e s ig n of a s t or m s ur g e b a r ri er i n t he
E a st e r n S c he l d t e s t ua r y i n t he N e t he r l a n d s ( s e e b o x a bo ve ) .

O ne a p p r oa c h t hat t a ke s i nt o a c c ou nt th e p os si b i l it y t o s ol ve , o r a t l e a st ea s e,
va l ue co nf l i c t s t hr o u g h e ng in e e r i n g de s ig n is Va l ue Se ns it i ve De s ig n. V al ue
Se ns it i ve D es ig n i s a n a pp r oa c h t ha t a i ms at i nt e g ra t i n g v a lue s of e t hi ca l
im p or t a nc e i n a s y st e ma t i c w a y w it hi n e n g i ne e ri ng des ig n. 121 T he a pp r oa ch a im s at
int e g ra t i ng t hr e e ki nd s of i nve st i ga t io n s: c o n ce p t ua l, e m p ir i c al a nd t e ch ni ca l. :
Con cept ua l in ve stigations a im a t c l ar if y i ng t he v al ues a t s t a ke , a nd a t
ma k i ng t r a d e -of f s b e t we e n t he va r i o us va l u e s. C on ce p t ua l in v e st i g a t i on s i n
V al u e Se ns it i ve D e s ig n a r e si mil a r t o t he k i nd of in ve s t ig a t i ons d e s cr i b e d i n
Se ct i o n 6 . 4 . 4 .
E mpirical in ve stigat io n s a i m a t u nd e r st a ndi ng th e c ont e xt s a n d e x p er i en ce s
of t he p e o p le a f f e ct e d b y t e c h n ol ogi ca l d e s i g ns. T hi s is r e le va nt t o
a p pr e c i at i ng p r e c ise l y w ha t va l u es a r e a t s t a ke a nd h ow t he se v a lue s a r e
a f f e ct e d b y d if f e re nt d e s i g ns .
T ec hnical in ves tig atio ns a na l yz e d e s i g n a n d t he i r ope r a t io na l p r in ci pl e s t o
a ss e s s how w e l l t he y su p p or t p a r ti c ula r va l ue s, a nd, c o nve r se l y, t o d e ve l op
ne w i nn ova t i ve de si g ns t h a t m e et p a rt i c ul a r m or a ll y r e le va nt va l ue s
p a rt i c ul a rl y w e ll. Th e se co nd is e sp e c ia l l y i nt e r es t i ng a nd r e le va nt b ec a u se
it p r o vid e s t he op p o r tu n it y t o d e ve l op ne w t e c h ni ca l op t i o ns t ha t m or e
a d e q ua t e l y me e t t h e v a lue s of e th i c al im p or t a n ce t ha n d o cur r e nt op t io ns .
A s t he e xa mp le of t h e E as t er n S ch e ld t b a r r i er sh ow s , t e c hni ca l i n ve st i g a ti o ns ma y
e a se va l ue c o nf l i ct s. U sua ll y, how e v e r , t e c hni ca l i nn o va t i o n w ill no t e nti re l y so l ve
va l ue co nf l ic t s, so t ha t c h oi c e s b e t w e en co n f lic ti ng v a l ue s s t il l ha v e t o b e m a de . I n
t hi s re s pe ct , i n nova t i on t h r oug h V a l u e Se ns it i ve D es i g n o nl y p r e se nt s a pa r t ia l
sol u t io n t o va l ue t r a d e of f s in e ng i ne e r in g d e si g n.

6 . 3 .6 A com paris o n of the diffe re nt met ho ds

A bo ve w e d i s c us se d f i ve me t ho ds f or ma ki n g a ch oi ce b e t w e e n a l te r na ti ve s i n t he
li g ht of de si g n cr it e r i a . We s aw t ha t e a c h m e t ho d ha s i t s p r os a nd c ons ; t hi s ha s
b e e n s um ma r iz e d i n t a b le 6. 4 be l ow . Wha t is st r i k i ng i s t ha t no ne of t he me t h od s
r e a c he s a d ef i ni t e s ol ut i o n f or t he p ro b le m of m ora ll y r e le va nt t r a d eof f s i n de s ig n.
C os t- b e ne f i t a na l ys is m ai nl y fa i ls b e c a us e it st r iv e s t o r ed u ce al l co ns id e ra t io n s t o
on e v a l ue , i. e . huma n w e l f a re , w hi c h of t e n i s im p o ss i b l e . M ult i -c r it e r ia a na l ys i s

121
F r i e d m a n et a l . ( 2 0 0 6 ) .

108
d oe s n ot do t hi s, b ut i t d oe s a s s um e t ha t w e ca n t ra d e of f d if f e r e nt v a l ue s a ga i ns t
e a c h ot he r a nd t ha t t oo i s pr ob l e ma t i c. Re a so ni n g mi g ht he lp t o sol v e so me val ue
co nf l i c ts , bu t p ro b a b l y not i n a l l c a s e s. Si mi l a r l y t e c hni c a l i n nova t i on t hr o ug h V a l ue
Se ns it i ve D e s ig n of t e n is use f ul , b ut in p r a ct i ce it u s ua ll y d oe s no t l e a d t o a
d e f i nit e s ol ut i on f or t he p r ob l e m. Thr e sh ol d s ha ve th e di sa d va nt a g e t ha t
som e t i m e s l e ss i s a c hi e ve d i n a g i ve n si t ua t io n t ha n c o ul d b e t he c a s e . M or e o ve r,
yo u st i l l ha ve t o w e i gh t he va r i ous cr it e r ia a n d val ue s w hi l e d r aw i ng u p t he
t hr e s ho ld s.

Method How are the Advantages Disadvantage s

valu es
weighted?
* Hard to carry out
* Can everything be
Everything is measured in mon etary
Cost-ben ef it * Options are
expressed in values?
analysis made comparable
mon etary terms * Neglec ts moral rights
* Neglec ts distribu tio ns of
costs and benefits
* Options are
made comparable * Are tra de-offs between
Trad e-offs
Multi-c riteria without criteria poss ible?
between the
analysis expressing *Resu lt depends on
different criteria
eve ryth ing in measurement scale
terms of money
* The selec ted
*Ca n th res holds be
alterna tives meet
A threshold is s et determined independently
the thresholds
Thresholds for each design from each other?
* No direct trad e-
criterion. *Possibly, too man y o r
off between the
too few a lterna tives
criteria
Criteria are not
directly weighted
* Might solve
but va lu es
value conflict by * No t al l value c onf licts
Reason ing und erlying the
reas on and can b e s olved in this way
design
judgement
requiremen ts are
related
* Can lead to
Technical
alterna tives that
innovation *Does not so lv e t he
are clearly be tter
through Value Not applica ble choice problem in many
than all of the
Sensitive cases
present
Design
alterna tives

T ab l e 6 . 4 : O ve r v i ew of me t hod s f o r ma k in g t r a d e -of f s i n d e sig n

We s ho ul d n ot c on c lu d e f r om t he a b o ve t ha t t he c hoi ce b e t w e e n a lt e r na t i ve s t ha t
sc or e d if f e r e nt l y f or v a r io us c r it e r ia i s ra nd om. T he me t h od s a r e us e f ul . How e ve r,
w hi c h me t ho d i s b e st wi ll d e p e nd o n t he s it uat i on. T he d is c us s i o n of p ro s a nd c ons
ca n he l p yo u t o ma ke a c ho i ce b a se d o n p r op e r r e a s o ns. M or e o ve r , it is g o od t o b e
a w a re of t he s ho r t c om i ng s of t he va ri ous m e t ho d s, s o t ha t yo u c a n t r y t o l i mi t
t he s e s hor t co mi ng s i n a c o nc r et e s i t ua t i o n.

6.4 R eg u l a ti v e fr a m ew o rk s : N o r mal a nd r a d ic a l d es i gn

T ec hni c a l d e si gn of t e n is r e de s ig n. I n ot h e r w or d s, s om e t hi ng ha s t o b e d e sig ne d
t ha t a l r ea d y e xi st s i n a co mp a r a b l e s ha p e or ba s e d o n a c om p ar a b le w or ki ng
p r i n ci p le , su c h a s a ca r, a b r id ge , a c he mi c a l p la nt, or a m i cr o ch ip . Ex p e r i e n ce w i t h
t he pr od uc t ha s of t e n le d t o c ode s a nd s ta nd a rd s f o r t he d e si g n of t ha t pr o d uc t
a nd h a s a ls o s om e t i me s l e d t o le g is l at i on f r om t he g ov e r n me nt .

109
C od e s a n d st a nd a r ds ha ve t w o ma i n f u n ct i ons . 122 T he f i r s t i s st a n da r d iza t io n a nd
t he pr om ot i o n of c om p a ti b i l i t y. Th is re s u l ts in, f o r e x am pl e , t he d e s i g n d r a wi ng s
b e i ng un de r st a nda b le a nd c l ea r f or ot he r s a nd sp a re p a r t s b e i ng co mp a t ib l e . A
se co nd a im of c od e s a nd st a nd a r d s i s g ua ra nt e e i ng a ce r t a i n q ua l it y or p r o t e ct i ng
p ub l i c va l ue s. Tho ug h e t hi ca l c on si d e r a t io ns us ua ll y a r e not e xp li cit l y s ta t e d i n
co d e s a nd st a nd a r ds , e t h ica l c o nsi d e r a t i ons c on ce r ni ng ma t t e rs l ik e sa f e ty, he a lt h,
a nd t he e nv i r on me nt of t e n a re t he f o un da t i on f or t he c o nt e nt of c od e s a nd
st a nd ar d s.

A lt ho ug h s ome le g i sl at i on an d c od e s a nd st a nd a r d s a p p l y t o a l l e n g i ne e rs a nd
t e c h ni ca l p r od u ct s, q u it e so me of t he r ul e s a r e pr od uct - sp e c if i c. We w il l ca l l t he
t ot al it y of s uc h pr od uct - sp e c if i c r ul e s t he reg ulato r y fra mewor k f or t ha t
t e c h no l og y. 123 A r e g ul a t i ve f r am e w or k c a n b e co ns id er e d a ki nd of r e i f ie d mo r a l it y
b e ca us e i t de a ls wi t h j ud g me nt s a b o ut ho w to a ct r i g ht l y t ha t a re l a i d d ow n i n
r ul e s. T he s e r ul e s a r e of t e n ba s e d on pa st ex pe r ie n ce w it h a te c h no lo g y, li ke t he
oc c ur re nc e of ce r t a i n t yp e s of a c c i de nt s o r t he d is c o ve r y of ce r t a in ( und e si r a b le )
so ci a l ef f e ct s of a t e c h nol o gy. I n som e c a s e s, r e g ula t i ve f r a me w o r ks w il l b e
p a rt l y ba s e d o n p ub l i c u nr e st or di s c us si on. I n t he c as e of l e g i s la t i on, r ul e s a r e
us ua ll y t he re s ul t of d e mo cr a t i c d e c i s io n -ma ki ng .

A r e g ula t iv e f ra m ew or k ca n he lp e ng i ne e r s t o ma k e et h i c al l y re l e va nt d e ci s i on s i n
t he d e si g n p r o ce ss . I n as fa r a s t he f r a m e w or k is de mo cr a ti ca l l y e s ta b li s h e d it a ls o
he l p s t o d imi ni s h t he p r ob l e m w e s ke t c he d i n t he i nt r o du ct i on of t hi s c ha p t e r : t he
la c k of d e m oc r a t i c c o nt r ol ove r de si g n. Th is a l l d oe s not i mp ly , how e v e r , t ha t
e ng i ne e r s ca n a lw a ys j us t f ol lo w t he e x is t i n g re g u la t iv e fr a m e w o r k w it hout a s k i n g
som e f ur t he r q ue st i on s. E v e n if t he f ra me w or k ca n b e c ons i d e r e d a ki nd of re i fi e d
mor a lit y it i s not ne c e ss a r y al so mo r a l l y a c ce p t ab l e. I n o r d e r t o j ud g e w he t he r a
r e g ula t i v e f r a m e w or k ca n b e f oll ow e d i n d e s ig n o ne co ul d t hi n k of t he f ol l ow in g s e t
of co nd it i ons: 124
T he fr a me w or k is c om p le t e i n t ha t it c ov e r s t he r e le va nt d e c i s io n s w i t h o ut
ne g l e ct i n g r e le va nt is s ue s;
T he f r a me w or k is f re e of c ont r a di ct io n s a nd i n co n sis t e nc i e s ;
T he f r a m e w or k i s una m bi gu o us; i t i s c le a r how t he fra m ew or k s ho ul d b e
a p pl ie d t o s p e ci f i c si tu a t io n s;
T he f r a me w or k is m or a l l y a c ce p t ab l e;
T he f r a me w or k is l iv e d b y i n pr a ct i ce .

T he e x ist e n ce of a fr a me w o r k m e e t i ng t hi s s e t of c ond i t i on s p a rt l y d e p e n d s o n t he
t yp e of d es ig n p r oc e s s . Em p ir i ca l r e se a r c h s ug g e s t s t ha t r eg u la t i v e f ra m e wo r ks a r e
mor e c om mo n i n n or m al de s i g n t ha n i n r a d i ca l d e si g n. 125 N orm a l de s ig n ca n be
d e f i ne d a s d e si g n i n w hi c h t he co nf i g ur a t i o n a n d w or ki ng p r i n ci p le of t he pr od uc t
r e ma i n t he sa me . 126 I f tha t i s not t he ca se , t he n w e r e f e r t o r a di c a l d e s ig n. The
w or ki ng p r i n ci p l e i s t h e p r in c ip l e o n w hi c h t he w ork i ng of a p ie ce of e q ui p m e nt i s
b a se d . T h e w or k in g p r i nc ip l e of t he p ro p e l l er e n gi ne f o r a n a ir c r af t i s d i f fe r e n t
f r om t ha t of a je t e ng ine , be c a use t he t hr us t of t he e n g i ne i s ba s e d on a d i f fe r e n t
p hy s i ca l p he nom e no n.

A n i mp or t a nt r e a so n f or t he a bs e nce of r e g ula t i ve f ra m ew o r ks i n r a di ca l de si g n i s
t ha t oft e n t he r ule s of t he f ra me w or k a r e r e la t ed t o t he c urr e nt w or ki n g p r i nc ip le

122
Hunter (1997).
123
V a n G o r p ( 2 0 0 5 ) ; s e e a l s o Gr u n w a l d ( 2 0 0 1 )
124
T h e c o n d it i o n s a r e b a s e o n G r u n w a l d ( 2 0 0 1 ) . T h e f o r m u l a t io n h a s b e e n a d a p t e d a t
s o m e p l a c es . G r u n w a l d f o r mu l a t es a s f o u r t h c on d i t io n t h a t t h e p eo p l e i n vo l v e d s h o u ld
a c c e p t t h e f r a m ew o r k .
125
V a n d e P o e l & V a n G o r p ( 2 0 0 6 ) ; V a n G o r p ( 2 0 0 5 ) , V an Go r p & V a n d e P o el ( 2 0 0 8 ) .
126
V in c en t i ( 1 9 9 0 , p . 2 0 9 ) .

110
or no r ma l c o nf ig ur a t i on. T hi s i s e sp e cia ll y tr u e f or d e ta i le d t e c h ni ca l c od e s a nd
st a nd ar d s. F or e xa m p l e , the c od e s u se d t o g uar a nt e e t h e sa f e t y of st e e l LP G ta nk s
ca nn ot s i mp l y b e tr a n s f e rr e d t o t a n ks ma d e f r om s y nt he t i c o r c om p osi t e m a te r ia l s.

E ve n if i n n or ma l d e si g n, a r e g ula t i ve f r a me w or k i s us ua l l y a va i la b l e , t h is
f r a me w or k d oe s not a lw a ys me e t th e me n ti o ne d c on di t i o ns . C o ns id e r t h e ea r l i e r
d is c us se d ca se of c oo la nt s. T he e xi st i ng f r a me w o r k, a s w e ha ve se e n, f orb a d t he
us e of f la mm a b le c o ola nt s . A lt h ou g h t hi s r eq ui r e me nt a s s u ch i s ob vi o us l y not
u ne t hi ca l , t he i mp l ic a t i on w a s t h a t c oo l a nt s w e r e pr e f e r r e d whi c h w e r e mo r e
ha r m f ul t o t he e n vi r o nm e nt t ha n t h e f la m m a bl e h y d r oca r b ons. O n t he ot he r ha nd,
it w a s not ob v i o us t ha t f la mm ab l e c o ola nt s a r e n e c es sa r i l y u nsa f e. M od e r n
r e f ri ge r a t or s co nt a i n on l y s m a ll a m ou nt s of co ola nt a nd t he r is k of e xp lo si o n i s
mi ni ma l a s te s t s s ho w e d. He r e it s h ou l d b e ke p t i n mi nd t ha t a t t he t i m e t ha t t he
r e q ui r e me nt w a s f o r mu la t e d t ha t c oo la nt s s ho uld b e i nf la m m a b le , r e f ri ge r a t or s
us e d t o co nt a i n m u c h l ar g e r q ua nt it i e s of co ol a nt t ha n now a d a y s ; d ue t o t e c hn i ca l
in n ova ti on s t ha t in cr e a se d t he e f f ic i e nc y o f re f r ig e ra t or s t hi s a mo u nt h a d b e e n
d r as ti ca l l y r e d uc e d. T her e ma y b e t h u s g ood mo r al re a s on s not t o f ol lo w a
r e g ula t i v e f r a me w or k e ve n if one i s a va i la b l e .

A ll i n a l l , t hr e e t yp e s of sit ua t io n s a r e p os si b l e c on si de r in g t he e xi s te n ce of a
r e g ula t i v e f ra me w or k. F ir st , a f r a me w or k m a y b e a v ai la b l e t ha t me e t s a ll t he
me n t i on ed c o nd i t i on s. I n t hi s s i t ua t i on, e ng i ne e r s ca n f ol low t h e f r am e wo r k i n
ma k i ng e t hi ca l ly re le v a nt c h oi ce s i n de si gn. Se c o nd, no r e g ula t i v e f ra m ew o r k ma y
b e a va i l ab l e. T hi s s it ua t io n i s m ore li ke l y, a s we ha v e se e n, i n r a d i ca l, i n n ova t i ve
d e s ig n. I n t hi s c a s e , e ng i ne e r s t he m s e l ve s a re ha ve t o m a ke a nu mb e r of e t hi ca ll y
r e le va nt c h oi ce s , for e xa mp l e a f t e r d is c us si n g t he r e le va nt i s su e s w it h ot he r
st a ke hol d e r s li ke us er s, cl i e nt s, re g ula t o rs e t ce t e ra . I n t h i s s i t ua t i o n, t he
r e sp ons i b i li ty of d e s i g ne rs f o r e t hi ca l c ho i ce s i n d e sig n i s l ar g e r b e c a us e t he y
ca nn ot f a l l b a c k on s o ci a l l y sa n ct i o ne d r ul e s . Third , i t i s p o s si b le t ha t a f r a me w or k
is a va ila b le b ut tha t i t d oe s not m e e t on e or m or e of t he m e nt i on e d c o nd i t i on s.
Wha t t he b e s t st r a t e g y i s he r e w i ll d e p e nd n w hat co nd i ti on is n ot me t . We f oc u s
he r e o n t he s it uat i on t ha t t he c u r re nt fr a me w o r k i s mo ra l ly un a c ce p t a b l e or a t
le a st m or a ll y d e b a t a b l e.

I n t hi s s i t u a ti on, e ng i nee r s ca n f oll ow va r i ous s t ra t e g ie s. F ir st , t he y c an a im at

c ha n gi ng t he f r a m e w or k. Eng i ne e r s a r e i nvo l ved i n t he f o rm ul a t i on of t e c h ni ca l
co d e s a nd s t a nd a r d s or i n se t ti ng u p t e s t p r oc e d ure s a nd t he y m a y t h us be a b le t o
c ha n ge t he s e e l em e nt s of t he f r a me w or k. Se c o nd , e n gi ne e r s c an i nfor m ot he r
p a rt i es t ha t f or m ul a t e ot he r p a r t s of t he f ra me w or k, l i ke t h e g o ve r n me nt o r a
p r of e ss io na l a s s oc ia t i on, a b o ut w ha t t he y c on si d e r s ho r t c om i n g s or pr ob l e ms
w it hi n t he c ur r e nt f ra me w o r k. T hi r d, e ng i ne e r s ca n ch o os e t o d e v ia t e f r om ce r ta i n
e le me nt s of t he re g ula t i ve f r a me w or k i n t h e d es ig n pr o ce s s. O ft e n r e g ula t i ve
f r a me w or ks le a ve so m e r o om f or t h i s, a l t ho ug h so me e l e me nt s m a y b e ma nd a t o ry,
f or e x a mp le b e ca us e t he y a r e p a rt of le g i s la t i on. F o ur t h, e ng in e er s ca n op t f or
r a di ca l d e si g n, i n w h i c h pa r t s of t h e f r a me w or k d o not l o ng e r a p p l y. Mor a l r ea s ons
ca n t h us b e a g ro u nd f or c h oo si ng f or r ad i c a l d e sig n. O n t h e o t he r h a nd , r a d i ca l
d e s ig n s oon e r l ea d s t o u ne xpe c te d r i s k s b e c a us e t he r e i s l es s e x p e r ie n ce in v ol ve d.
T hi s ca n, c o nve r se l y, b e a mo ra l re a so n t o c ho o se f or n orm a l d e s i g n.

111
C h a p ter 8. E thi c a l a s p ec ts o f tec hn i ca l r i s k s

8.1 In tr o d uc ti o n

B et w e e n 1 9 0 0 a n d 1 97 5 , a bo ut 60 0 m i l li on t o ns of c oa l w e r e m i ne d i n t he p r ov i nc e
of Lim b ur g i n t he N e t h e r la nd s . 127 I n a n a r e a of a b o ut 2 2 0 km 2 t he s ur f a ce dr op p e d
a b out 2 . 5 m on a v e r ag e . I n s om e l oc a ti o ns t he r e w a s a d r op of mo re t ha n 1 0 m.
T he c oa l m i ni n g op e r a t i on s w e r e d a ma g i ng t he h ous e s. H und r ed s o f mi l li on s i n
d a ma g e s we r e p a i d b y t h e c om p a ni e s m i ni n g th e coa l. T he r is k of d a ma g e t o t he
ho us es wa s k now n i n a d va n ce , bu t i t t hou g ht t o ba l anc e o ut ag a i n st t he b e ne f it s of
t he c oa l m in in g .

O n 3 r d M a r ch 1 9 7 4 t h e f re i gh t d oor of a D C - 10 op e ne d d u r ing fl i g h t. 128 A s a r e s ul t ,

t he p l a ne cr a sh e d k i ll i ng 3 4 6 p e opl e . Th e r i s k w a s k now n b e f or e ha nd , at l ea s t t o
som e of t he p e opl e i n vol ve d. O n 1 2 t h J une 1 9 72 a si m il a r a c ci de nt ha d a lm os t
oc c ur re d . Al re a d y t ow a r d s t he e n d of t he s i x t ie s t he po ss ib i li t y of t hi s t y p e of
a c ci d e n t ha d b e e n a nt i ci p a t e d a s a r e s u lt of te s t s . Al s o t he F a ilure Mo de a nd Effe ct
A na lysis ( F M EA ) of t he f r e i g ht d o ors r e ve a le d t he p o ss ib i li ty of t hi s t yp e of
a c ci d e n t . O ne i mp or t a nt r e a so n w h y n ot hi n g ha d b ee n u nd e r t a ke n t o r e d uc e or
a v oid t he r i sk s w a s b e ca use t her e w a s a n o n goi ng co nf l i c t b e t w e e n t he s up p l ie r
r e sp ons i b l e f or t h e d o or ( C on va ir ) a nd t h e p la ne m a nuf a ct ure r ( D o ug la s) . N e it her
p a rt y w a n te d t o w e a ke n i t s le g a l p o si t i on. Ne it h e r t h e re f or e w a nt e d t o t a ke t he
f ir st st e p i n t he d i r e ct i on of a d a pt i ng t he d e s i g n, e ve n t h oug h e a c h w a s a w a re of
t he s hor t co mi ng s. T he c omp a n y s m a na g e me nt i g n or e d a me m o w r i t t e n b y a
C on va ir e ng i ne e r i n w hi c h t he s h ort c omi ng s of t he do or d e si g n w e r e o ut l i ne d.

I n 1 9 4 0 i n t he U n it e d St a t e s , t he T ac om a Na rr o w s Br id g e co lla p se d . 129 It w a s a n
in n ova ti ve br id g e d e s i g n, b u t t he br i dg e st a r t e d t o v i b ra t e w he n it w as hi t b y si d e
w in d s. T he b r i d g e f i na ll y co lla p se d w he n it w as cl ose d f or sa f e t y r e a s on s. T he f a ct
t ha t t he br i d g e co ul d s ta r t t o vi br a t e ha d n ot b e e n a n t i ci pa t e d b y t he de s ig ne r s.
F r om e x pe r ie nc e s w it h pr e v io us b r id ge s t he y ha d w r ong l y co n cl u d e d t ha t na r r ow e r
su sp e n si o n b r i d g e s co ul d b e b u ilt .

A sb e s t os i s a p r od u ct tha t st a rt e d t o c om e i nt o la r g e s ca le us e a t t he be g i n ni ng of
t he t w e nt i e t h ce nt ur y. D ue t o a n um b er of p osi t i ve c ha ra c t e r ist i c s, s u ch a s h ea t
r e si s ta n ce , d ur a b i li t y, a nd g oo d i n s ula t io n pr op e r tie s , i t wa s a p p l ie d i n a la r g e
n um b er of pr o d uc ts . H ow e ve r , d ur i ng t he c o ur se of t ime a s b e s t o s p ro ve d t o ha ve
som e e xt r e me l y ha rm f ul s i d e e ff e c t s . I n ha l i n g a s be st o s f i be r s ca n l e a d t o a sb e st os -
r e la t e d d i s ea s es s u ch a s a s be s t osi s a n d m es ot he l i om a ( ca n ce r of t he l ung a nd
st o ma ch li ni ng ) , w hi c h c a n b e le t ha l . T he se d is e a se s o nl y b e co me ma n if e st a f te r
se ve r a l d e ca de s. T h e us e of a s b e s t o s ha s b e e n ba nn e d i n t he me a nt i me in m os t
co u nt r ie s.

C ar b o n d io xi de ( CO 2 ) i s o ne of t he g r e e n h ous e g a s s es re s p o ns ib l e f or the he at i ng
up of t h e e a r t hs a t m o sp her e . A c c or d i ng t o c e r t a i n ca lc u la t i o ns w it ho ut t he
g r ee n hou se e f f e ct t he t e mp e ra t ur e o n e a rt h wo uld b e -1 8 C t h u s p r ob a bl y ma ki ng
h um a n l if e on e a r t h im po s si b le . Si n ce t he e n d of t he ni ne t e e nt h ce nt ur y hum a n -
in st i ga t e d C O 2 p r od u ct io n ha s i n cr e a s e d e xp one n t ia l l y r e s ul t i ng i n a n in te ns i f ie d
g r ee n hou se e f f e ct . T h ou g h t he r e ha s b e e n c ont r ov e rs y ove r t he e x is t e n ce of
int e n sif ie d g re e nh ouse e f f e c t , mo st s ci e nt is t s now a g r e e t ha t t he e a r t h i s i n d e e d
w a rm i n g up w it h p o t e nt i a l l y la r g e -s ca le a nd ca t a st rop h i c c on se q u e nce s .

127
P t t g en s ( 1 9 8 8 ) .
128
Eddy et al. (1976).
129
P et r o s ki ( 1 9 8 2 ) , c h a p t e r 1 3 .

113
T he se f i ve e xa mp l es d e m ons t r a t e t ha t to a c e r ta i n e xt e n t ha za r d s a re i nhe r e nt t o
t e c h no l og y.

T he f ir st t w o e xa m pl e s pr e se nt ha z ar d s t h at w e r e k n ow n b e f or e ha nd . I n t he f ir st
ca s e t h ose i n vol ve d c ons c i o us l y t ook t he ri s k s of coa l m i ni ng b e ca us e of t he
e xp e ct ed a d va nt a g e s. In t he s e co nd ca se , w i t h t he DC -1 0 , t he r is k s w e r e i n
r e tr os p e ct r e g a rd e d a s una c ce p t a bl e b y m os t of t he m a na g e rs a n d e ng i ne e r s
in v ol ve d . H ow e ve r , t he r e le va n t r is k s w e re no t r e mo ve d or d i mi ni sh e d f or t he
r e a s o ns g i ve n i n t he e xa m p l e.

T he t h ir d a nd f our t h e xa mp le s re ve a l t ha t t h e ne g a t iv e e f f e c t s of t e c h nol og y d o
no t on l y e m a na t e f r om k n ow n r is k s b ut a l so f r om un k now n ha za rd s. S ome t ime s
su c h ha z a rd s ha ve t o d o wi t h t h e f a c t t ha t c e rt a i n t e ch nol og y ca n f ai l i n a w a y t ha t
ha d n ot be e n f or e se e n be f o r e ha nd , s uc h a s i n t he Ta co ma Na r r ow s B r id g e c as e .
So me t i me s t he y a re d ue t o u nf or e s e e n si d e e f f e ct s o f t e c hno lo g y, a s w it h
a sb e st os.

T he f if t h e xa mp le s ho ws t ha t t he e x is te n ce of ce rt a i n ha za r d s c a n b e c o nt r o ve r s ia l.
E ve n i f m os t s c ie nt i st s n ow a gr e e t ha t t he i nt e n sif i ed g r e e n h ous e e f f e ct e xi st s a nd
t ha t t he e a r t h i s w a r m in g up , f or a l o ng t i me t hi s w a s co nt r o ve rs ia l . T he r e i s s ti ll
no ag r e e m e nt on w ha t e xa ct ly t he c o nse q ue n ce s of a n i nte n si fi e d g r e e nho us e
e f f e ct wi l l b e . T he f if t h e xam pl e i s a l s o d i ff e r e nt f r om t he ot her s i n t he s e ns e th a t
it i s not p re c i se l y c l e a r how t hi s ha za r d ca n b e a tt r i b u t e d t o a sp e cif i c te c hn ol og y .
M or e so t han w i t h ot h e r ha za r d s i t i s a h a za r d t ha t a r i se s in t he u se p ha s e of
t e c h no l og y r a th e r tha n i n t he d e sig n or p r od u ct i o n p ha se . 130 F ur t he r m or e , le ss s o
t ha n in a n um be r of ot he r c as e s, it i s ha r d t o a s cr ib e t he p o ss i bl e ha za r d to o ne
sp e ci f i c t e c hnol og y. It i s c o nne ct e d m ore w it h t he l a r g e -s ca le us e of a w id e r a ng e
of t e c hno lo g ie s. 131

I n t hi s c ha p t e r, w e s h a ll d i s c u ss t he m ora l i ss ue s t ha t a r e ra i se d b y t he r is k s a nd
ha za r d s of t e c h no l og ie s , a n d how e ng i ne e r s ca n d e a l w i t h t h os e i s su e s. We w il l
d is c us s t he r e sp ons i b i l i ty of e ngi ne e r i n g f or sa f e t y (8 . 3 ) a nd t he c ur r e nt m e t ho d s
f or a s s e s si ng r i s ks ( 8 . 4 ). Se ct i o n 8. 5 d i s c us s e s t he m or a l a cc e p t a bi li t y of
t e c h no l og i c al r i s ks a n d t he ne x t s e c t i o n f o c us e s o n c omm u ni ca t io n of r is k s. Th e n,
w e wi ll p a y a t t e nt i o n t o s it ua t i ons of u nc e r t a int y an d ig nor a nc e (8 . 7 ). F i na l l y, i n
se ct i on 8 . 8 s ome c o nc l us io n s a r e d r a w n r e ga r d i ng t he re s po n si b i l it y of e ng i ne e r s .
How e v e r, t o be g i n w it h w e s ha ll d ef i ne s om e of t he ke y t e r m s.

8.2 So me d efi n i ti o n s

We sp e a k of a hazard if a t e c h no l og y, o r i t s us e , ca n c a u se d a ma g e or o t he r w ise
u nd e si r a b l e e f f e ct s. T he t e rm ris k is a s pe ci f ica t io n of t h e t e r m ha za r d . I t is a n
a t t em p t t o nam e or sp e cif y t h e p he n om e no n of ha za r d, w hi c h is of t e n do ne i n
q ua nt it a t iv e t e rm s. I n t hi s c ha p t e r w e s ha ll m ai nl y c onc e nt r a te o n sa f e t y r i s ks
( ri sk s of e ve nt s i n w hi c h t he r e ca n be f a t a lit i es or i n j ur e d) a nd he al t h r is ks (r i s k s
in w hi c h t he h e a lt h of p e op l e i s e nd a n g er e d ) . We sha ll not c o ns id e r e n vir o nm e nt a l
r is k s or so c i a l r i s ks. T he s e a r e g i ve n m or e a t t e nt i on i n t he c ha p t e r o n
su st a ina b i li t y (C ha p t e r 1 0 ).

T he sa m e ha za r d ca n b e e xp r e s s ed a s a r is k i n va r io u s w a y s. I n t h is c ha p t er , t he
t e rm ri s k w ill b e d e f i n e d a s t he p r od u ct of t he p r oba b il it y of a n u nd e si ra b le e ve nt
a nd t he e ff e ct of t ha t e ve nt , u nle ss s ta t e d ot he r wi se . T hi s p r o b ab i lit y is of t e n

130
W h i c h d o es n o t m ea n t o s a y t h a t d es i g n a n d p r o d u c t io n a d a p t a t io n s a r e u n im p o r t an t
w h en i t c o m es t o s t r i vi n g t o r e d u c e C O 2 em i s s io n s .
131
A lt h ou g h i t i s o b v i o u s l y s o t h a t o n e t e c h n o lo g y c o n t r i b u t es m u ch m or e t o C O 2 em is s i o n s
t h an a n o t h e r .

114
t a ke n t o b e t he re l a t i v e fr e q ue n c y of a n u nd e s ir a bl e e ve nt , su c h a s o n ce e ve r y t e n
ye a r s . T he e f f e ct i s of t e n e x p r e ss e d a s t he n um be r of f at a li t ie s. Wi t h t hi s
d e f i nit io n th e t e rm r i s k is a me a s ur e f or t he e x pe ct e d nu mb e r of f a t al it ie s p e r
t im e u ni t . O t he r d e f i ni t io ns of r i s k a r e u se d t oo, li k e:
- T he p r ob a b il i t y of a n und e sir a b l e e ve nt t a ki ng pl a ce .
- T he ma x i m um n e ga t i v e e f f e ct of a n und e si r a b le e v e nt.

Safet y i s s ome t im e s d e f ine d a s t he a b se nc e of r is k a n d ha z a r d s. U s ua ll y, a

t e c h no l og i c al p r o d uc t c a nn ot b e ma d e a b s ol ut e ly s a fe i n t h is s e n s e . Sa f e t y
t he r e f o re a ls o of t e n r e f e r s t o t he sit ua t i o n i n w h i ch t he r i s k s ha ve b e e n r e d uc ed i n
a s f a r t ha t is r e a so na b ly f e a s i bl e a nd d e s i r a b l e . So c on ce i ve d , sa f e t y i s r el a t ed t o
t he n ot io n of a c ce p t a b l e r i s k. We w i ll d i s c us s t h e a c ce pt a b i l it y of r i s k s in m or e
d e t ai l i n S e c t i on 8 . 5 .

F or a n u mb e r of r ea s ons, i t i s n ot a lw a y s p o ssi bl e t o p r ed i c t t he h az a rd s of a
t e c h no l og y b e for e ha n d a nd t o e x p r e ss t h e m r el ia b l y a s r is k s . O ne r e a so n i s t he
co mplex ity of ca usa l r e la t i o ns b e t w e e n pot e nti a l ca us a l a g e nts a n d s p e c if i c
u nd e si r a b l e e f f e ct s. C om p l e x it y ma y b e d ue to s uc h f a ct or s a s i n te r a ct io n s b e tw e e n
d if f e r e nt s ub st a nce s or b e tw e e n s ub s ta nc e s a nd s pe c if i c e n v ir onm e nt s, l on g d el a y
t im e s a nd i nt e rv e n i ng va r i a b l es .

T he i mp os s ib i l it y of e x p r e s si ng ha za rd s i n r i s ks ma y a ls o b e d ue t o uncertain ty , i . e.
a la c k of kn ow l ed g e . U n ce rt a i nt y ma y, in t ur n, b e cau se d b y a n um b e r of
u nd e r l yi ng f a c t or s, l i k e mo d e l li ng e r ro r s, in d e te r m i na c y , a nd t he d r a w i ng of s y st e m
b o und a r i e s. 132 I n a mo r e c ir c ums c r ib e d se ns e , the n ot i on of un ce rt a i nt y i s of te n
us e d to r e f e r t o sit ua t i ons w he r e w e k no w t h e t yp e of th e co n se q ue n ce s, b ut
ca nn ot me a ni n g f ul l y a t tr i bu t e pr ob ab i l it ie s t o t he o c c ur r e nc e of s u c h
co n se q ue n ce s. 133 I n c a s e s of un ce r ta i nt y, w e c a n t he r ef o r e not ca lc u l a t e t he r i s ks.

So me t i me s, w e d o n ot ev e n kn ow t ha t s om e t hi ng ca n go w r on g , t ha t t he r e i s a
ha za r d. I n s uc h ca s es , th e t e rm ig nora nce i s of t e n u se d . 134 W ha t is t yp ic a l of
ig no ra n ce i s t ha t we d o no t k now w ha t w e d o no t k now . T he r e f or e it is e x t r e me l y
ha r d , if n ot i mp os si bl e , t o a nt i c ip a t e t he c o n se q ue n ce s of ig nor a nc e be ca us e of te n
w e d o n ot k no w w ha t we ha v e t o b e p re p a re d f o r.

T he i mp os s ib i l it y of e x p r e s si ng ha za rd s i n r i s ks ma y a ls o b e d ue t o am bi guity .
A mb i g ui t y re f e r s t o t h e f ac t t ha t di f f e r e nt i nt e r p re t a t io n s o r me a ni ng s m a y b e
g i ve n t o t he me a s ure me n t , c ha ra c t e r iza t io n , a gg r e g at i on a n d e va l ua t i o n of
ha za r d s . T h e I nt e r na t i ona l Ris k G o ve r na nc e Co unc i l ( I R G C) d is t i ng ui s he s b e t w e e n
int e r p r e t iv e a m b i g u it y r e f e r r i ng t o d i ff e r e nt i nt e r pr e t a t i o ns of s c ie nti f ic d a t a
( e .g . h ow t o e xt ra p ola t e d os e -r e s p on se r e la t io ns t o l ow d o se s f o r w hi c h n o da t a
a r e a va i la b le ) a nd n orm a ti ve a m b ig ui t y r e f er r i n g t o d is ag r e e me nt a b o ut t he
r e le va nt ( m or al ) va l ue s a nd t he i r r e la t iv e i m p or t an ce . 135

8.3 T h e en gi n e er s r es p on s i bi l i ty f o r s a f e ty

Wh e re d o e s t he e n gi ne e r s re sp on si b i l it y f or sa f e t y c ome f r om ? Ma n y co d e s of
e t hi c s f or en g i ne e rs at t r ib ut e a r e s p on si bi l i t y f or sa f e t y t o e ng i ne e r s ( s e e C ha pt e r
2 ). B e s id e s t ha t, t h e re a r e le g a l ob l ig a ti ons co nce r n i ng t h e s a f e t y of p r od u ct s or
t e c h ni ca l co d e s a nd st a nd a r d s, i n w h ic h sa f e t y of t e n pl a y s a n i mp or t a n t r ol e .
Ne ve r t he le s s, t he l a w a nd c od e s of c o nd u ct a re no t s uff i c ie nt a m or a l a r g um e nt f or

132
R en n ( 2 0 0 5 , p . 3 0 ) .
133
F e l t et a l . ( 2 0 0 7 , p . 3 6 ) .
134
F e l t et a l . ( 2 0 0 7 , p . 3 6 ) .
135
R en n ( 2 0 0 5 ) .

115
e ng i ne e r s t o be r e sp o ns ib l e f or sa f e t y. T o t hi s p u rp ose w e m ust e xp l or e t he e t hi ca l
f r a me w or ks t ha t w e r e d e a lt w it h i n Cha p te r 3 .

C ons e q ue nt ia l i sm , d ut y e th i c s a nd vi rt ue et h ic s a ll p r ov i d e a r g um e nt s w h y
e ng i ne e r s s ho ul d st r i v e for sa f e p r o d uc t s ; t h e e xa ct a r g um e nt s d i ff e r f o r e a c h
e t hi ca l f r a me w or k. C ons e q ue nt ia l i sm st a t e s t ha t e ng i ne e r s m u st st ri ve f or g ood
co n se q ue n ce s: sa f e p r od uc ts de f i ni te l y fa l l i nt o t ha t c a t e g or y. T he d e s ir a bi l it y t o
d e s ig n sa f e pr o d uc t s i s s om e t im e s d e s c r i b e d a s do n o ha r m . T hi s c a n b e d e f e nd e d
in t e r m s of c o ns e q ue nt i a li s m or ut i li t a r i a ni s m w it h t he f r ee d om p r i n ci p le of Mi ll
( se e C ha pt e r 3 ). I t i s a k in d of m i nim um s t a nd a r d tha t a p pl ie s t o s t ri vi ng fo r g ood
co n se q ue n ce s.

I n d ut y e t h i c s t he n oti on you s ho ul d not har m a ny o ne ca n b e se e n a s a ge ne ra l

no rm . T hi s c a n b e de f e nd e d v ia t he u n iv e r sa li t y p r in ci p l e of K a nt . I ma gi ne y o u
w e re a ll owe d t o ha r m ot he r s. I t w o u ld imp l y t ha t ot he r s w ould b e al lo w e d t o har m
yo u to o a c c or d i ng t o t hi s uni v er sa l it y pr i n ci p l e . It is i mp os si b l e f or p e op l e t o w a nt
t hi s, b e ca u se it w oul d me a n g i v i ng a w a y a l l t he sa fe t y t ha t p eo p le w is h t o ha ve .
P e op l e w o ul d ha ve t h e r i g h t t o ha r m yo u w it ho ut yo u be i ng a b le t o h ol d t he m
r e sp ons i b l e .

I n v i rt ue e t hi c s, c a r e f or t he use r s o r m or e i n g e ne r a l f o r p e o pl e w ho s uf f e r t he
co n se q ue n ce s of yo ur d e s ig n, i s a n imp or t a n t v ir t ue. St ri vi ng f o r s a f e pr od uct s
t he r e f o re i s a n i m p or t a nt v i rt ue .

D ur i n g t he de s ig n p r oc e ss, e n gi ne e r s ca n f ol l ow di f f er e nt s t ra t e g ie s f or e ns ur in g
sa f e p ro d uc t s, l i k e 136:

1 . I nhe r e nt l y s a fe d e si g n : av oi d ha za r d s i n st e a d of c op i ng w i t h t h em f or
e xa m p le b y re p la c i ng su b st a n ce s, me c ha ni s ms a n d r e a c ti on s t ha t ar e
ha za r d ou s b y l e s s ha z a r d ou s o ne s.
2 . Sa f et y f a ct or s . C on st r u ct i ons a r e us ua l l y ma d e st r on g er t ha n t he l oa d t h e y
p r ob a b ly ha v e t o b e ar . Ad d i ng a s a f et y f a ct o r t o t he e x p e ct e d l oad or
ma xi m um loa d i s a n e x pl i ci t w a y of d oi ng t hi s.
3 . Ne g a t i ve f ee d b a ck. F or ca se s t ha t a de vi c e f a i ls o r a n op e ra t or l o s e s
co nt ro l, n e g a t i ve fe e d b a c k me c ha ni s m ca n b e b ui l t i n t ha t ca us e s el f
sh ut do w n. An e xam p l e is t he de a d ma n s ha n dl e t ha t st o ps t he t ra i n w he n
t he d r i ve r f al l s a s le e p or lo os e s c o ns ci ous ne s s.
4 . M ul t i p le i nd e pe nd e nt s a f e t y ba r r ie r s. A ch a i n of saf e t y b a r ri e r s c a n b e
d e s ig ne d t ha t op e r at e in d e pe n d e nt l y s o t ha t if t he f i r s t f a i l s t he ot her s s ti ll
he l p t o p r e ve nt o r m i n imi z e t he e f f e ct s. T hi s ca n, f o r e xa m p le , be a c hie ve d
t hr o ug h r e d u nd a nc y i n d e si g n ( se e b o x) . Al s o e m er g enc y e s ca p es ca n b e
q ui t e u se f ul.

R ed u n d a n t d es i g n

T he f a il ur e of a c om p o ne nt or s ub - sy s te m c a n of t e n b e c omp e ns a te d b y pr od uci ng
sy s te m s w it h r e d und a nt d e sig n s. Nu c l ea r r e a c t or s ha ve r e d und a nt s y st e m s t o
su st a in e le ct r i ci t y (t o op e r a te p ump s e t c. ) a nd to co ol t h e r e a c t o r c or e . 137 If o ne
sy s te m d r o p s out , o ne ca n i n p ri nc i p le f a ll b a c k on t he r ed u nd a n t sy st e m so t ha t
t he r e a ct or c a n c o nt i n ue t o op e r a t e s af e l y. T he O -r i ng s of t he Ch alle nge r w e r e
d e s ig ne d r e d un d a nt l y t oo. T he r e w e r e tw o O -ri ng s f or e a c h co n ne c t io n, s o t h a t if
t he f i r s t w e r e to f a i l t he se co n d w o uld co mp e ns at e . T he r e d u nd a n c y of t he O -r i ng s
w a s o ne of t he a r g um e nt s g i ve n t o a l l ow t h e f li g h t t o c on t i n ue o n th e e ve ni ng

136
Hansson (2007).
137
S e e , e . g . , M o s t er t ( 1 9 8 2 ) .

116
b e f or e t he f a t a l f li gh t . 138 Ai r p la ne s of t e n ha ve r e d und a nt s ys t e m s t oo, e . g . f or t he
co nt ro l of t he p la ne .

F or t he s y st e m a s a w hol e it ca n a l s o be u se f ul t o ha v e s om e f a l l -b a c k op t i on s.
T ak e f or e x am p l e a b a c k- up s y st e m f or a n e l e ct ro ni c d a t a ba nk o r s pa r e ca p a c it y
r e se r ve s if a n e l e c t r i c i t y p la nt s h ut s d ow n. T he la t t e r c a n b e ve r y i m p or t a nt i n
p r e ve nt i n g la rg e a r e a s of t he g r id f r om dr op pi ng o ut.

Wha t i s im p or t a nt i s t ha t t he s e s tr a t e gi e s d o no t on l y a d d re s s kno w n ri sk s b ut a l s o
t o so me e xt e nt unce r t a int ie s. N e g a t i ve f e e d b a c k me c ha ni s m m a y a l s o, f or e xa mp le
b e e ff e ct i v e i f t he ca u se s of a c e rt a i n a c ci de nt a r e n ot f or e s e e n or ar e u nk now n.

8.4 R i sk a ss es s me n t

T o j ud g e w he t he r ce r t a i n h a za r ds a re a cc e p t a bl e , a n a t t em pt i s u s ual ly f ir st ma d e
t o m a p t h e m a n d e xp r e ss t hem a s r i s ks. T hi s t a ke s pla ce b y ca r r y i ng o ut s o- ca ll e d
r is k a s s e s sme nt s. I n e ng in e er in g t he r e a re ma n y t y p e s a nd me t h od s f or ri s k
a ss e s s me nt . T he e x a c t m e t h od s d i f f e r f r om o ne e n gi nee r i ng d om ai n t o t he ot he r.
We sha ll n ot a tt e mp t t o g i ve a n o ver v i ew of a ll t he me t hod s f or r i s k a ss e s sm e nt
us e d in e ng in e e r i ng , b ut l im i t o ur se l ve s t o a ge n e ral ov e r vie w .

A ri s k a ss e s s me nt u s u a ll y c on si st s of f our st e ps 139:
1) Re l e as e a s se ss m e nt
2) E xp os ur e a sse ss me nt
3) C ons e q ue n ce a ss e s s m e nt
4) Ri s k e st i m a ti on

1 . Re leas e as se ss m ent
I n g e ne ra l, w e ca n d i s t in g ui sh be t w e e n t w o ki nd s of r e le a se s: i n ci de n t a l a n d
co nt i nuo us. I nc id e nt a l r e l e a se s a r e us ua l l y u ni nt e n d ed a n d a r e du e t o, f or
e xa m p le , a n ex p l os i o n i n a c he mi ca l p la nt o r a n a cc id e nt w it h a n u cle a r p ow e r
p la nt . Su c h re l e as e s c a n of t e n c a us e i mme d i a t e a nd ma jo r ha r m. C ont i n uo us
r e le a se s a r e of t e n a nt i ci p at e d a nd ma y b e a c ce p te d a s si de -e f f e c t s of, f or e xa m p l e ,
p r od uc t i on pr o ce sse s . C o nt i nu ous re l e a s e s d o no t ne ce s s ar i l y or a l w a y s l e ad t o
e xp os ur e or ha r m.

I n t he ca se of i n ci d e nt a l r e le a se s , a n im po r t ant ste p is t h e d e t e ct i on of s o- ca ll e d
f a il ur e mo d es a nd a c c i d e n t sc e na ri os . T he se a re se r i e s of e v e n ts t h a t le a d t o t he
f a il ur e of t he i n st a l l at i on o r t o a n ac c id e nt . T he p r oba b il it y of t he oc c ur r e nc e of
su c h s ce na r i o s i s c a l c u la t e d t o o. T hi s ta ke s p la ce i n t w o wa ys . 140 I n t he f ir st
me t ho d, t h e p r o b ab il i t y of ce r t a i n a c ci de nt s oc c ur ri ng i s ca l c ula t e d us i ng s ta t i s t i ca l
d a t a a b o ut a c c i d e nt s i n t he p a st . I f s u c h s t a t i st ic a l d a t a ar e a b se nt e ve nt t r e e s
a nd f a u lt t re e s a r e oft e n u se d t o ca l c ul a t e t he p r oba b il it y of a n a c ci de nt . F or e ve nt
t r ee s we st a r t wi t h a c e r t ai n e v e n t a nd co ns i d e r w ha t e v e nt s w il l f oll ow . F or f a ul t
t r ee s we m ov e b a c kw a r d s f r o m a n u nw a nt e d e ve nt (a f a ul t ) t o t he e ve nt s t ha t
p r e c ed e d a nd co u ld ha ve le d t o t he u nd e s i ra b le e v e nt . T o ea ch e ve nt i n t he e ve nt
or fa ul t t r e e a p r ob a b i li t y val ue i s a t ta ch e d on t he ba s i s of f a i l ur e d a t a c onc e r ni ng
co mp on en t s. Ne xt , t he p r oba b il it y of a sp e c i f i c a c c i de nt s ce na r i o i s ca lc ul at e d .

2 . Expo s ure as se ssm ent

I n t hi s s t ep t he a i m is t o p r e d i c t t he e xp o su r e of vu l ne r a bl e s ub je ct s l i ke h um a n
b e i ng s t o p h y si c al e ff e ct s t ha t ca n l e a d t o ha r m. E xa mp le s of s u ch ph y si ca l e f f e ct s
a r e a n e xp lo si o n, s h oc k w a v e s , r a d ia t io n, a n d t he sp r e a d of ha za r d ou s s ub s t a nc e s .

138
Vaughan (1996).
139
C o v el lo & M er kh o f e r ( 1 9 9 3 )
140
A t h ir d m et h o d t h a t is s o m et i m es u s e d is t o a s k ex p er t s t o es t im a t e t h e r i s k s .

117
I f t he r el e va nt p hy s ic a l s y st e m a nd t h e st a rt i ng c o nd i ti ons a r e r el ia b l y k now n, w e
ca n us e d e t e r mi ni s ti c mod e ls t o p r e d ic t t he p h y si c al e f fe c ts of ce r t a in re l ea s es . T o
t hi s p urp os e , c om p u te r m od e ls ha ve be e n de ve l op e d , a l t ho ug h t h e s e mo d el s ca n
som e t i m e s b e u n r el ia b le . 141

3 . Co nse quen ce as se ss men t

I n t he t hi rd st e p th e f oc u s i s o n de t e r mi ni n g t he r e la t io n sh ip be t w e e n e x p o s ure
a nd h a r mf ul c o ns e q ue n ce s. I n s om e r is k a s s e ss m e nt s, t he a na l y s is i s li mit e d to
a c ut e ha r m or t o t he n um b e r of d ir e c t fa t a li t i e s. I n ot her ca se s , l o ng -t e r m e f f e c t s
on he a lt h o r t he e nv i r on me nt a r e a ls o c on si d e r e d .

A n i m p or t a nt p a r t of t hi s st e p i s us ua ll y t he d et e r mi ni ng of d ose -r e s p on se
r e la t io n sh ip s. S uc h r e l a t io n sh ip s ca n be e st a b li s hed t hr o u gh t e st s on a nim a ls,
e p id e mi ol og y a nd m od e ls . 142 I n t he ca se of a ni mal t est s t he ha r mf ul e f f e ct s a r e
t e st e d b y e xp os i n g a ni m a ls t o d os a g e s. D i f fe r e n t a ni m a l s a r e g i v e n d if f e r en t
d o sa ge s . N e x t t o t ha t t he r e is a c ont r ol g r o u p. B y co mp a ri ng t he g r o up s a d ose -
r e sp ons e r e la t io n sh ip ca n b e d e te r mi ne d f o r t h e t yp e of a ni ma l in v ol ve d . T he i d e a
b e hi nd t h is i s t ha t it t e ll s us s ome t hi ng a b out t h e d os e - re s p o n se r e l a ti o ns hi p i n
h um a ns .

I n ep ide miologi cal re s earch w e us e p o p ul a t i on d a t a t o f i n d ou t w ha t t he

r e la t io n sh ip is b e t we e n t he o c c ur r e n ce of c e rt a i n d i se a s e s or me nt al d e v i a ti o ns a nd
ce r t a i n fa c t or s t hat m a y c a us e t he se de vi a t i on s. T he a d va n t ag e of ep i de m i o lo gi ca l
r e se a r c h i s t ha t w e ha ve n o ne e d f or a tr a n s la t i on of t he e f f e c t s on a ni ma l s t o t h e
e f f e ct s on hu ma ns. E p i de m i o lo gi ca l r e se a r c h ha s it s d i sa d v a nt a g e s to o h ow e ve r .
F ir st , it ca n o nl y oc c u r a f t e r t h e f a c t w h e n c e r t a i n he a l t h e f f e ct s h ave a l r e a d y
oc c ur re d . Se c on d , it r eq u ir e s r e l ia b l e st a t i s t i ca l d a t a. T his of t e n r e q ui re s e xt e n si ve
e mp i r i c al re s ea r c h. O f t en t he t i me a nd mo ne y f or t hi s a r e l a c ki ng . Thi r d , on l y
st a t i s t i ca l r e la t io ns hi p s a r e us ua ll y e s ta b li s h e d. D e m on st r a ti ng a s t a t is t i ca l
r e la t io n sh ip how e ve r i s not e nou g h t o p r ove t h e e xi st e nc e of a ca usa l r e la t io n s hip .
T ha t ca n onl y be t he c as e if o th e r ca us al f a c t or s ha ve be e n e x cl u d e d, w hi c h has
p r ove d d if f i c ult i n p r a c ti ce . T he r e , yo u d o n ot k no w w he t he r t he s t a ti s t i ca l
r e la t io n sh ip t ha t y ou o b se r v e i s b e i ng ca u se d b y t he s ub st a nce or e mis s i o n t ha t
yo u ar e i nt e re s t e d i n.

M a ny m ode ls f or d os e - r e sp o ns e r e la t io n sh ip s ha ve a h yp ot he t ica l a nd d e s c r i p ti ve
na t ur e . T he y p r e s up p os e a c e r t a in s t a ti st i c a l re l a t i on s hip b e t we e n do s e a nd ef f e ct ,
b ut t he y ha r d l y or d o not e xp la i n h ow a d os e of a ha rm f ul s u bs ta n ce le a d s t o
co n se q ue n ce s.

4 . Ris k e stimatio n
I n t he f ou r t h s te p t he r is k i s d e te r m i ne d a nd p r e se nt e d us i ng t h e r e s ul t s obt a in e d
e a r li e r . I n t his s t e p w e d e t e rm in e i n w ha t m e a s ure t he r i s k i s e xp r e sse d . T hi s c a n
b e d o ne us i ng t he nu mb e r of e x p e ct e d f a t a l i ti e s p er t im e u nit , f o r e xa mp l e , or t he
r e d u ce d li fe s pa n of p e op l e t ha t w or k or li ve in t he ne ig hb our hood of a n
in st a l l a t i o n.

8 . 4 .1 T he reliability of ri sk as se s s me nts

I n m a n y ca s es , r i s k a s se s s me nt s onl y ha ve li m it e d re li a bi l i t y. T hi s i s b e c a u se t h e
r e s ult s of t e n d e p e n d on t he o r i g i na l a s s um pt i ons m ad e , a s t he b o x on t he
e st i m a te d r is k s of d io x in s ho w s. In co n ne ct i on w it h t hi s it is st ri ki n g t ha t ma ny r i s k
a ss e s s me nt s d o n ot g i ve a n e s t im a t e of t he a c cu r a c y a nd r e lia b il it y of t he f i na l

141
T h er e a r e d i f f er en t m o d el s f o r t h e p h ys i c a l ef f ec t s o f c er t a i n in c i d en t s in c h em ic a l
i n s t a l la t i o n s . I f a l l t h es e m o d el s a r e g iv e n t h e s a m e i n p u t p a r a m et er s , t h e c a l c u l a t e d
r es u l t s in s o m e c a s es c a n d i f f er b y t en s o f p er c en t s ( R a v en z w a a i j ( 1 9 9 4 ) , p . 7 7 .)
142
C o v el lo & M er kh o f e r ( 1 9 9 3 ) , p p . 1 2 7 - 1 7 8

118
r e s ult . O ne m a y w e ll wo nd e r w he t he r a m or e r e sp on si bl e co ur se o f a ct io n w o ul d be
t o lis t u nc e r ta i nt y i nt e r va l s f or r e s ult s, o r t o st a t e e xp l i ci t l y und e r w hi c h c o nd i t io n s
r e s ult s a p p l y.

Th e i m po r ta nc e o f a s s u m p ti o n s : t h e ri s k s o f d i ox i n 143

I n 1 9 7 8, a t e st w a s ca r ri e d ou t w i t h r a ts to d e t er mi ne t h e he a lt h e f f ec t s of d i o xi n.
Ra t s t ha t we r e gi ve n 1 0 0 , 00 0 p ico g ra m s of d io xi n p er k il og r a m of b od y w e ig ht pe r
d a y de ve lo p e d c a nc e r si g ni f i ca nt l y mor e of t e n t ha n t h e co nt r o l g ro up . A t 1 0, 0 0 0
p i co g r am /k g p e r d a y t he r e w a s onl y a s m a ll i nc r e a se i n ca n ce r a nd a t 1 0 0 0
p i co g r am /k g p e r d a y no e f f e ct s co u ld be m ea s ur e d .

O n t he b a si s of t he s e da t a , r e g u la t or y b o d ie s i n t h e U ni t e d St a t e s a nd Ca na da
ma d e ve r y d if f e r e nt a s s es sme nt c o nce r ni n g w hi c h c o nc e n tr a t io ns a r e a c c ep t a b l e .
I n t he U ni t e d S t a t e s , t he a s su mp t io n w as ma d e t ha t a nim a l t e st s a r e n ot se ns it iv e
e n ou g h t o m e a s ur e t h e h e al t h e f f e c t s a t low do se s. M or e o ve r , a m ore or le ss l in e ar
r e la t io n sh ip wa s a s s um e d b e t w ee n d os e a n d e f f e c t. A s a r e s ul t , t he y c on c lu d ed
t ha t a d o se of 0 . 0 0 6 p ic og r a m/ kg p e r d a y i n h um a ns w ou ld le a d t o a n in d i vi d ua l
r is k of le s s tha n 1 i n 1 mi l l i o n. T ha t m ea n s o ne fa t a li t y p e r m il li on p eo p le e x p o se d.
I n C a na d a , it w a s a s su me d t ha t d io xi n w a s not a n i nit ia t o r of ca nc e r b ut a
p r om ot e r . I n c o nt ra st w it h ca nc e r i ni t i a to r s, ca nc e r pr om ot e r s a r e a ss ume d t o ha ve
a n o- e f f e c t l e v e l, s o t ha t n o ha r mf u l e f f e ct c a n b e f ou nd be l ow a g i ve n l e v e l.
A pp l y i ng t h is m od e l l e d t o t he c o n cl us i on t h at a r o un d 1 t o 1 0 p i c og r a m/ k g p e r da y
w o ul d b e sa f e f or p e op l e. O n t h e b a si s of t h e se c on c lu si o ns t he a c ce p t a b l e
e xp os ur e t o d i ox i n w o ul d b e a b o ut o ne t h o us a nd t ime s hi g he r i n C a na da t ha n i n
t he U ni t e d St a te s.

O ne re le va nt is s ue i s a ls o t he d e g re e of e vi d en ce t ha t i s nee d e d t o e st a b li s h a r i sk
d ur i ng a r i s k a s se s sme nt on b a s is of f or e xa mp l e e p id e mi ol og i ca l d a ta . I n
e st a b li s hi ng a r is k o n ba s i s of a b od y of e mp i ri ca l d a t a o ne m ig ht m a ke t w o ki n d s
of m is ta ke s. O ne ca n es t ab l i s h a ri sk w he n t he r e i s a ct ua ll y n o r is k ( a s o -c al le d
t yp e I e r ro r ) or one ca n mis t a ke nl y c on cl ud e t ha t t her e i s n o r is k w hi le t he re
a ct ua l l y i s a ri s k (a s o-ca ll e d t y p e II e rr or ). S cie n ce t ra d it i ona l l y a i ms a t a vo id in g
t yp e I e r ro r s b e ca us e on e us ua l l y d oe s not w ant t o as s ume a hyp ot he s i s a s
k now l e d g e u nl e s s t he r e is s t r on g e v i de n ce f or i t. Se ve r a l a ut h ors ha ve a r g ue d t ha t
in t he s pe c if ic co nt e xt of r is k a s s e ssm e n t i t i s of t e n m ore i m p or t a nt t o a voi d t y p e
I I e r r or s. 144 T he r e a s o n f or t hi s i s t ha t ri s k a ss e ss me nt n ot j us t a i ms a t e s t a bl is h in g
sc ie nt i f ic t r ut h b ut ha s a p r a c t i ca l ai m, i. e . t o pr o v id e t he k no wl e d g e on b a si s of
w hi c h d e c i si on s ca n b e m a d e a b o ut w h et he r i t is n e ce s sa r il y t o p r ot e ct t h e p u b li c
a g a i nst ce rt a i n r is k s . I t mi gh t b e w or se not t o p r o t e ct t he p ub li c a g ai ns t a r i s k
t ha n t o t a ke u n ne ce s s a ry p r e ca ut i on s a g a i ns t a r i s k t hat t u rn s o ut no t t o e xi st .

8.5 W he n a re ri s ks a c c ep ta bl e?

So me e ng i ne e rs a nd s ci e nt i st s b el ie ve t ha t i f t he ri s ks of t w o d if f e r en t a ct i v i ti e s
a r e t he sa me a c co r d i n g t o r is k a s s es sme nt s, t he a ct i v i t ie s a r e e q u a ll y a c c ep t a b l e .
I n ot he r w or d s, i f one a ct i v it y i s a c ce p t ab le t he ot he r (w h ic h ha s th e sa me r is k )
mu st b e a c ce p ta b le t o o. T h is a r g um e nt is f l a we d f or a nu mb e r of r e a so n s.

F ir st , t he q ue st i o n w h e t he r t he r i s ks of te c h no lo g y A a re a cc e p t a b l e is not t he
sa m e q ue s t i on as t he q ue s t i on w he th e r te ch no lo g y A i s a c ce pt a b le . T hi s w ill
b e c om e cle a r w he n we c o nsi de r t he e t hi ca l o b je ct io n s t o h uma n c lo ni ng ( se e b o x).

143
C o v el lo & M er kh o f e r ( 1 9 9 3 ) , p p . 1 7 7 - 1 7 8 .
144
C r a n o r ( 1 9 9 0 ) a n d S h r ad er - F r ec h e t t e ( 1 9 9 1 ) .

119
E thi c a l o bj ec ti o n s t o c l o ni n g 145

Sw i e r s t ra r e co ns tr u ct e d w hi c h a r g ume nt s p la ye d a r o le in t he s oc ia l d is c us si on o n
h um a n c l o ni ng . He ma d e t he f ol lo w i ng li s t of a r g um en t s:

C lo ni ng :
1. u nd e r mi ne s t he un iq ue ne s s of h uma n s;
2. is c ont r a r y t o hum a n d ig nit y;
3. le a d s t o ps y ch os oc ia l p r ob le m s i n t he cl o ne d c hild ;
4. suf f e rs f ro m n ume r ous s c ie nt i f i c a nd te c h ni c a l ri s ks;
5. w il l le a d t o mi su se a nd ha s u nf or e se e n a n d und e sir a b l e co ns e q ue n ce s;
6. is un na t ur a l;
7. is ba s e d o n a n o ve r r e a c hi ng d e si r e f o r m a ni p ul at i on a nd l e ad s t o t he a b je ct
in st r um e n ta l i sa t io n of p e o pl e ;
8. w il l le a d t o u nd e s i r ab l e c ha ng es i n our se lf i m age .

So me of t he ob j e c t i on s r e f e r t o t he r is k s of cl o ni ng . O t h er o nes , s u ch a s t he t hi r d
a nd f i f t h, ca n s im p l y b e f or m ula t e d a s r is k s. O b j e cti ons li ke c l oni n g u nd e r m in e t he
u ni q ue ne ss of h um an s a n d ca n l e ad t o a n u n de s i r ab le c ha ng e i n o u r s e lf i ma g e ,
a r e a r g um e nt s t ha t ca nnot ea s il y b e un d e r s t oo d i n te r m s of r i s k s. The se ki n d s of
ob je ct i o ns c a nn ot be j us t if i e d o n t he b a sis of c on se q ue n t ia l i s m; t h ey s te m fr om a
d ut y e t hi c s o r vi rt ue e th i c s a p p r oa c h. E s p e c ia ll y t he a r g u me nt th a t c lo n in g le a d s
t o a k i nd of hum a n or ki nd of s o cie t y t ha t ha s no vir t ue a nd t he re f or e i s
u nd e si r a b l e , i s cle a r l y b a se d on vir t ue e t h ic s . 146 T he q ue st io n w he t he r cl on i ng is
e t hi ca ll y ac ce pt a b le is th u s m or e e n co m pa ss in g t ha n t he q ue st i on w het he r t he
r is k s of t he te c hn ol og y a r e a c ce p t a b l e.

E ve n i f we r e st r i ct our a na l ysi s to t he a c c e p t a b il i t y of r is k s , it is a f a ll a cy t o
co n cl u d e t ha t if t he r i s k s of t w o t e c hn ol og ie s a r e t he sa m e t he se r i s ks a r e eq ua ll y
a c ce p t a bl e . A n um b e r of re a s on s w hy t he co nc l us io n t ha t e q ua l r i s ks a r e e q ua ll y
a c ce p t a bl e i s f l a w e d a r e g i ve n i n t he b ox.

W h y th e s i z e of th e c a l c ul a ted ri s k d o es n o t tel l us ev e ry th in g a bo u t th e
a cc ep t a bi l i ty o f th e ri s k 147

T he r e i s a nu mb e r of a rg ume nt s w h y e q ua l r i s k s a r e no t ne ce s sa ri ly e q ua l l y
e t hi ca ll y ac ce pt a b le :

A s not a ll ri s k a s se ss m e nt s a r e e q ua ll y reliab le , t he r e s ul t s of ri sk a sse s s me nt s a re

no t e a si ly com p a r a b l e. T a k e f or e xa m p le t he co m pa r is o n b e tw e e n t he r i sk s of
n uc le a r p ow e r p la nt s a nd t r a f fi c r i s ks . T r a ff i c r i sk s a r e u s ual l y ca l c ul a t e d u si ng a
la r g e nu mb e r of s t a t i s ti ca l d a t a b a s e d o n ye a r s of e xp e r i e n ce . In t he ca s e of
n uc le a r p ow e r p la nt s, t he r i s ks ca n not b e c a l c ula t e d u si ng st a t is ti c a l d a ta a nd al l
sor t s of a s su mp t i o ns h a ve t o b e ma d e t o e st i ma t e t he r i s k in q ue s ti on. T hat i s w h y
t he e s ti ma t io n s of t r a f f ic r i s ks ar e u s ua ll y m or e r el ia b le t ha n t he e st i m a t e s of t he
r is k s f or n uc le a r p ow e r p la n t s.

Ri s ks a r e oft e n m ult i- d ime ns ional , w h ile o n ly o ne d im e ns i o n i s u se d i n t h e

co mp a r is o n of r is k s i n ma n y ca se s. T hi s d i me ns i on of t e n is t he n um be r of e xp e c t e d
f a t a lit ie s pe r t ime u ni t . Fa t a li t i e s ca n oc c ur b ot h t h r ou g h a cc id e nt s i n t r a f f i c a n d
b e ca us e of a c ci d e nt s i n n u cle a r p ow e r p la nt s. I n m a n y ot he r a sp e ct s, h ow e ve r , t he

145
B a s ed o n S w i er s t r a ( 2 0 0 0 ) , p . 4 2 .
146
S w i er s t r a ( 2 0 0 0 ) .
147
O t w a y & V o n W i n t e r f el d t ( 1 9 8 2 ) , S l o vic et a l . ( 1 9 9 0 ) , S h r a d er - F r ec h e t t e ( 1 9 9 1 ) , a n d
S t er n & F ein b e r g ( 1 9 9 6 ) .

120
r is k s i n q ue st i on a r e n ot t ha t e a s y t o co mp a r e . T a ke , f or e xa mp l e , t he l a st i ng r i s k
of nu c l e ar w a s t e .

I t i s n ot ob vi o us t ha t a sma ll proba bility of a ma jo r ac cid ent i s a s accept abl e a s a

large pro babilit y of a s mall ac cide nt , e ve n if t he p r od u ct of p r oba b i l it y a nd e f f e ct
is t he sa me . I n t his re sp e ct t he r is k s of t r a f f ic a n d of n uc le a r p ow e r p la n t s d if f e r .
T he p r ob a b il i t y of ha vi ng an a c ci de nt i n t ra f f ic a re f a r hi g he r t ha n t he pr ob a bi lit y
of a n u cl ea r a c ci d e nt at a p owe r p la nt. How e ve r, t he re a r e f ar mo r e f at a l it ie s w it h
n uc le a r a cc id e nt s c om pa r e d t o t r af f i c a c cid e nt s . A cc id e nt s i n w hi c h mu lt i pl e d e a t hs
oc c ur e ve n if t he t o t al r i s k is t he sa me a s t ha t of a n ot he r a c cid e nt a r e of t e n
co n sid e r e d l es s a c ce p t ab l e, b e ca u se t he d e g r e e of s o cia l d is r u p t i o n i s m u ch hig he r .
Wh e t he r or not t hi s i s a g ood a r g u me nt i s a ma t t e r of d e b a t e .

T he a c ce p t a b i li t y of a ri s k p a r t l y d e p e nd s o n t he d e g r e e t o w h ic h p e op l e
vo lun taril y t a ke a r is k or c o ns e nt t o a r i s k. 148 St il l, t h e d i st i nc t i on be t w e en
vo l un ta r y a n d i mp os e d r i s k i s n ot a l wa ys c le a r- c ut . To w hat e xt e n t a r e tr a f f i c r i s k s
vo l un ta r y if s om eo ne ha s t o t r av e l a l ot f or wor k ? Ne ve r t he l e s s , t r a f f ic r i s k s a r e
mor e vol u nt a r i l y t a ke n tha n t he r i sk s of a n uc le a r p ow er p la nt be in g b ui lt nea r y ou
w it ho ut a n y c ons u l ta t i on. T he r i s ks of s ki in g ar e mo r e v ol unt a r y t h a n t r a f f i c r is k s .

Ri s ks a s s uc h a r e no t a c ce p t ab l e , b ut t he y c a n be a c ce p t a b l e be ca us e r is k y
a ct i v i t ie s b r i ng ce r t a i n be nefit s . I ns t ea d of a s se ss i ng is ola t ed r i s ks , it i s t he re f o r e
a b e tt e r id e a t o a sse s s ri sk y a ct i vi ti e s. Th i s wa y i t i s p os si b l e t o w e ig h t he ri s ks
a nd t he be ne f it s. I f an a ct i vi t y do e s n ot r e su lt i n a n y a d va nt a ge i n som e o ne s e ye s
t he n it i s r ea s ona b le t ha t he o r s he w i ll r e je ct t h e a ct i v it y if it i n v ol ve s a r i sk ,
w hat e v e r sma ll .

I n e x t e ns io n of t he a b ov e , it ma ke s s en se t o w ei g h d ifferent opti ons t o a c hi e ve

t he s a me goa ls w he n t he a cc e p ta b il it y of r i s k s i s be i ng a s se ss e d . T hi s m e a n s
t ha t t he a c ce pt a b il i t y of nu c le a r e ne r g y as a t e ch n ol og y f or ge ne r a t i ng e ne r g y not
on l y d ep e nd s on t he q ue st i o n w he t he r t he a d va nt a g e s of nuc l e a r e ne r g y w e ig h
a g a i nst t he r i s ks (a nd ot he r n e g at i v e e f f e ct s ) , b ut a l s o d e p e nd s o n t h e q ue st i on
w het he r ot he r t e c h nol ogi e s l i ke w i nd e n e r gy a re m or e a t t r a c t i ve .

T he a c ce p t a b i li t y of ce r t ai n r is k s a ls o d e p e n d s o n h ow j us t l y t he r is ks a nd
a d va nt a g e s of a s pe c i f ic r i s ky a ct i v it y a r e d is trib ut ed . T a ke , f o r e xa m p le , a
c he m ic a l p la nt t ha t i s b e i ng b ui l t i n a g h et t o i n a T h ir d Wor ld c o un tr y. I f t he
a d va nt a g e s l i k e e mp l oym e nt , p r of i t a n d u se f ul p r od u ct s d o not g o t o t he p e op l e
li vi ng i n t he g he t t o, t h e r i s k m a y b e u na c c e p t a b le .

T he a b o ve a r g um e nt s r e f ut e t he p r op os i t i o n t ha t im m e d i at e c o n cl u si on s c a n b e
d r aw n f r om r i s k a ss e s s me nt s a b o ut t h e a c ce p ta b i l it y of r i s ks. Ri s k a sse s s me nts a re
ne ve r t h e le ss a n i m p or t ant s o ur c e of inf orm a ti o n f or j ud g i n g t he a c ce p t a bi lit y of
r is k s . Be si de s t ha t , e t hi c al co ns id e ra t io ns p l a y a r ol e t o o. T ho u gh t he r e is n o f ul l
a g re e me nt a nd a n e x h a us t i ve e n um er a t io n is i mp os si ble , w e ca n a t le a st m en t i on
t he f ol l o wi ng f o ur e t hi ca l c o ns i de r a t i o ns . 149 We s ha l l e la b ora t e o n t he se poi nt s i n
t he s e ct io ns b e l ow :
1. De g re e of i nf or m ed co ns e n t w i t h t he r i s k.
2. De g re e t o w hi c h t he b e ne f i t s of a r i s k y a ct iv i ty w e ig h up a g a in st t he
d isa d va nta g e s a n d r is k s.
3. T he a va il a b i l it y of a l t e rna t i ve s w i t h a low er r is k.
4. De g re e t o w hi c h r is k s a nd a d va nt a g e s a r e j u st l y di st r i b ut e d .

148
I t h a s b e en es t im a t e d t h a t p e o p l e a r e w il li n g t o ac c e p t vo l u n t a r y r i s ks t h a t a r e u p t o
1 0 0 0 l a r g er t h a n i n vo lu n t a r y r is ks . S e e , e . g . , S t a r r ( 1 9 9 0 ) .
149
S e e , e . g . , L a v e ( 1 9 8 4 ) , S h r a d er - F r ec h e t t e ( 1 9 9 1 ) , H a r r i s et a l . ( 2 0 0 5 ) , a n d H a n s s o n
(2003).

121
8 . 5 .1 Inform ed co nse nt

Ri s ks a r e m ore a c c e p t a b le if t hos e w ho r u n the r i s k co n se nt to t he r i s k i n q ue s t i on.

So me po si t t ha t ri s ks a r e on l y a c ce pt a b l e if t h os e r u nni ng t h e r i s k ha ve a g re e d t o
t he r i s k a ft e r ha vi ng r e ce iv e d c omp le t e i nf or ma t i on co nc e r ni n g t he r i sk. T h is
p r i n ci p le is know n a s i nf or me d co n se nt . T he p r i n ci ple of inf or m e d c on se nt
or i g i na l l y s te m s f r om m ed i ca l p ra ct i ce ; i t i s cl os el y r e l a t e d t o id e a s fr om n or m a ti ve
e t hi c s ( se e b ox ) .

In f o r med c o ns en t a nd n or ma ti v e e th i cs

T he p r in c ip le of i nf or me d c on se nt c a n e a s il y be d e f e nd e d us i ng a n um b e r of id e a s
f r om nor ma t i ve e t hi c s, a s d i s c u ss e d in ch ap t e r 3. It i s a g ood ma t c h f or M i l l s
f r e ed om p r i n ci p le , w h i c h st a t e s e ve r yo ne i s f r ee t o le a d hi s o r he r ow n l if e a s l ong
a s i t d oe s no ha r m t o ot he r s . I nf or m e d co n s e nt i s a i me d a t cr e a t i n g co nd i ti ons
t hr o ug h w h i ch p e op le ca n a ct a c c or d i ng t o t he f re e d om p r i nc ip le . Thi s p r i n ci p le
p o sit s t ha t r i s ks a r e o nl y a c ce p t a b l e if p eo p l e ha v e c ho se n f o r t he m f r ee l y.

B es id e s t he a b o ve , i nf or me d c ons e nt c l os e l y t ie s i n w it h Ka nt s s ec on d f orm ul a ti on
of t he ca t e g or i c a l i mp e r a ti ve : Ac t i n s u c h a w a y t ha t y ou t r ea t h u ma ni t y, w he t he r
in y o ur ow n p e r s on o r in t he p e r s o n of a ny o t he r, alw a y s a t t he s a m e ti me a s a n
e nd a nd ne ve r sim pl y a s a me a ns . As we s a w i n c ha pt e r 3 , t h i s m e a ns t ha t w e
mu st r e s p e ct t h e m or a l a ut o n om y of ot he r s t o r e a c h t he i r own ch oi ce . I n ot he r
w or d s, i nf or m e d c ons e nt is a i m e d at cr e a t i ng t h e co nd i t i ons un d er w hi c h pe op l e
ca n ma ke a n a ut ono m ou s c ho i ce . P e op le m us t d e ci de f o r t he mse l v es w he t h er a r i s k
is a c ce pt a b le or not .

T he r e a r e d if f e r e nt id e a s a b out how t h e p r i n ci p l e of i nf or m e d c o ns e nt s h ou ld b e
a p pl ie d i n t e c hn ol og y. O ne i d e a is t o a l l ow t hi s t o oc c u r t hr o ug h t he e c ono mi c
ma r ke t . I n s u ch a s ce nar io, i t i s a s su me d p e op l e w il l d e c i d e f or t he m se lv e s w hi c h
r is k s t he y w i sh t o ta ke c o nc e r ni ng t he p u r c ha s e of ce r t ai n r i s k y o r d a ng e r o us
p r od uc t s. T he c h oi ce o f ma n y i nd i v id ua l s r e s ul t s, t hr o ug h a ki nd of i nv i s ib l e ha nd ,
in a n op t i m al ri s k l e v e l. H ow e ve r , i t is d o ub t f ul whe t he r m ar ke t t ra nsa ct io n s l e a d
t o inf or m e d c o nse nt i n p r a ct ic e . F ir st , co ns u me rs a re of t en i n suf f i c i e nt l y or
in c omp l et e ly a w a r e of t he r i s ks of te ch n ica l pr o d uc t s . So w e ca nn o t s p ea k of t r ue
co n se nt w i t h t he r is ks in v ol ve d . Pe o p le , f or e xa mp le , b u y ce ll p hon e s w it ho ut b e in g
a w a re of t he p os si b l e he a l t h r i s ks. I n s uc h a ca s e w e ca n not sa y t hat p e opl e ha ve
co n se nte d t o t h ose he a l t h r is k s. Se c o nd , t e c hni c al pr od uc t s of t e n i nt r od uc e r i s ks
t ha t a f f e c t ot he r pe op l e t ha n t he b uy e r s or s e ll e rs of t he p r o du ct s i n q ue s t i on
w it ho ut t hei r c on se nt . O ne e x a mp le is pa i nt w it h org a n ic s ol ve nt s t ha t c o nt r i b ut e
t o e n vi ro nm e n ta l pr ob l e ms s uch a s s m o g. O n t op of t hi s, t he e c o nom ic m a r k e t d oe s
no t b e ha v e a s i d ea l as ma ny e c on omi s t s w ou ld ha ve u s b e l i e ve. T h e c hoi c e of
co n s ume r s is of t e n l i m i t ed b e ca us e of t he ex i st e nc e of mo n op ol i e s, f or e xa mp le . I n
a n um be r of c a se s, f or e xa mp l e , sa f e r t e c hn ol og i e s si mp l y d o no t re a c h t he m a r ke t
e ve n i f t he y a r e t e c hn i ca l l y f e a s ib le .

Th e F o r d Pi n to a n d i nf o r m ed c o n s e n t

I n C hap t e r 3 t he F or d Pi nt o c a se w a s d is c us s e d. We sa w t ha t F or d d e c id e d not t o
a lt e r t he d e s ig n of t he Pi nt o, b e ca us e t he be ne f it s t o s oc ie t y f r om su c h a n
a lt e r a ti o n s up p os e dl y di d n ot we i g h a g a i nst the c os t s t o s o cie t y.

Wha t i s st r i ki ng a b ou t t he w a y i n w hi c h F o r d d e a lt w it h t hi s p r o b le m, i s t ha t t he
co mp a n y be l ie ve d t ha t it ha d t o m a k e t he c h oi ce w het he r r e d uci ng t h e r i s k
w e ig he d up a g a i n st t h e e x t r a c os t s. T he r e i s , ho we ve r , a not he r w a y t o d e a l w i t h
t hi s p r ob l e m : l e a ve t h e c hoi ce to t he c ons u me r . F o rd c o uld ha v e g i ve n co ns um e r s
t he c hoi c e t o h a v e a n im pr o ve d t a n k in st a ll e d a t lim it e d c os t s , or t o s e t tl e f or t he

122
or i g i na l d e s i g n. I n t hi s w a y t he c o ns ume r c o ul d ma ke his / her ow n c ho ic e a nd t he
e xt r a r is k wo ul d ha ve b e e n vo l un t a r y.

I nf or m e d c o ns e nt c a n al s o b e a p p l ie d t o te c h no lo g y b y a s ki ng e ve ry b o d y w ho i s
p ote nt ia l l y s uf f er i ng f r om a r i s k f or h is or he r co ns e nt . Un le ss e v er yb od y a g r e e s to
t he r i s k b e t a k in g , t he r i sk i s c on si d e re d u na c c e pta b le . A m a j or d i s a d va nta g e of
t hi s a p p r oa c h is t h a t i t gi ve s a lm ost unl im it e d ve t o p ow e r t o in d i vi dua ls a n d w il l i n
ma n y ca se s l e ad t o a s it ua t i on i n w h i ch no r i s k i s a c ce p t e d a t a ll , m a k in g
e ve nt ua ll y e v e r yb od y w or se of f . O ne c oul d t r y t o a vo id t h is s i t ua t i on f r om
oc c ur ri ng b y in t r od u ci ng t he p os s ib i l it y of of f e r i ng c om p e n sa t io n f or ce r t a i n ri s ks
or b y i nt r o du c i ng t he p o ssi bi li t y of t ra d in g r i s ks a g a in st e a ch o t h e r.

8 . 5 .2 Do t he ad va ntag es ou twei gh t he ris ks ?

A n i m p or t a nt r e a s o n w h y r is k s c a n b e e t h ic a l ly a c ce p t a bl e is t ha t r i s k y a c t i vit ie s
ca n ha ve a d va nt a g e s. M or e g en e r a ll y w e co ul d a r g ue t ha t r i s k y a ct iv it i e s a nd t h us
t he r i s ks t ha t a r e l i n ke d t o t he s e a c t i vit ie s a r e a c ce p t a b le i f t he b e ne f it s of t he
a ct i v i t ie s o ut w e ig h th e c ost s. T hes e i d ea s ar e i n a g re e me nt w i t h c on se q u en t ia l is m
of w hi c h ut il i t a ri a ni sm i s a sp e c if ic t yp e ( s e e c hap t e r 3 ) .

I ns t r um e n t s ha v e b e e n d e ve l op e d b a se d on su c h ut i li ta r i a n a r g u m e nt s t o d e t e rm i ne
t he m os t de si r a b l e l ev e l of r is k f or a t e c hno l og y. O ne e xa mp l e of t hi s i s r i s k -c os t -
b e ne f i t a na l ys i s. 150 Thi s i s a va r ia nt of t h e r e g ul a r c os t -b e ne f it a na l ys i s (s e e
c ha p te r 6 ). I n r i s k -c os t -b e ne f i t a na ly s i s, t he s o cia l co s t s f or r i sk r e du ct i on a r e
w e ig he d a g a i nst t he s oc i al b e ne f i t s of f e r e d b y ri s k r e d u ct i o n. Th e opt i ma l r i s k l e v el
of a c e rt a i n t e ch nol og y or p r od u ct is w he r e t he ne t so ci a l b e ne f it , i. e . t he s o cia l
b e ne f i t s m in u s t he s o c i a l c ost s, i s a s hi g h a s p o ss i b le . T he b as i c e t hi ca l i de a l
b e hi nd t h is i s t ha t w e sh oul d s t r i ve f o r t he g r e a t e st ha p p i ne ss f or t he g re a t e s t
n um b er of pe o p le ( B e n tha m ) . S uc h r is k - co st - b e ne f it a na l yse s a r e of t e n ca r ri ed o ut
b y e ng i ne e r s.

T he r e a r e t w o i mp or t a nt ob je ct io n s t o ri sk c ost b e ne f it a na l y si s . F i r st , i t i s n ot
a lw a ys p o s si b l e t o e x p re s s a l l t he re le va nt c ost s, b e ne f it s a nd ri s k i n m o ne y i n a
co mp a r a bl e f a s h i on. P e op le , e s p e ci a l l y, t e nd t o ha ve r e se r va t i on s a b o ut e x p r e s s in g
t he v a l ue of hum a n li f e i n m o ne t a r y te r m s ( a s ha p p e ne d i n t he Fo r d P i nt o ca se ) .
Se co nd , li t tl e at t e nt i o n i s p a i d t o inf or me d c on se nt a nd t o t h e j ust di st r ib ut i on of
co st s a nd be ne f it s, a lt ho ug h t he se a r e imp or t a nt e t hi c a l co ns id e ra t io ns t o o. T he
se co nd ob j e c t i on ca n i n pa r t be m et b y t a k i n g ce r t a i n m or a l p r i n ci p l e s i nt o a c c o unt
in r i s k c os t -b e ne f i t a n a ly si s. 151 A r i s k i s o nl y a c ce p t e d, f o r e xa m pl e , i f no o ne
suf f e rs a f t e r c om p e n sa t i o n f o r t h os e w ho mig ht o r if it p r o ve s t ha t t ho se w ho
w e re w or s t of f a r e n o w be t t e r of f . 152

8 . 5 .3 T he ava ila bility of alt er nat ives

T he a c ce p t a b i li t y of t he r i s ks of a t e c h nol og y a ls o d e p e nd s o n t he a va i l ab i lit y of
a lt e r na t i ve s wi t h l ow e r ri sk s. T hi s ca n be s ee n a s f oll ow s. S u pp ose t ha t t w o
t e c h no l og ie s , s a y A a n d B , in t r od u ce t he sa m e r i s ks . N ow a l s o s upp ose t ha t f or
t e c h no l og y A a n a l t e r na t i ve i s a va i la b le w it h low e r r is k a n d no ma j or ot he r
d isa d va nta g e s, w hi le f or t e ch n ol og y B su c h a n a l te r na t i ve i s a b se nt . I n t hi s ca s e ,
w e ma y w el l co n cl ud e tha t t he r i sk s of t e c h n ol og y A a re una c c e pt a b le (b e ca us e a n
a lt e r na t i ve w it h l ow e r r is k s i s a va i la b le ) w hil e t he ri s k s of t e c hno lo g y B a r e
a c ce p t a bl e ( si nc e n o a lt e r na t iv e i s a va i la b le a nd t he t e c h n ol og y i s in ot he r r e s pe ct s
a c ce p t a bl e ).

150
F i s c h o f f et a l . ( 1 9 8 1 ) , L a v e ( 1 9 8 4 ) , a n d S h r a d er - Fr ec h e t t e ( 1 9 8 5 , 1 9 9 1 ) .
151
F o r e x a m p l es , w e r ef e r t o K n e es e e t a l . ( 1 9 8 3 ) , a n d S h r a d er - F r ec h et t e ( 1 9 8 5 ) .
152
T h e F i r s t p r i n c ip l e i s k n o w n a s t h e P a r et o P r in c ipl e ( c f . Z a n d v o o r t , 2 0 0 0 ) ; t h e s ec o n d
o n e a s t h e D if f er e n c e P r in c ip l e ( R a w ls , 1 9 7 1 ) .

123
T he i mp or t a nc e of t he a va i la b il i t y of a l t e r na t iv e s i s a l s o r e f le ct e d i n so me
e n vi r onm e n t a l la w s, l i ke t he I nt e g r a te d P ol l ut i o n Pr e ve nt i on a nd C ont r ol d ir e c t i ve
of t he E ur o p e a n U ni o n a nd t he C l e a n A ir A c t and Cl ea n Wa t e r A ct i n t he U S, w hi ch
a ll us e t he not io n of b e st a va il a b l e t e c hn ol o gy o r a c om pa r a b le n ot i on. T he id e a i s
t ha t e n vir o nm e nt a l e m i ss i on s s ho ul d b e r e d uc ed t o the d e gr e e t ha t is p os s ib le w it h
t he b e st a va il a b l e t e c h nol og y. T hi s a p pr o a c h doe s no t p r e sc r ib e a s p ec if i c
t e c h no l og y b ut use s t h e be st a va il a bl e t e ch n ol og i ca l a l t e r nat i v e a s y ar d st i ck .

Be s t a va i l abl e te c h n o l o g y

T he E u ro p e a n U ni o n d e fi ne s be s t a va i l a b l e t e c h no lo gy a s fo l l ows :

"b e st a va i la b le t e ch ni que s " m e a ns th e m os t e f f e c t i ve a nd a d va n ce d s t a g e i n t he

d e v e l opm e nt of a ct i vi t ie s an d t he i r m et h od s of o p e ra t i on w hi c h in d i ca t e t he
p r a c ti ca l s u it a b il i t y of p a r t i c ula r t e c h ni q ue s f or p r ovi d i ng i n p r i n cip l e t he b a s i s f or
e mi s si o n l i m it va l ue s d e si g n e d t o p re ve nt a n d , w he re th a t is n ot pr a ct i c a b le ,
g e ne r a l l y t o r e d u ce e mi s si o ns a n d t he im p a ct o n t he e nvi r o nme nt as a w ho le :
( a ) "te c h niq ue s " sha ll in cl u d e bot h t he t e c hn ol og y us e d a n d t he w a y in w hi c h t he
in st a l l a t i o n i s d e s ig ne d , b uil t , ma i nt a i ne d , op e r a te d a nd d e c om mi s si one d ;
( b) "a va i la b l e t e c hni q u e s " m e a n s t h os e d e v e l op e d on a s ca l e w hi c h a ll ow s
im pl e me nta t io n i n t he r e le va nt i nd us t r ia l se c t or , und e r e c on om i c al l y a n d
t e c h ni ca l l y vi a bl e c o nd it i on s, t a ki n g i nt o c on si d e ra t io n t h e co st s a n d a d va nta g e s,
w het he r or n ot t h e te c h niq ue s a re u se d or p r od u ce d i ns id e t he M e m b er S t at e i n
q ue s t i o n, a s l ong a s t he y a r e re a s o na b l y a c ce ssi b le t o t he op e r a t or ;
( c) " b e s t " me a n s mo st e f f e c t i ve in a c hie vi n g a hig h g e ne r a l le ve l o f p r ot e ct i o n of
t he e nv ir o nme nt a s a w h ol e .

( a rt i c l e 2 . 12 D ir e ct iv e 2 0 08 / 1 /E C of t he E ur o p e a n P a r lia m e nt a nd o f t he C oun c il of
1 5 Ja n ua r y 2 00 8 c onc e rn i ng i nt eg r a t e d p ol l ut i o n pr e ve nt i o n a n d c on t r ol (C odi f ie d
ve r si o n); a c ce ss e d Ja n ua r y , 1 4 2 00 9 )

8 . 5 .4 A re ris ks a nd b e nefits jus tl y di str ib ute d?

A n i m p or t a nt e t h i ca l c on si de r a t i on i n a c ce pt i ng r i s ks i s t he d e g re e t o w h i c h r i s ks
a nd b e ne f i t s of r i s ky a ct i v it i e s a r e j us t l y d i s t r ib ut e d. I t i s, f or e xa m pl e , n ot j us t if
ce r t a i n gr oup s of p e op l e a l wa ys ha ve t o c ar r y t he l oa d of c e r t a i n a ct i v i ti e s, w hi le
ot he r g r o up s r e a p t he b e n ef i t s . Som e p e op l e be l ie ve tha t e ve r y o ne s houl d b e
t r ea t e d e qu a ll y wi t h r e ga r d s t o ri sk s. T hi s a r g u me nt ca n b e su p p or t e d b y Ka nt s
f ir st ca t e g or i c al imp e r a ti ve , w hi c h s ta t e s t ha t y o u s ho ul d a ct o nl y a c co r di ng t o t he
ma xi m w he r e b y y o u ca n a t t he sa m e t ime w il l t hat i t s ho u ld b e c om e a u ni ve r sa l
la w ( se e c ha p t e r 3 ) . T hi s i mp li e s a n e q ual it y p r i nci p le .

E qua l t r e a t m e nt co n ce r ni ng r is k s ca n b e a c hi e ve d b y se t t i ng st a nd a r ds . St a nd a r d s
t r ea t e v e r yb od y e q ua l l y, w hi c h d oe s n ot me a n t ha t e ve r y o ne ru n s t he s a m e r i s k. I t
me a n s t ha t t he ma xim um p e r mi s s ib l e r is k i s e q ua l f or e v e r yb od y i n p r in ci p l e.

T ho u g h s t a n d a r d iz a t i on ca n b e d e f e nd e d b y a p p e a l i ng to t he e t h i c a l p r i n ci p l e of
e q ui t y, t he r e a r e e t h i c a l o b j e c ti o ns t o b e ra i se d a s w e l l . A f ir s t p o ssi bl e o b je ct i o n
is t ha t l i tt l e a c c ou nt is g i ve n of t he p r o s a nd c ons of r i sk y a c t i v i t ie s. T hi s
ut i li t a r ia n ob j e c t i o n i s cla r if i e d b y me a n s of F i gu r e 8. 1 . 153

Sa y t ha t t e c hno lo g y 1 i s c ha ra c t e r i z ed b y a c ur ve t hr ou g h p oi nt s A a nd B i n f i g ure
8 . 1 . T o a ll ow t e c h nolo g y 1 t o m e e t t he s ta n d a rd s, co ns i de r a b l e c o st s a re i nvo lv e d
( po i nt A ) . T he se h ig h co st s onl y r e d u ce t he r is k s l ig ht ly com p a r ed t o po i nt B . S ome

153
D er b y & K e e n e y ( 1 9 9 0 ) .

124
ut i li t a r ia n s w il l t her e f o re f i nd p oi nt B mo re d e si ra b l e t ha n me e t in g the st a n da r d
a g a i nst hi g h c o st s i n p oi nt A.

F ig u re 8 . 1 : C ost s f or r is k r e d u ct i o n f o r d if f e r e nt te c hn ol og ie s. T he p oi nt s A
a nd B r ep r e se nt t e c h n ol og y 1 . P oi nt s X a nd Y r e p r e se nt t e ch n ol og y 2 .

Wha t i s a ls o p o ss i bl e i s t ha t s ta n d a rd iz a t i on le a d s t o hi g he r ri s ks t ha n t he s it ua t i o n
in w hi c h co st s co n sid e r a ti on s a r e t ak e n i nt o ac co unt . Ta ke t e c hnol og y 2 , f or
e xa m p le , w hi c h is cha r a ct e r i z e d b y a c ur v e t hr oug h p o in t s X an d Y i n F i gu r e b. 1 .
T ec hno lo g y 2 m e et s t h e st a n da r d (p oi nt Y ) , but a mu c h s a f er p ro d u ct ca n b e
d e s ig ne d a g a in st li tt l e a d d it i o na l c os t ( po in t X). S ome ut i l it a r ia ns w ill fi nd p oi nt X
a m uc h mo r e d e si ra b le r e s u lt t ha n p oi nt Y .

A se c o nd p o ss ib l e e t h i ca l o b j e c t i on a ga i ns t s ta nd a rd iz a t i o n i s t ha t i t is
p a t er na lis ti c. P e op le d o no t g e t t o c ho os e w hi c h r is k s t he y f i nd a c ce p ta b l e t he
r e g ula t or , of t e n be i ng t he g ov e r nme nt , doe s t ha t for t he m i n st e ad . T hi s ob j e c ti o n
is e s p e c ia l l y a p p li ca bl e t o p e rs ona l r i s ks, i. e . r is k s t ha t onl y a f f e c t t he b u ye r, u se r ,
sa l e s pe r s o n or p r od u c e r . M a r k e t r e g ul a ti on f or s uc h p r od u ct s ca n b e a n op t i on
p r ov i de d ce r t ai n c on d i t io n s a r e m e t, s uc h a s t h e a v ai la b ili t y of f u ll i nfor ma t i o n
a b out r i s ks a n d t he f r e ed o m of c hoi ce b e t w e e n d i ff e r e nt p r od u ct s , b e ca u se th i s
le a d s t o inf or m e d c o ns e nt. F or c oll e c t i v e r i s k s, i. e . r i s ks t ha t a ff e ct l ar g e r g r o up s
li ke f l o od s f o r e xam pl e , ma r k et r e g ul at i on d o es no t w or k. T he r e ca n b e n o
inf or m e d c on se nt t hr o ug h ma r ke t r e g ul a t i on b e ca use t he r i sk s af f e ct ot he r p eo p le
b e s id e s t he u se r a nd p r od u ce r . The se k i nd s o f s it ua t i on s d e ma nd a c ol le ct i ve
d e c is i o n a b out w ha t a c c ep t a b le r i s ks a r e . Su c h a c ol le ct i ve d e ci si o n ca n b ut ne e d
no t - r e s ult i n st a nd a r di za t io n. 154

O ne c a n a l s o w o n d er w het he r a n e q ua l t r e a tm e nt of pe o p le c o nc e rn i ng r is k
st a nd ar d s le a d s t o a j us t d i vi s io n of r i s ks. T hi s is d o u bt f u l b e ca us e t he d eg r e e to
w hi c h p e op l e b e ne f i t f r om a r i s k y a c t i vi t y d i f f e r s. A n e q ual di st r ib ut i on of ri s k s i s,
f or e xa m p l e, n ot j us t if ie d if onl y a l i mi t e d g r ou p ha s t he b e ne f i t s o f a s p e cif i c ri s ky
a ct i v i t y . J ust ic e a nd e q ua l it y a r e r e l a t e d , b u t a re n ot t he sa me .

154
I t c a n a ls o b e b a s e d o n i n f o r m ed c o n s e n t o f a l l i n vo l v e d b u t i s t h en l i k e l y t o s u s t a in t h e
s t a t u s q u o , w h ic h is o f t e n c o n c er n ed m o r a ll y p r o b l em a t ic .

125
8.6 R i sk c o mm u ni c a ti o n

A c co rd i ng t o s o me pr o f e ss io na l cod e s, e ng i ne e r s m us t i nf orm t he p ub l i c a b ou t r is k s
a nd h a za r d s (s ee C ha p t e r 2 ) . In s ome ca se s s p e c ia li st s a re use d , w ho a r e c al l e d
r is k c om mu ni ca t or s. Ri sk com m uni ca t i o n r a is e s a n u mb e r of e t hi ca l q ues t io ns . 155 A
f ir st q ue s ti o n i s w he t h e r r is k c om m u ni ca t io n s ho ul d o nl y i nf orm or a ls o ( t r y t o)
p e rs ua d e . Ca n t he g o v er n me nt di sc o ura g e s mo ki ng , or s h ou ld it o nl y i nf or m a b o ut
t he r i s ks of sm o ki ng ? An ot he r q ue st i on i s w he t he r p e op l e s ho u ld a lw a ys b e
inf or m e d a b o ut r is ks e ve n i f i t i s no t a l wa ys i n t he i r b e s t i nte r e s t s or if i t i s l i ke l y
t ha t t he y w i ll i nt e r p re t t he i nf or ma t i on t he w ro ng w a y. A s a ri sk co mmu n ic a t o r ,
sh o ul d you i nf or m pe o p le of t he r is k of b ur g l a r y if p e op le ha ve t o l e a ve t hei r
ho me s a s q ui c kl y a s p os si b le be c a use of t he sa f e t y r i s k a s a r e su lt of a c om i ng
h ur r i ca n e ?

I n b ot h e xa m p l e s , t he co nt r a s t b e tw e e n d ut y e t hi cs a nd c o nse q u en t ia l i sm p l ay s a
r ol e i n t he b a c k g r ou nd . F r om t he p e rs pe ct i ve of d u ty e t hi c s , t he c o ns e q ue n ce s of
r is k c om mu ni ca t i on a r e not r e le va nt f o r t he q ue st i on w ha t r e sp o ns ib le r i s k
co mm uni c a ti on is . Ris k c omm u ni ca t io n m ust f ir st be ho ne s t ( d o no t lie a n d a l wa ys
t e ll t he c omp le t e tr ut h) . Ne xt t o t ha t , i t m u s t re sp e ct t he f r e e d om of ch oi ce a nd
a ut on om y of pe op l e . H e r e, t he pr i nci p le of i nf or me d co ns e nt is of i m p or t a nc e t o o.
I t i mp l i e s t ha t y o u m us t n ot t r y t o co nvi nc e p e o pl e b ut o nl y i nf or m t h e m. F r om th e
p e rs pe ct i v e of co ns e q ue nt ia li sm, t he c ons i d er a t i o ns a nd c on c lu si ons w o u ld b e q uit e
d if f e r e nt i n so me ca se s . Ris k c om mu ni c a t i o n i s j u d ge d b y m e a ns of t h e g o od ne s s
of t he c o nse q ue nc e s. A tt e m p t s t o co nv i n ce p e o p le b y m e a ns of r i s k c om m u ni ca t io n
or w i t h ho ld i n g c e r t a i n inf orm a ti on ca n b e m o ra l l y ri g ht if i t r e su lt s i n g oo d
co n se q ue n ce s.

I n r i s k co mm u ni ca t io n e th ic a l q ue st i on s a b o ut t he am ou nt of i nf or m a t io n y ou g i ve
a nd h ow y ou p re s e nt a nd st r u ct ur e y our inf or ma t i on a l so ar is e . How d e t a i le d
sh o ul d t he i nf or m a ti on b e f or e xa mp le ? I f a r is k a sse s s me nt w a s ca r r ie d ou t ,
sh o ul d you j u st g i ve t he r e s u lt or s ho u ld y ou t a l k a b out t he u n ce r t a i nt y ma r g i n
t oo? Sh o ul d yo u e xp la i n how t he r i s k a ss e s s m e nt w a s ca r ri e d ou t , so t ha t pe o p le
ca n c he ck how r e l ia b le it is ?

F r om ps y c hol o gi ca l r e s e a rc h, w e k now t ha t t he w a y i n w h i ch r i s ks a r e p r e se nt ed
ha s a gr e a t i nf l ue nce on t he w a y a n a ud i e nc e i nt e r pr e t s t he s e r i s k s. 156 I t is e ve n
p o ssi b l e f o r p e o p le t o t a ke o p p os i t e d e ci s i on s o n t he ba s i s of t he s a me i nf or ma t i on
st r u ct ur e d d i f fe r e nt l y. The ri s k me a s ur e us e d ca n a ls o i nf l ue nc e ho w p e op le
int e r p r e t ri s ks. E t hi ca l j ud gm e nt s a r e of t e n hi dd e n i n t he u se of a c er t a i n ri s k
me a s ur e . I n t he r i s k m e a s ure n um b e r of d e a th s p e r t i me uni t , t he a ss um pt i o n
ma d e is t ha t ea c h d e a th ha s t he s a m e v a l ue . I f t he r i s k i s e x p re ss e d a s a d e cr ea s e
in li f e e xp e ct a n c y, t he im p l i ci t a s s um p ti o n i s t he d e a t h of a y oun g p e r s o n i s w o rs e
t ha n t he d e a t h of a n ol d p e r so n. T hi s i s t he ca s e b e ca u se t he d e a t h of a y o u ng
p e rs on w e ig h s m or e h e a v il y i n t hi s r i s k me a su r e t ha n t he de a t h of a n o ld pe r so n.

R i s k p er c e p ti o n 157

155
M o r g a n & L a v e ( 1 9 9 0 ) , V a l en t i & W il k i n s ( 1 9 9 5 ) , J u n g er m a n n ( 1 9 9 6 ) , a n d J o h n s o n
(1999).
156
S e e , e . g . , M a r t i n & S c h in z in g er ( 1 9 9 6 , p p . 1 3 4 - 1 3 6 ) .
157
S l o v ic et a l . ( 1 9 9 0 ) , M a r t in & S c h i n z i n g er ( 1 9 9 6 , p p . 1 3 4 - 1 3 7 ) . S o m e o f t h es e f a c t o r s ,
es p ec i a ll y t h e f i r s t t h r ee , a r e c l o s e l y r el a t e d t o t h e a c c e p t a b i l it y o f r is ks . T h i s im p l i es t h a t
p eo p l e m ig h t w e ll im p l i c i t ly u s e a d ef in i t io n o f r i s k t h a t m a in t a i n s a c er t a i n r e la t i o n s h i p
b et w e e n t h e m a g n it u d e o f a r is k a n d i t s a c c e p t a b i l it y

126
F r om ps y c hol o gi ca l r e s e a rc h o n ri sk p e r ce p t i on am ong t he p u bl i c, i t a p p e ar s a
la r g e nu mb e r of f a ct o r s p l a ys a r ole o n how p eo p le p e rc e i ve ri sk s:
T he ( p e r c e i ve d ) vol un t a r i ne s s of t he r i s k.
T he e x p e ct e d b e nef i t s of t he a ct i vit y or t e c h no lo g y t ha t c a us e s t he r i sk a nd t he
d is t r i b u t i on of t hes e e f f e ct s.
T he ma x i ma l oc c ur ri ng ne g at i ve e f f e ct s a nd t he p os s ib le c on t ro ll a bi li t y of t he s e
e f f e ct s ( d e g re e of so c i a l d i s r up t i o n).
T he si t ua t i on t he r i sk i s r e la t e d t o. Ma n y p e o p le est im a t e r is k s r e l a te d t o wor k
a s sm a l le r c om p a re d t o ot he r s i t ua t i on s.
T he p r ox i mi t y a nd v i s i b i l it y of r i s ks. C l ose r i sk s a r e us ua l l y e x p e r i en ce d a s
b e i ng g r e a te r t ha n r is ks fu r t he r a w a y, o r t hose t ha t a r e le ss v i s ib l e o r
im a g i na b le .
T he w a y r i s k s a r e p r e s e nt e d a nd t he r i s k me a su r e tha t i s u se d .

Gi ve n t he i mp ort a n ce of t he wa y i n w h i ch r is ks ar e p re s e nt e d , t he que st i on is w ha t
t yp e of p r es e nt a t i o n i s a c ce p t a b l e (i n a c o n c r et e ca se ) . It i s im p or ta nt t o r e a li z e
t ha t i t u s ua l l y i s i mp os si b le t o p r e s e n t r i s k s ne utr a ll y. I t ma ke s a d if f e re n ce
w het he r y ou e xp r e s s t he ma x i m um d os a g e o f di ox i n p e r da y i n p i c og r a ms,
mi ll i g ra m s or ki l o gr a m s. T he l a tt e r p r e se nt a t i o n ma yb e un in t e nti ona l l y gi ve s
t he i m p r e s s io n t ha t t he r i s k i s f a r s ma l l e r t h a n i n t he f i r s t ca se . N e a rl y a l w a ys , a
ce r t a i n me t ho d of p r e s e nt i ng w il l i nt e nt i ona ll y or u ni nt e nt i o nal l y m a ke a ce r ta i n
int e r p r e t a t i on mo r e pr ob a b l e t h a n a not he r . Tha t is not t o s a y t ha t y o u sh o ul d
co n sc i ou sl y st r i ve f or a p ar t i cu l ar i nt e r pr e t a t i on, b ut yo u s ho ul d w on de r how yo u
ca n p re se nt da t a in t he m os t h o ne s t a nd b e s t w a y.

8.7 D eal i n g wi th un c e r tai n ty a n d i gn o ra nc e

Up t o no w , w e ha ve pr e s up p os ed t h at i t i s p os sib le t o p r e d i ct a nd e xp r e s s r is k s
r e la t e d t o t he ha za r d s of t e c h nol og i e s to a c e r ta i n e xt e n t. B ut w ha t ha p p e ns i f t ha t
is not t he ca s e ? C ons i d e r t h e s u pp ose d hea l th is s ues s ur r o u nd i ng ce l l p h o ne s a nd
t he p os si b le ne g a t i ve he al t h a nd e nv ir o nme nt e f f e c ts of gr ow i ng a nd c o ns um i ng
g e ne t i c a l l y m a n ip ula t e d c r op s. I n s om e of t h es e ca se s, r i sk s a r e ca lc ul a t e d , b ut t he
q ue s t i o n i s w he t he r a l l po s s ib le ha za r d s ha ve b ee n a ss e s s e d i n a r e lia b le w a y.

A c r uc i a l q ue st i on t h us a r is e s: I s i t a c c e pt a b le t o i ntr od uce a ne w t e ch n ol og y w i t h
p ote nt ia l h a za r d s i nt o s oc ie t y w he n t h e r e is sc ie nt i f ic c o nt r o ve r s y or u n ce r t a i nt y
a b out t he s e ha za r d s ? Thi s i s a n e t hi ca l q ue s ti on b e ca use , on t he o ne ha nd , it is
d e s ir a b le t o p r ote ct s o ci e ty f r om ha za r d s , w h il e , o n t he ot her ha nd , o utr ig ht
f orb i dd i ng a te c h no lo g y m a y al so b e un d e s ir a bl e b e ca use it a l s o i nt r o du ce s c e r t a i n
ha za r d s or a t l e a st d i mi nis he s c e rt a i n e x p e c te d b e ne f it s . M u c h of t he c u rr e nt
e t hi ca l d e b a t e on t hi s que st io n so me how f o c us o n t h e p re ca ut i o nar y p r i n ci p le .

8 . 7 .1 T he pre ca ut ionar y prin ci ple

T he p r e c a ut io na r y p r i n ci p l e w a s i ni t i a l l y p r o p ose d t o d e a l w it h e nvi ro nme nt a l

p r ob le m s (s ee C ha p t e r 1 0 ) . T he pr i nc i pl e ha s f a r w id e r a p pl ica t i on s h owe ve r . It i s
ma i nl y s uit a bl e for s i t ua t i o ns i n w hi c h we ca n not fu ll y e x p r e ss h a z a r ds a s ri s ks
b e ca us e we ha ve i ns uf f i ci e n t sc ie nt if ic know l e d g e. I n ge ne r al t he p re c a ut io na r y
p r i n ci p le st a t e s t ha t p re c a ut io na r y m e a s ur e s m ust b e t a ke n if t he r e a r e i nd i ca t i ons
of a c e rt a i n ha za r d s, d e sp it e t he f a ct t ha t t h e ha za r d s ca n not b e c omp le t e l y
sc ie nt i f ica ll y pr o ve n.

Sa nd i n ha s a rg ue d t ha t t he p re c a ut i o na r y p r i n cip le a s a p r es cr ip t i v e pr i nc i pl e
co nt a i ns f our d i me ns io ns: 158

158
Sandin (1999).

127
I f t he r e i s ( 1) a t hr e a t , w hi c h i s (2 ) un ce r t ai n, t he n (3 ) s om e ki nd of a ct i o n (4 ) i s
ma n d a to r y

T he f o ur d im en si o ns i n t h is f or mu la t i o n a re :

1. t he t hr e at d im e ns i o n
2. t he u n ce r ta i nt y d i m e n si o n
3. t he a c ti on d im e ns i o n
4. t he p r e s cr ip t io n di m e n sio n, e xp r e sse d he r e i n t he p hr a s e is ma nd a t or y .

N an o pa r ti cl es a n d th e p re ca uti on a ry pr i nc i pl e

We c k e r t a n d Mo or di s c us s t he a p p li ca t i on of t he p r eca ut i ona r y p r i n ci pl e to
na not e c h nol og y. 159 T he y p r op o se t he f o ll owi ng mor e p r e ci s e f or m ul a t i on of t he
p r i n ci p le :

I f a n a ct i o n A p os e s a cr e di bl e t hr e a t P of ca us i ng s o me se r i o us ha r m E , t he n a pp l y
a n a p p r op r ia t e r e m e d y R t o r e d u ce t he p os si b il i t y of E . 160

P c a u si ng ha r m E is h e re t he t hr e a t c om po ne nt ( 1 ), c re d ib l e r e f e r s t o t he
u nc e rt a in t y co mp one n t (2 ) , r e me d y R i s t he a ct i o n comp o ne nt (3 ) and a p p l y
r e f er s t o t he p r e s cr ip t i on c om po ne nt ( 4 ). We c ke r t a nd M oo r ar g ue t ha t t he i r
ve r si o n of t he pr e ca ut i ona r y p ri nc i p le a p p l ie d t o na nop a rt i cl e s w il l re q ui r e a t le a st
a c o nc e rt e d a t t e m p t a t es t ab l i s hi n g t he r i s ks t o h e al t h a n d t he e nv i r onm e n t a nd
p e r ha p s sl ow i ng t he d e ve lo p me nt of p r od uc t s unt il the t hr e a t s ha v e b e e n p r op e r l y
a ss e s s e d . 161 T he He a l t h Co u nc il of t he Ne t he rl a nd s c ome s t o a s i mi l a r co n cl us i on
in a p p l yi ng t he p re ca u t io na r y p r i nc ip le t o no n- bi ode g ra d a b l e na no p a rt i c le s: b ef or e
su c h p a rt i c le s a r e t a ke n in t o p r od u ct i o n a nd a r e b ro ug h t on t o t he ma r ke t o n a
la r g e s ca le , t hei r t ox i c ol ogi ca l p ro p e r t i e s s h oul d b e p r o p e r l y i n ve st i g a te d . 162

O ne te c hn ol og y t o w hi c h t he p r e c a ut io na ry p r i nc ip l e ha s b e e n a p p li e d i s
na not e c h nol og y, i n p a rt i c ul a r na n op a r t i c le s ( se e b ox). A pp li ca t io n of t he
p r e c a ut i o na r y p r i n ci p l e t o t hi s t e c h no lo g y s e e ms t o i m pl y t ha t t he p o t e nt ia l
ha za r d s of na no p a rt i c l e s s ho ul d f i r st b e p r op e r l y a ss es se d be f or e t he y a re
int r od uc e d on a la r g e s ca le i n s o ci e t y. A lt ho ug h t h is i s a se ns ib le st r a t e g y, o ne
co u ld ra i se t he q ue s t i o n w he t he r t he s t r i ct s e p a r a t i on t ha t t hi s s t ra t e g y p r o po se s
b e t we e n t oxi c it y t e st i n g a nd i nt r od u ct i o n i nt o s o ci e t y i s t e na b le . T he p o i nt i s t h at
in ma n y ca s e s r e d uc i n g com pl e xi t y a nd u nc e r t a i nt y is n ot p os s ib le w it hout t he
int r od uc t i on of t he ne w t e c hnol og y i nt o s o ci e t y. It i s oft e n o nl y after in t ro d uc t i on
int o so c ie t y t ha t t he h a za r d s of c e r t a i n t e c h no lo g ie s c a n b e pr op e r l y a s se ss e d a s
w e wi ll s e e b e lo w .

8 . 7 .2 E ngineer in g a s a so cieta l e xpe rim ent

Li ke s c ie n ce , e n g i ne e ri ng ha s a n ex p e r ime nt a l na t ure . In s ci e nce , h yp ot he se s a r e

d e d u ce d f ro m t he or i e s , w hi c h a r e t he n t e st e d i n e x p e r i me nt s. A h y p ot he si s ca n b e
co nf i r me d or f a ls i f ie d thr o ug h th e e xp e r i m e nt . A na l og o u s t o t h is , n e w l y d e si g ne d
p r od uc t s ca n be s ee n a s h yp ot he s e s f or p r op e r l y f u nc ti o ni ng p ro d u ct s. T he
h yp ot he s is t ha t t he y a r e p r o pe r ly f un ct io ni n g i s us ua l l y t e st e d t r o ug h si m ul a t i o ns
a nd e x p e r ime nt s in t he l ab or a t o r y, i n s ma l l - sca le f ie l d t e st s, o r i n cl i ni ca l t r ia ls ( i n
t he c a s e of me d ic i ne ). A lt hou g h s uc h si mu la t io ns, e xp er i m e nt s, t e s t s a nd tr i al s a r e

159
W ec k e r t & M o o r ( 2 0 0 7 ) .
160
Ibid, p. 144
161
Ibid, p. 144
162
H ea lt h C o u n c il o f t h e N et h er la n d s ( 2 0 0 6 , p . 1 5 )

128
ve r y im p o rt a nt i n e ng i ne e ri ng, t he y d o not a lw a y s pr o vid e c om p l e t e a n d re l ia b l e
k now l e d g e of t he f un c t i oni n g of t e c h nol o gi c a l p r od u ct s a n d t he ha za r d s a nd r is ks
in v ol ve d . F or a va r ie t y of r e a s o ns , it is of t e n n ot po ss ib le t o c om p l e te l y pr e d i ct t h e
p o ssi b l e ha za r d s of n e w t e c hn ol og ie s b e f or e t he y e n t e r s oc i e t y 163:
1 . F or c ar r yi ng out a r i s k a s se s s me nt , o ne f i r s t ne e d s t o id e nt i f y p o ss i bl e ha z ar d s.
I t i s, how e v e r , we l l p os si b l e t ha t c e rt a i n h a z a rd s a r e ov e r l oo ke d . I n la b ora t or y
e xp e ri m e nt s as we l l, c e r t ai n ha za r d s ma y not s ur f a ce , so t ha t t he y b e co me o nl y
a p pa r e n t a f t e r t he t e c hno lo g y ha s b e e n i nt r od uc e d i nt o s o cie t y.
2 . La b or a t or y a nd f i e l d t es t s a re not a l w a y s r e p re s e nt a t i ve of t he ci r c ums ta nc e s i n
w hi c h t he p r od u ct e ve nt ua l ly ha s t o f un ct io n . Yo u nee d t o k no w w ha t
ci rc um st a n ce s a r e r el e va nt in a ct ua l p ra ct i c e a n d w hi c h a r e ir r el e v a nt f or
p e rf o r mi n g a g ood te s t. ( An e xa mp le is t he ca s e of 2, 4 , 5 T d i s c u s se d i n C ha p te r
6 ). T hi s k no wl e d g e ma y o nl y b e c om e a v ai la b l e a f te r a pr o d uc t ha s b e e n
int r od uc e d in t o s o ci e t y.
3 . Ri s ks m a y b e d ue t o lo ng -t e rm c um ula t i ve e f f ec t s of s ub st a n ce s, s o me t im e s i n
int e r a c ti o n w it h ot he r su bs t a n ce s. E xa mp le s a r e t he p os sib l e e f f e c t s of DDT ,
d io xi n a n d r a d i oa ct i ve ra d ia t io n. Cu m ula t i v e or i nte ra ct i ve l ong -te r m e f f e ct ca n
ha r d l y b e st ud i e d i n t h e la b ora t o ry; s o t hat t he tes ti ng a c t ua ll y t a k e s p la ce
d ur i ng t he us e of t he p r od uc t i n s oc ie t y.
4 . Na t ur a l a n d s o ci o- t e chni ca l s y st e m s ma y b e c ha r a ct e ri z e d b y r e c u r s i ve a nd non -
li ne a r d y na m i c s. E ve n i f a r e c u r s iv e na t ur a l s ys te m is d e t er m i ni st i c, d ue t o s uc h
d y nam i cs f ut u re d e ve l op m e nt s a n d p o ss ib le ha za rd s m a y b e im po s s ib le t o
p r ed i c t. T h e on l y w a y t o f i nd ou t t he e ff e c t s m a y be t o a ct ua l l y i nt rod u ce a ne w
t e c h no l og y or s ub st a n ce i nt o s oc ie t y.

T he a b o ve i mp l ie s t ha t a t l e as t i n so me ca se s s o ci e ty ha s b e c ome t he l ab or a t or y
f or e n g i ne e r i ng e x p er i m e nt s. T hi s m ea ns t h a t i t i s ult im at e l y d u r i n g a ct ua l
im pl e me nta t io n of a t e c hn ol og y i n s oc i e t y t h a t it s f u nc ti oni ng a n d p o ssi bl e ha z ar d s
a nd r i s ks a re t e st e d .

U nl i k e t r a d i t i ona l s ci e nt i f i c e xp e r im e nt s, s oc ie t al e x pe r im e nt s a r e us ua l l y d if f i c ult
t o t e r m i na t e if s om e t h in g g oe s w r ong . Mo r e o ver , i n s o ci e ta l ex p e r i me n t s w it h ne w
t e c h no l og ie s , t he c o ns e qu e n ce s ca n be mu c h la r g e r a n d c a n ha ve a n im p a c t o n
t hi r d p a r ti e s. I f a n e le me n t a r y p a r t i c le i n a p ar t i c le a cc e le r a t or d oe s no t b e ha ve a s
e xp e ct ed , i t i s sim pl y a n i nt e r e st in g fa ct . I f a na n opa r t i cl e t ur ns out t o b e t ox i c,
a f t e r i t ha s b e e n i nt r o du ce d i nt o s oc ie t y, it i s a p o te nt ia l d i sa st e r ne xt t o a n
int e r e s t i ng t e c h ni ca l f a ct . Soc ie t a l e xp e r im e nt s i n t e ch n ol og y a r e ne a r l y a lw a ys
la r g e s ca le , ca n ha v e i r r e ve r s i b le n eg a t i ve c on se q ue n ce s, a nd u s u a ll y i n v ol ve
p e op l e a s e x p e r ime nt a l s ub j e c t s. I n ot he r w or d s, t he y a r e e x pe r im e nt s w i t h ma j or
so ci a l co n se q ue n ce s.

De sp i t e , o r m a y be b e c a us e of , t h e m e nt i one d cha r a ct e r is t i c s of s oc ie t a l
e ng i ne e r i ng ex p e r i me n t s, it i s s t il l har d l y r e c og ni z e d t ha t s o ci e t y ha s b e c ome t he
la b o r at or y f or ne w t e c h nol o gi e s . As t he Eu r o pe a n E xp e r t Gr o up on S cie n ce a nd
G ov e r na nc e w ri t e s :

[ W]e a r e i n a n u na v oi d a b l y e x p e r i me nt a l s t a t e . Y e t t his i s us ua ll y d e le t e d
f r om p ub li c vie w a nd p ub li c ne got ia t i o n. If c i t ize ns a r e r o uti ne l y be i ng
e nr ol l e d w i t h o ut ne g ot i a ti on a s e xp e ri me nt a l s ub je ct s , i n e xp e r i me nt s w hi c h
a r e no t ca l le d b y na m e, t he n s ome se ri ous e t hi ca l and s o ci al i ss ue s w ou ld
ha ve t o b e ad d r es se d . Ev e n if n o s im p le o r a c ce s si bl e s ol ut i o ns e xi st t o t h is
p r ob le m , i f our c o nc e r n is p ub l i c t r u st , su re l y a m i n ima l re q u ir e me nt i s t ha t
w e a c k now l e d g e t he p ub li c p re d i ca m e nt . 164

163
Krohn & Weyer (1994).
164
F e l t et a l . ( 2 0 0 7 , p . 6 8 ) .

129
A c r uc i a l q ue st i on t he n is und e r w ha t c on d it io ns i t i s a c ce p t a b l e t o ca r r y o ut
so ci e ta l ex p e r ime nt s w it h ne w t e ch nol og i e s. O ne im po r t a nt p r i nc ip l e t ha t ha s b ee n
p r op o se d t o j ud g e t hi s i s i nf o rm e d co n se nt .

8 . 7 .3 Inform ed co nse nt

Si n ce t he Se co nd Wor l d Wa r , i nf o r me d c on se nt ha s b e com e t he le a di ng p r in ci p le
f or e xp e r i me nt s i n vo l v in g hum a n su b je ct s. 165 B e f or e t ha t da t e , t he l e a d i ng mo r a l
p r i n ci p le w a s w he t he r t he e x pe r im e nt e r w o ul d be w i l li n g t o s ub je ct h im- o r he r se lf
t o t he e xp e r i me nt . 166 F or m e d i c a l e x p e ri me nt s i n vol v i ng huma n s ub j e c ts , i nf or me d
co n se nt i s u s ua l ly l e g a ll y r e q uir e d; f or ot he r e xp e ri m e n ts it mi g h t not b e l e ga l l y
r e q ui r e d b ut ca n st i ll be co n si d e r e d a n im p o r t an t m or a l ya r d s t i c k.

M a rt in a nd S c hi nz i ng e r ha ve p r op o se d to a p p l y t he pr i n ci p le of i nf or m ed c o ns e n t
a ls o t o so ci e t a l e x p e r i me n t s i n e ng i ne e r i ng. 167 S uc h an a p pl i ca t io n r a i se s a t le a st
t hr e e is su es . O ne i s s u e is w het he r i t ma ke s se nse t o a s k p e op le t o c o nse nt to
b e i ng s ub je ct t o un ce r tain ha za r d s o r e ve n t o ha za r d s ab o ut t h e e xpe r im e nt e r s a r e
ig no ran t . Wha t d oes c ons e nt in g t o a n e x pe r i m e nt w hi c h un k now n r is k a m ou nt t o ?
I t s e em s t hat i t w ou ld imp l y ha vi ng t o a c ce p t a ll r is ks t ha t e me r g e s f r om t h e
e xp e ri m e nt b e c a u se un kn ow n r i s ks po t e nti a l ly c o ve r a ny r is k. I t i s ha r d t o se e how
p e op l e c ould r a ti o na l l y a c ce p t s uc h e x p e r i me nt al co nd i ti ons . B ut i f the y d o not g i v e
t he i r i nfor me d c o ns e nt ( w hi c h s ee m s t he o nl y r a ti o na l t h i ng t o d o) , a n y so ci e t a l
e xp e ri m e nt i nv ol v i ng i gn or a n ce w o ul d b e u na c c e pt a b le .

T hi s b ri ng s u s t o t he s e c on d is s ue : i s t he p r i n ci p le not t o o r e st r i ct i ve ? A s s oo n a s
on e i nd i v i d ua l ob je ct s t o a c e rt a in s o ci e ta l e xp e r ime nt , it s ho ul d b e a ba nd o ne d
e ve n i f t hi s e x pe r i m e n t mi gh t b ri ng la r g e b e ne f it s t o t he r es t of s o ci e ty. T h is
se e m s unf a ir , a t l e a st i n s ome ca se s, f or e xa mp l e i f th e a ct ual ha z ar d f or t h e
p e rs on ob je ct in g t o t he e x p e r i me nt i s s m al l a nd t he so c ia l b e ne f it s a r e l a r g e . O f
co u rs e , s o ci e t a l e xp e r i m e nt s i n e ng i ne e r i ng c a n be ca r r ie d out o n a sm a lle r sca l e
t ha n t he w ho le of so c i e t y, bu t st il l inf or me d c on se nt ma y b e s om e t i me s t oo
r e st ri ct i ve a c ond i t i o n i f l a r g e p ot e nt ia l b e ne f i ts a r e i nv ol ve d . E ve n f or m ed i c a l
e xp e ri m e nt s , d o ub t s ha ve b e e n r a i se d w he t h e r t he pr in c i pl e of i nf o r me d c ons e n t
d oe s no t u nj u st l y ex c l ude e xp e ri me nt s f ro m w hi c h la r g e s e g m e nt s of s o ci e t y w oul d
p r of i t. 168

A t hir d is s ue i s how t o de a l w i t h p e op le w h o a r e i n d ir e c t l y in v ol ve d i n t he
e xp e ri m e nt b ut a r e not a b l e t o g i ve t h e ir i nf orm e d c on se nt. O ne s p e c if i c e xam pl e
a r e f ut ure g e ne r a t i o ns . F or e xa m p le , t he i nt r od u ct i on of nu c l ea r e ne r g y in s o cie t y
a mo u nt s t o a so c ie t a l e xp e r im e n t t ha t i n vo l v e s f ut ur e ge ne r at i ons b e ca u se nu cl e a r
w a st e t ha t r em a in s r a d ioa ct i v e ( w it h c ur r e nt t e ch nol og y) f or t hou s a nd s of ye a r s is
g e ne r a t e d; e ve n i f t hi s wa s t e i s st ore d o r d i s po se d a s g o od a s p os s ib l e , i t w i l l
int r od uc e u nc e r t a in a nd p os si b l y u n kn ow n ha z a rd s t o f ut ur e g e n e ra t io n s. S ome
mi g ht c o nc l ud e t ha t th e p r i nc ip l e of i nf or me d c o nse nt s h ow s t ha t t h e i ntr od uct i on
of nu c l e ar e ne r g y i s t h us una c c e p t a b le , a t l e as t a s lo ng a s i t g e ne r a t e s ha za rd s f or
f ut ur e ge ne r at i ons. T h is j ud ge m e nt ma y, ho we ve r , b e a b it t o o q u ic k a s ot he r
so ur ce s of e ne r g y, e s p e ci a l l y f os si l f uel s, a l s o g e ne r a t e ha za r d s f o r f ut ur e
g e ne r a t io ns d ue t o t he ir co n tr i b u t i on t o t he g r e e nho us e ef f e ct o r m a y not b e a b l e
in t he ne a r f ut ure t o me e t t h e w or l d e ne rg y d e ma nd ( s ust a i na bl e e ne r g y s our ce s
li ke so la r an d w i nd e n e rg y) . O ne w a y t o d e a l w i t h t hi s i s s ue m a y b e t o i nt r od uc e
t he n ot io n of h yp ot he t ica l c on se nt , i n c o nt r a st t o a ct ua l co n se nt : u nde r w hi c h
co n di t io ns w ou ld it b e sa f e t o a ss um e t ha t fu t ur e g e ne r a t io n s co ns e nt t o a n
e xp e ri m e nt t ha t i nv ol v es ha z a r d s f or t h e m ?

165
W h it b ec k ( 1 9 9 8 a ) .
166
Ibid.
167
M a r t i n & S c h in z in g er ( 1 9 9 6 )
168
Hansson (2004b).

130
T he me nt i o ne d i ss ue s r a is e s e r i o us d ou b t s w he t he r i t i s d e s ir a bl e t o a p p l y t he
p r i n ci p le of inf or me d c on se nt t o s o cie t a l e xp e r ime nt s w it h t e ch n ol o gy. I t mig ht ,
ne ve r t h e le ss, b e p os s i b le t o re f or m ul a t e t h e p ri nc i p le of i nf or me d c ons e nt t o
a d dr e ss t he se is su es . Alt e r na t i ve l y, if o ne r e je ct s i nf or me d c on se nt a s a le a di ng
p r i n ci p le f or s oc ie t a l e xpe r im e nt s, on e ne e d s t o pr op os e a n a lt e r na t iv e a p pr oa c h
t ha t a d d re ss e s a t l e a s t t he ma i n u nde r l yi ng mor a l co n ce rn t hat p e opl e m a y be
su b je ct e d t o s o cie t a l e xp e ri me nt s w it hou t k now i ng a nd w it h ou t t he a b i l it y t o ha v e
a sa y, i. e . w i t ho ut r e s p ec t f o r t he i r mo r a l a u to no my. M or e sp e c if i c a ll y, o ne c o ul d
t hi n k of a se t of p r i n ci pl e s, f or e x a mp le a lo n g t he f ol low i ng li ne s:
E xp e r im e nt a l s ub je ct s a r e t o b e inf or me d a b ou t t he e x p e r i me nt , i t s s e t -u p , r i s ks
a nd p ot e nt i a l ha za r d s, u nc e r t a i nt i e s a n d i g nor a nc e a nd e xp e ct e d b e ne f i t s
So c ie t a l e xp e r i me nt s s ho u ld b e a p p r ove d b y d e m oc r a ti ca l l y le g it im i se d b od ie s .
T hi s ca n f or e xa mp l e b e p a r li a m e nt b ut a l s o a g o ve rnme nt a l b od y t ha t i s
co nt ro ll e d b y p a rl ia me nt or t he g o ve r nme nt
E xp e r im e nt a l s ub je ct s sh o ul d ha ve a r e a s ona b le sa y in t he s e t - up, c ar r y i ng out
a nd ( r ul e s f or ) st o pp i n g t he e x p e r i me nt
E xp e r im e nt a l s ub je ct s t ha t a r e e s p e c ia ll y v ul ne r a b le t o t he ha z ar d s i nv ol ve d in
t he e x p e r ime nt s h ou ld e it he r no t be s u b j e c t t o t he e xpe r im e nt o r b e
a d di t io na l l y p r ot e ct e d .
T he e x p e r i me nt s ho u ld e nt a i l a f a i r d i s t r i b ut i on of r i s ks a nd b e ne f i t s a m o ng
d if f e r e nt g r o up s a nd a mo ng d if f e r e nt g e ne r a t io n s.

8.8 C on cl u s i o ns : th e r es p o ns i bi l i ty o f e n g i n eers f or s af ety

We st a r t e d t hi s cha p te r w i t h t he st a t em e nt t ha t e n g i ne e r s ha v e a mora l
r e sp ons i b i li ty t o e ns ur e sa f e t y. In t hi s c ha p t e r , a numb e r of m et ho d s w as re vi e w e d
t ha t c a n g iv e co n cre t e c o nte nt t o t his r e sp o ns ib i l it y i n pr of e s si on a l p r a c t i ce : by
a ss e s s i ng ri sk s a s p r e c ise l y as p os s i b le , b y li m it i ng t he m t hr o ug h d e si gn c h oi ce s,
b y re f l ec ti ng o n th e a c ce p t a bi lit y of ri s ks a n d b y c om m u ni ca t i ng a b o ut r i sk s i n a
p r op e r wa y. We ha v e s ee n t hat t he se a c t iv it ie s i n t he ms e l ve s g i ve ri se t o e t h ica l
is s ue s.

T he c ha p t er ha s s ho w n t hat t he r e a r e c e r t a i n r es t ri ct io ns t o t he re sp on si b il it y of
e ng i ne e r s f or s a fe t y a nd r i s ks. T he q ue s ti on w h e t he r a r i s k is a cc e p t a b l e d e p e nd s
on m ore t ha n j ust t he m a g nit ud e of t he r i s k. Re f le ct i o n o n t he a c c e p ta b il i t y of
r is k s no t onl y d e m a nd s t e c h ni ca l a nd s cie nt i f ic e x pe r t i se , b ut e t hi c a l e xp e rt i s e to o.
E ng i ne e r s d o n ot ha ve t h is e x p e r t i se t o a n y gr e a t e r e xt e nt t ha n ot he r p e op l e . T ha t
is w h y t he q ue st io n w he t he r a r i s k i s a c ce p t a b le ca n n ot us ua ll y b e a ns w e r e d b y
e ng i ne e r s a lo ne . T hi s l imi t s t he r e sp o ns ib i li t y of e n gi nee r s o n t he o ne ha nd, b ut i t
g i ve s t he m a d d i ti o na l r e sp o ns ib il i t y on t he o t he r, i . e. p r op e r l y i nf o r mi ng ot he r s of
t he r i s ks ( r i s k c omm u n ica t io n) a nd i n vol v i ng the m i n d e ci s i o ns c o nc e rn i ng t he
a c ce p t a bi lit y of r i sk s.

A not her p oi nt r a i s e d i n t h is c ha p t e r, w h ic h a t f i r s t s e e m e d t o r e s t r i ct t he
r e sp ons i b i li ty of e ngi ne e r s, is t he r ol e of un ce r t a i nt y a nd i g nor a n c e . I n c ha p t e r 1 ,
w e sa w t ha t k now l e d g e of t h e c on se q ue nc e s is a co n di t io n f or re s p on si b i l it y. T he
f a ct t ha t t e c h no lo g y d e ve l o pm e nt a lw a y s i n v ol ve s u nc e r ta i nt y a nd i g no r a nce
d imi n is he s t he r e sp o ns ib ili t y of e ng i ne e r s. O n t he o t he r ha nd , s ci e nc e t e a c he s u s
t ha t t he re a lw a y s i s ig nor a nc e a nd u nk n ow n r is k s, and t h us t he r e i s a sp e c ia l
r e sp ons i b i li ty f o r e ng i ne e rs . A t t e m p t s w i ll ne e d t o b e ma d e t o r e d u ce u nc e rt a i nt y
a nd i g n or a n ce b y e st i m at i ng t he r is k s a s p r e ci se l y a s p os si b l e . Ne ve r t h e le ss, i n
ma n y ca se s t he i nt r od uc t i o n of t e c hno lo g y i n so ci e t y i s a s oc ie t a l e xp e r i m e nt . T he
q ue s t i o n u nd e r w hi c h co nd it i ons s uc h e xp e ri me n ts ma y b e ca r r ie d ou t i s a n e t hi ca l
on e a nd it ca n not b e a ns w e r e d b y e ng i ne e r s a lo ne. How e v e r, e ng i n e er s d o ha ve a
cr u cia l r ole t o p l a y, b e ca use t he y c a n in d i ca t e w her e t he r e i s u n ce r t a i nt y a nd

131
ig no ra n ce a nd w h a t t h e p ot e nti a l ha z a rd s m a y b e . So e n g i ne e rs m us t n ot onl y
co mm uni c a te a b out w hat t h e y k now b ut a ls o a b o ut w hat t he y do no t k now t hi s i s
som e t hi ng t ha t ma ny eng i ne e r s f i n d ve r y d if f ic ult . T hi s c om p e t e n c e ca n b e v i e w e d
a s a n imp or ta n t vi r t ue f or e ng i ne e rs how e v e r .

132
C h a p ter 9. Th e d i s tr i bu ti o n o f r es p o ns i bi li ty i n eng i n eer in g

9.1 In tr o d uc ti o n

U nt i l y et , w e ha ve f o c us e d o n how i n d i vi du a l e ng in eer s ca n b e ha v e r e sp on si bl y.
So c ia l c o nse q u en ce s o f t e c h nol og y a r e, how ev e r , t he r e s ul t of t he i nt e ra c t i on
b e t we e n t he a ct io n s of ma ny d i ff e r e nt a c t o r s . Ap a r t f r o m e n gi ne e r s , t hi s i nc l ud e s
us e r s, g ove r nme nt s , c omp a n ie s , ma na g e r s a nd t he l i ke . O ne m i g ht a s s um e t ha t if
a ll of t he a c to r s w o ul d b e ha ve i n di vi d ua l ly r e sp on si bl e , t he o ve ra l l re s ul t w ou ld b e
b e ne f i c ia l f o r so ci e t y. Thi s a s s um p t i o n d oe s not a l w a ys h ol d w a t e r , a s w e ha ve
se e n i n t he C ha l le ng e r ca se (c ha p t e r 1 ) : t he fr a g me nt a t i on of de ci s io n- ma ki ng le d
t o di f f er e nt p a r t s of t h e or g a ni za t i o n f oc us si ng p ur e l y on t he i r a re a s of
r e sp ons i b i li ty, a n d t h u s no t f e e li ng r e sp on si b l e f or sa f e t y a s a w ho l e .

I n t hi s c ha p t e r, w e w il l f ir st di s cu ss t he s o-c a lle d p ro b le m of ma n y ha nd s. T hi s i s
t he p r ob l e m t ha t if m a n y p e op l e a r e i n vo lv e d i n a n a ct iv i t y , i t i s d if f ic ul t t o hol d
a n y of t he m e ve n i n p r in ci p le r e sp o ns i b le if a n u nde si r a b l e ou t c om e ma t e r ia l i ze s of
t he c ol le ct i ve cr e a t i vit y. We w i ll se e t ha t t hi s p ro b le m a r is e s d ue t o t he f a ct t ha t
e ve n i f a ll i nd i vi d ua l s be ha v e re sp o ns ib l y, u nd e s i ra b l e c on se q ue nc e s at t he
co ll e ct i ve le ve l m i g ht oc c ur . De a l i ng wi t h t h e p r obl e m of ma ny ha nd s r e q ui r e s
a t t e nt i on f or t he d i st ri but io n of r e s p o ns i b il it y in e ng in e e r i n g. I n t h is c hap t e r , w e
w il l d i s c us s t hr e e wa y s i n w h i ch r e sp ons i b i li ti e s are a ct ua ll y d i s t ri but e d i n
e ng i ne e r i ng , i. e . t hr o ug h 1 ) t he la w , 2 ) o rg a ni za t io na l mo d e l s f or r e sp o nsi b i l it y
a nd 3 ) t e c h n olo g i ca l d e si gn. We w il l ar g ue t ha t i n ea c h ca se t he r e s ul t i ng
r e sp ons i b i li ty d is t ri b ut io n ca n b e a ll oc a t e d i n t erm s of m or a l f a ir ne ss ( a re t he
a p pr op ri a te p e r s o ns h e ld r e s p on si b le ?) a n d i n t e r m s of e f f e ct iv e n e s s ( d oe s t he
r e sp ons i b i li ty d is t ri b ut io n c ont r i b u t e t o a v oi d in g ha r m a nd i n a c hie vi ng b e ne f ic ia l
r e s ult s ?)

9.2 T h e p r o bl e m of ma ny h a n ds 169

T he pr ob lem of m an y ha nd s i s u sua l l y d e sc r i b e d a s th e p ro b le m t h a t if a la rge

n um b er of pe o p le i s i n vol ve d i n a n a c t i vit y, l ike a c omp le x e ng in e e r i ng p r oj e c t , i t
is di f f i c ult e ve n i n p r i n ci p le t o id e nt i f y w h o i s re sp o ns ib l e f or w h ic h o ut com es . 170
I n p a r t t hi s is a p ra ct i ca l p r ob le m. I t is of t e n d iff i c ult i n c omp le x org a n iza t io n s or
e ng i ne e r i ng pr oj e c t s t o i d e nt if y a n d p r o of w ho wa s r e sp o ns ib le f or w ha t . Es p e ci a l l y
f or o ut s id e r s it is us ua ll y ve r y d if f i c ul t , if not im p o ss i b le , t o k now w ho co nt ri b u t e d
t o, or co u ld ha ve p r e v e nt e d a c e r t a in a c t i o n, w h o k ne w o r c ou ld ha ve k n ow n w ha t ,
e t ce t e r a . T hi s i s e s pe ci a ll y p r ob l em a t i c if o ne w a n t s r e s p on si b i lit y t o ha ve ju r id i ca l
im pl i ca t i o ns, b e ca us e the la w r e q u ir e s e v id e n ce t ha t s ome b e ha ve d i r re s p on si b l y
a nd t hi s e vi de n ce ha s t o m ee t a ce r t ai n s t a n d a rd of pr oof .

T he p r ob le m of m an y ha nd s i s a ls o a m or a l p ro b le m. T hi s i s s o be ca use it
som e t i m e s t ur ns o ut t ha t n ob od y ca n r ea s on a b l y b e he l d mor a ll y r e sp o nsi b le f o r a n
e ng i ne e r i ng di sa st e r . T hi s i s mo r a ll y p r ob l e m a ti c f or a t l e a st t w o i nd e p e nd e nt
r e a s o ns . T he f i r s t re a s on i s t ha t m a ny p e o pl e , es pe c i a ll y vi ct i ms a nd me m b e r s of
t he p ub li c b u t of t e n a l so me m b e r s of t he e ng i ne e r i ng c om m u ni t y, fi nd i t m or a ll y
u ns a t i sf a ct or y t h a t i f a n e n g i nee r i ng d i sa s t e r oc c ur s no b od y ca n b e h e ld
r e sp ons i b l e . O f c ou r s e , t he s ea r c h f or s om e b od y t o b la me m a y b e mis pe r ce iv e d ,
b ut a t le a st in s ome s i t ua t io n s i t s ee m s r e a s ona b le t o s ay t ha t s o me o ne s ho u ld
b e a r r e sp ons i b il i t y . I n f ac t , s om e p hi l o s op he r s ha ve i nt r od u ce d t he no t i on of
co ll e ct i ve r es po n si b i li t y t o de a l w i th t he i nt u it i on t ha t t h e re is m or e t o
r e sp ons i b i li ty i n c om p l e x c a se s t ha n j ust t he s um of t he r e sp o ns ib i l it i e s of t he
169
T h is s e c t i o n is b a s e d o n a n d p a r t ly d r a w n f r o m V a n d e P o el et a l . ( s u b m it t e d )
170
Thompson (1980), Bovens (1998).

133
in d i vi dua ls c ons i d e r e d i n i so la t i o n. I nt ui t i ve l y, we ma y s a y t ha t a c ol l e c t i ve is
r e sp ons i b l e in c a se s w her e , ha d i t b e e n a n a ct i o n pe r f orm e d b y o ne p e r s on, s he
w o ul d ha v e b ee n r es p on si bl e . T hi s a d d re s s e s t he i nt uit io n t ha t f or o ut sid e r s it
sh o ul d not ma ke a di f f e r e nc e w he t he r a c om p le x e ng i ne e r in g pr oj e ct w as
u nd e r t a k e n b y one p e r s on or b y a la r g e n um b e r of p er s on s i n a d i v i si o n of l a b o ur.
T he se c on d r e a s o n f or a t t r i b ut i n g r e s p o ns ib i l it y i s t he d e si r e t o l ea r n f ro m
mi st a k e s, a nd t o d o b e tt e r i n t he f u t ur e . 171 I f nob o d y i s he ld mo ra l ly r e s p on si bl e
f or a d i s a s t er , t h is ma y n ot ha p p e n. 172

We ca n now c ha ra ct e r i ze t he pr ob l e m of ma ny ha nd s a s t he o c c ur r e n ce of t he
si t ua t io n i n w hi c h t he co lle c t i ve c a n r e a s o na b l y b e hel d m ora l l y r e s p on si b l e f or a n
ou tc om e , w h il e no ne o f t he i nd i vid ua l s v a n b e r e a s ona b l y he ld re s p on si b l e f or t ha t
ou tc om e . We w il l b e l o w gi ve a n e xa m p le of su c h a s it ua t i o n.

9 . 2 .1 T he Cit iC orp B ui lding

T o i ll us t r a t e t he p r ob l e m of ma n y ha nd s in e ng i ne e r in g w e w i l l r et ur n t o a ca s e
d e s cr ib e d i n c ha p t e r 3 : t he d e si g n a nd c o nst ru ct i on of t he C i t ib a nk He a d q ua r t e r s i n
mi dt ow n N e w Y or k. A s w e sa w t h e r e t h is 5 9 - st o r y b ui ld in g w a s c o mp le t e d i n 1 9 7 7
a nd w a s d e si g ne d b y L e M e s s ur i e r, a r e no w n e d s t r uc t ur a l e ng i ne er . I n 1 9 7 8,
Le M es s uri e r l e ar ne d d ue to a se r i e s of se r e n d ip it o u s e ve nt s t ha t t h e t o we r s s t e el
f r a me wa s st r u ct ur a l l y d e f i ci e n t . I n C ha p t e r 3 w e fo c u se d o n Le M e ss ur ie r s
b e ha v i our a f te r t hi s d i sc ove r y. He r e w e f o c us on t he s it ua t i on i n 1 9 77 b e f or e
Le M es s uri e r d i s c o ve r e d t he f la w in t he b uil d in g . Ap p a re nt l y, t h e b ui l di ng w a s
st r u ct ur a ll y de f i c ie nt a t t ha t t im e , a l t ho u gh no bo d y k ne w t ha t . Wh o i s t o be he ld
r e sp ons i b l e f or t h is st r u ct ur a l d e f ic i e n cy ?

T o a ns w e r t his q ue st i o n, w e s t a r t b y b r ie f l y s k e t c hi ng t h e m a i n c a us es of t he
st r u ct ur a l d e f i ci e n c y o f t he b ui ld i ng . We t he n f oc us o n t he t hr ee ma i n a ct or s t ha t
ca usa ll y c ont r i b ut ed t o t hi s st r u ct ur a l d ef i ci e n c y: 1) Le M e s s ur i e r w h o d e si g ne d t he
b ui ld i ng , 2) t h e c ont r a c t or w ho d u ri ng co n st r u ct i on d e c id e d t o r e p l ac e t h e w e l d e d
jo i nt s b y bo l te d jo in t s a nd 3 ) t he e m p l oy e e a t L e M e ss u r ie r s f ir m w ho ap p r ov e d
t hi s c ha nge b ut d i d no t i nfo r m Le M e ss ur i e r a b o ut i t ( t he a pp r o ver ). We w il l a r g ue
t ha t n o ne of t he s e a c t or s ca n re a s on a bl y b e he l d r es po n si b l e f or t he b ui ld i n g b e i ng
st r u ct ur a ll y de f i c ie nt i n 1 9 7 7 a nd t ha t t hi s l e a d s t o a p r ob l em of m an y ha nd s.

T he st r u ct ur a l d e f i ci e nc y of t he C it iC or p b ui l d i ng w as ma i n ly ca u se d b y a
co mb i na t i on of t w o f a c t s . 173 O ne wa s th e p ec ul ia r de s i g n of t he b ui ld i ng , t he o t h er
t he c ha ng e f r om w e l d e d t o b ol d ed joi nt s. I t w a s t he com b i na t i o n o f t he s e t w o f a c t s
t ha t m ad e t he b ui ld i ng st r uc t ur a ll y d e f i c i e nt . E a c h of t h e se f ac ts c ons i d e re d in
is ol a t io n d id not je o p a rd i z e t he st r uc tu r a l st r e ng th of t he bu il di ng. T he d e si g n w a s
p e c u lia r b e c a u se t he f i r st f lo or w a s s e v e r a l s t or i e s a b o ve g r ou nd , w i t h t he g r o und
su p p or t of t he b u i ld i n g b e i ng f our pi l l ar s p la c ed in b e t w e e n t he f o ur c or ne r s of t he
st r u ct ur e r at he r t ha n a t t he c or ne r s t he ms el ve s. Th e r e as on f o r t h is c ons t r u ct io n
w a s t hat t he r e ha d b e e n a ch u r c h o n t he b u i ld i ng s it e a n d i t ha d b e e n a gr e e d t ha t
t hi s c h ur c h w o uld be r e c ons t r u ct e d b e ne a t h t he b ui l di ng a f t e r i ts c omp le t i o n.
171
F a h l q u is t ( 2 0 0 6 a , 2 0 0 6 b ) .
172
I t is s o m e t i m es a r g u e d t h a t p in p o i n t in g r es p o n s i b il it y m a y h a m p er l e a r n i n g a n d
o p en n es s a b o u t in c id en t s a n d n e a r - a c c i d en t s , b e c a u s e t h e f o c u s i s o n b l a m e in s t ea d o f o n
o p en n es s a n d o n l e a r n i n g . T h is m a y b e t r u e if t h e f o c u s is o n j u r id i c a l r e s p o n s ib i li t y , t h e
p a y i n g o f d a m a g e a n d / o r t h e p u b li c b l a m i n g o f t h e c u lp r i t . H o w e v er , w i ll in g n es s t o le a r n
f r o m a c c i d e n t s s e em s t o i m p l y t h e a c c e p t a n c e o f a t l e a s t s o m e m o r al r es p o n s i b il i t y .
173
T h er e w a s i n f a c t a t h ir d f a c t o r : p eo p l e f r o m L e M es s u r ier s t ea m h a d d e f in ed t h e
d i a g o n a l w in d b r a c es a s t r u s s es in s t e a d o f c o lu m n s s o t h a t n o s a f et y f a c t o r a p p l i e d . T h e
r es u l t w a s a s m a ll er n u m b er o f j o in t s , w h i c h i n c r eas e d t h e s t r u c t u r a l d ef ic i en c y . W e l e a ve
t h is o u t b ec a u s e t h e b u il d in g w o u ld a l s o h a ve b e en s t r u c t u r a l l y d e f ic i en t w i t h ou t t h is
m is t a ke; a l t h o u g h t h e p r o b a b i l i t y o f f a i lu r e w o u ld p r o b a b l y h a v e b e en l o w er t h a n o n c e
e ve r y s i x t e en y e a r s , i t w o u l d s t i l l h a v e b e en u n a c c ep t a b l y h i g h .

134
How e v e r, a s Le M e s s ur i e r f o u nd o ut i n 19 7 8 t he c omb i na t i o n of t he p e c u li a r d e si g n
a nd t he bo l de d co nne c t io n s m a d e t he s t r u ct ur e v ul nera b le t o hi gh w in d s t ha t st r i ke
t he b ui l di ng d ia g ona l l y a t a 4 5 de g r e e a ng l e . Ba s ed o n t he Ne w Yo r k w ea t he r
r e c or d s, a st or m w it h a p r oba b il it y of oc c ur r en ce o n ce e ve r y s i x t ee n ye a rs (a so -
ca l l e d 1 6- ye a r s t or m ) w o ul d be suf f ic i e nt t o ca us e t ot a l st r u ct ur a l f a il ur e . 174

N ow t ha t w e ha ve s om e i ns i g ht i n t he c a u se s of t he s t r uc t ura l de f ic ie n c y of t he
C it i c or p b ui l d i ng , le t u s l oo k w he t he r e a c h of t h e t hr e e m e n ti one d a ct or s c a n
r e a s o na b l y b e he l d r e s p o ns ib l e : Le M e s s ur ie r , t he co nt ra ct o r a nd t he a p p ro ve r . I n
d oi n g s o, w e w i ll a pp l y t he co nd it i ons f or i n di vid ua l m or a l re s po n s ib i lit y t ha t w e r e
p r es e nt e d i n c hap t e r 1 . A n i nd i v i d ua l i s t h us m ora ll y re s po n si b l e f o r t he st r u ct ur a l
d e f i ci e n c y i f :
1 . He d id s ome t h i ng t ha t w a s w r ong ;
2 . A c a us al co nne ct i o n i s p r e se nt b e t w ee n hi s a ct i o ns a nd t h e s t r uct ur a l
d e f i ci e n c y;
3 . He c ou ld ha ve kn ow n t hat t h e b u il d i ng w a s s t r u ct ur all y de f i c ie nt;
4 . He a ct e d f r e e l y.

T he f o urt h c o nd i ti on i s f ul f ill e d f or al l t hre e p e rs ons: t he y w e r e n o t f or ce d t o a ct

in a ce r ta i n w a y. T he se co nd c ond it i o n i s a l s o me t : e a c h of t he m m ad e a ca usa l
co nt ri bu t i on t o t he st r u ct ur al de f i c ie n cy, e . g . b y c ha ng i ng t he d e si gn f r om we l de d
t o bo ld e d jo in t s (t he c ont r a ct or) , b y a p p r ov i ng t he d e s i g n c ha nge ( the a p pr ov e r)
a nd b y c ho os i ng t his p a r t i c ula r d e s i g n ( Le M e s s ur i e r) .

T he c r u c ia l r e s p o n si b il it y co nd i ti ons h e r e ar e t he re f ore t he k no w le d ge co n d it io n
( the p e rs on co u ld ha v e k n ow n t he d e f ic i e nc y) a n d t he w r o ng -d oi n g c ond it i o n. If w e
a p pl y t he se co nd it i o ns , t he f ol l ow i ng p i ct ur e a r i ses . L e M e ss ur ie r c a nnot r e a s on a b l y
b e he l d r e s p o ns ib le in 1 97 7 , be c a use h e t he n d i d no t k now of t he c ha nge f r om
w e ld e d t o b ol t e d jo in t s, w h i ch w a s cr uci a l t o for e se e t he st r u ct ur a l d e f i ci en c y of
t he b ui l di ng . T he co nt ra ct or , of c ou r se , k ne w a b ou t t he c ha ng e a nd pr ob a b l y a l s o
a b out t he p e c u li ar d e s ig n b ut it se e m s re a s o na b l e t o sa y t ha t t he c ont r a ct or c o uld
no t ha ve k now n t ha t t he c omb i na t i o n of t he se t wo f a ct or s w oul d l e a d t o s t r u ct ura l
d e f i ci e n c y. T he r e a re t w o re a s o ns w hy t he c o nt r a ct o r co ul d or s ho u ld n ot ha ve
k now n t hi s. F ir st , i n n orm a l ci r c u mst a n ce s i t w o ul d not ha ve b e e n a p r ob le m to
c ha n ge f r om w e l d e d t o b ol t e d j oi nt s. Se c on d , t he co nt ra ct o r , not b ei ng a st r uc t ur a l
e ng i ne e r li k e Le M e s s ur ie r , la c ke d t he k n ow l e d g e a n d e xp e r t i s e t ha t w a s r e q ui re d t o
f ore s ee t h is p a r t i c ula r st r u ct ur al d ef i ci e n c y. M or e o ve r, t he c ont r a ct or a s ke d f or
a nd r e ce iv e d a pp r o va l f or t he c ha n g e f r om t h e ap p r ove r a nd t he r e f ore w a s not a t
f a ult . Co n se q ue nt ly, t he c o nt r a c t or ca n not r e a s ona b l y b e he ld r e s p ons i b l e .

Wha t a b o ut t h e a p p r ove r ? C ou ld or s ho uld h e ha v e f o re s e e n t he st r u ct ur a l

d e f i ci e n c y b e f or e a p pr ov i ng th e c ha ng e ? A nd if so, d id h e a c t w r ong l y i n a p p ro v i ng
t he c ha ng e ? H e re a r e s om e r e a s o ns w hy t he a pp r o ve r ca nn ot r e a s ona b l y b e he l d
r e sp ons i b l e . A c c or d i n g t o M or g e ns t e r n, L e Me ss ur ie r a r g ue d t ha t t he

c h oi ce of b ol t e d jo i nt s w a s t e c h ni ca ll y s ou nd a n d p rof e s si ona ll y c orr e c t .

E ve n th e f a i lu r e t o f l a g hi m [ Le M e ss ur ie r ] on t he d es ig n c ha ng e w a s
j ust i f ia b le ; ha d e ver y d e c is i o n o n t he s i t e i n M a nha t t a n w a it e d f or a p pr o va l
f r om C am br i d g e , t he b ui ld i n g w o uld n e ver ha ve be e n f in is he d . M os t
i mp ort a nt , m od e r n s k y sc r a p e r s a r e s o st r o ng tha t ca t a st r op hi c c ol l a ps e i s
no t co ns id e re d a re a l i s t ic p r o sp e c t ; w h e n e n gi nee r s se e k t o li m it a b uil d i ng s
s wa y [ t he p ur p o se f or ha vi ng we l de d jo in t s] , t h e y do s o f or t he t e na nt s
c om f or t . 175

174
T h e b u i ld i n g w a s d es i g n e d w i t h a n el e c t r ic d a m p er t h a t , i f f u n c t i o n in g , w o u ld r e d u c e
t h e p r o b a b i li t y o f f a i l u r e t o o n c e e v er y 5 5 y ea r . T h a t d a m p er m ig h t h o w e v er f a i l d u e t o a
p o w er f a i l u r e d u r i n g a h e a v y s t o r m .
175
M o r g en s t er n ( 1 9 9 5 ) .

135
F urt he rm o re , i t e ve n t oo k Le Me s s ur i er se ve r a l w e e k s in 19 7 8 a ft e r hea r i ng a b o ut
t he c ha ng e i n j oi nt s a nd be i ng a s ke d b y a s t ud e nt ab o ut t he s tr u ct ura l s t re n g t h t o
f ind out t he v ul ne r a b i l it y t o 45 - d e g r e e wi nd s . E ve n if Le M e s s ur i e r c ou ld , a nd
p o ssi b l y s hou ld , ha ve f or e se e n t he st r uc t u r a l d ef i c ie n cy a nd i f he ha d kn ow n a b o ut
t he c ha ng e f r om b old e d t o w e l d e d jo i nt s ( w h ic h he d id not ) , i t se e ms r e a s o na b le t o
a ss um e t ha t t he a pp r o ve r co ul d n ot ha ve f or e se e n t h e s t r uc t ur a l d e fi c ie nc y. T he
r e a s o n f o r t ha t i s t ha t t h e a p p r o ve r i s l ik e l y to ha ve ha d c on si d e r a b l y l e s s
e xp e ri e n ce a n d k no w le d ge a b o ut t he r a t i o na l e f or t he d e s i g n c om p a r e d t o
Le M es s uri e r. H e n ce , it is not r ea s ona b le t o h old t he a p p ro ve r r e sp o ns ib l e . I t t he n
t ur n s ou t t ha t no ne of t h e a c t or s ca n r e as on a b l y b e he l d r e s p o ns ib le . To s ho w t ha t
t hi s i s a p r o b le m of m a ny ha nd s , we a l s o ne e d t o sh ow t ha t t he co l le ct i ve ca n
r e a s o na b l y b e he l d r e s p o ns ib l e i n t hi s ca s e , a t a s k t o w hi c h w e t ur n now .

I n t he Ci t i C or p c as e , w e ca n d ef i ne t he c ol l e ct iv e a s Le M e s s ur i e r , th e co nt r a ct o r
a nd t he a pp r ov er t oge t he r. We a s s um e t h a t t he se t hr e e p e op l e ca n c oo pe r a t e a nd
sha r e i nf or ma t i o n. To a t tr i bu t e re s p o n sib il it y r ea s ona b l y t o t he co ll ec t i v e som e
co n di t io ns ne e d t o a p p ly. F or t he m ome nt , w e w i l l a ss u me t ha t t he se co nd i t i on s
a r e s im i la r t o t he o ne s a p p l y i ng t o i nd iv i d ua l s , i .e . t he c oll e ct i ve a ct e d f r e e l y,
ma d e a ca us a l co nt r ib ut i o n, c oul d ha ve k no w n i t a n d w a s do i ng w r ong . 176 It se e m s
ob vi o us t ha t t he co l le c t iv e a ct e d f r e e l y, a s e a c h of t he i ndi v id ua l s a ct e d fr e e l y.
T he c ol l e ct i ve a l so ma d e a ca us a l c o ntr ib ut i on t o t he s t ru ct u ra l de f ic i e n c y. I t i s
le s s cle a r w he t h er t h e c ol le c t i ve a ls o m e et s t he k n ow l e d g e a nd w r on g -d o i ng
co n di t io n.

A n i m p or t a nt a r g um e n t w hy t he c ol le ct i ve m e e ts t he k now l e d g e c o nd it i on i s t ha t if
t he y ha d sh a re d t he i r k now l e d g e a n d e xp e rt i se t he y c o uld ha ve k n ow n t ha t t he
b ui ld i ng wa s st ru ct u r al ly d e f i c ie nt . Le M e s s ur i e r i n f a ct d r e w t hi s c o n cl us io n i n 1 97 8
a f t e r b e i ng i nf or me d a bo ut t he c ha n ge f r om we l de d t o bo ld e d jo i nt s .

I s t he w r ong -d oi ng co nd i t i o n a l s o me t ? F r o m a c on seq ue nt ia l i st p oi nt of vi e w , it
ob vi o us l y i s : s tr uc t ura l f a i l u re o nc e i n t he si xte e n ye a rs i s u na c c e p t a b l y hi g h; no
e ng i ne e r w ou ld c o nt e s t t ha t . O ne p o s si b l e c ou nt e r -a r g ume nt is t ha t t h e b u i ld i ng
st i l l me t t h e N e w Y our Ci t y b ui l di ng co d e be c a use t ha t c od e o nl y r e q u ir e s t a k i ng
int o a c c ount 9 0-d e gr e e w i nd s a n d not 4 5 -d e g re e w i nd s a nd t he b u il d i ng w a s o nl y
st r u ct ur a ll y de f i c ie nt f or th e la t t e r. N e v e r t he l e s s, t he e f f e ct of q ua r te r in g w i n ds
w a s k now n l o ng b e f o r e t he 19 7 0 s t he ci t y s b ui ld in g c ode of 1 89 9 a lr e a d y
r e q ui r e d t o t a ke a ll p o ssi bl e d i re ct i ons i nt o a c co u nt , a l t h o ug h so me la t e r c od e s d id
no t. 177 M or e o ve r, w r on g - doi n g i s n ot c onf i ne d t o b r e a c hi ng t he c ode . E ng i ne e r s a r e
e xp e ct ed t o li ve up to a st a nd a r d of r e a so na b le ca re . A c c or d i n g t o P r it c ha r d , W ha t
co u nt s a s r e a s o na b l e c a re i s a fu n ct io n of b o t h w ha t t he p ub li c ca n r e a so na b l y
e xp e ct a nd w ha t e xp e r ie n ce d , com p e t e nt e ng ine e r s r e g a r d a s a c ce p t a b le
p r a c ti ce . 178 In t his ca s e, g i ve n t h e i nn ova t i ve d es ig n of t he s t r u ct u r e , it se e m s t o
r e q ui r e t a k in g i nt o a c c ou nt 4 5 -d e g r ee w i nd s. 179 It t hu s s e em s r e as on a b le t o h ol d
t he c ol le ct i ve i n 1 9 77 r e sp o ns ib le f or t h e s t r u ct ura l de f ic ie n cy of t he Ci t i C or p
b ui ld i ng .

9 . 2 .2 Caus es of t he pr oblem of m an y ha n ds

I n t he Ci t i c or p ca s e , t he pr ob l e m of ma ny h a nd s is p r ima r il y d ue t o t he d i st r ib ut i on
of i nf or ma t i on o ve r t h e va r i ous a c t o r s. D ue t o t he w a y inf or m a ti o n w a s d i st r ib ut e d ,

176
A p p l y in g t h es e c o n d it i o n s t o t h e c o ll ec t i v e r a i s e s t h e i m p o r t a n t p h il o s o p h i c a l q u es t i o n
w h et h er t h e c o l lec t i v e c a n a c t a n d b e h e l d r es p o n s ib l e . W e h er e s i d e- s t ep t h is p r o b le m .
F o r a f u ll e r d is c u s s io n , s e e V a n d e P o e l et a l . ( s u b m it t ed ) .
177
K r em er ( 2 0 0 2 ) .
178
Pritchard (2009).
179
C f . K r em er ( 2 0 0 2 ) .

136
ne i t h er Le M e s s ur i e r n o r t he c o nt r a ct or n or t h e a pp r o ve r c ou ld re a s ona b l y ha v e
k now n t hat t he a c t ua l b u ilt c o nst r uc ti on w a s st r u ct ur a ll y de f i c ie nt. St i l l, a t t he
co ll e ct i ve le ve l, t he st ru ct ur a l de f i cie n c y c oul d re a s o na b l y ha ve b e e n f or e s e e n ( a nd
t he ot he r r e s p o ns ib ili t y c on d it io n s a r e a l s o me t ). T hi s r e v e al s a m or e g e ne ra l c a u se
of t he p r ob le m of ma n y ha nd s: t he d i s tr i b ut i on of i nf o r ma t io n. T he c ru c i a l p oi nt i s
t ha t a p p l yi ng t he k n ow l e d g e c ond i t i o n t o e a c h of t he i nd i v i d ua l s i n is ol at i on mi gh t
yie l d a d if f e r e nt r e s ult tha n a p p l yi ng i t t o t he e nt i r e g r o up of a ct or s a t o nc e. T hi s
is w h y w e mig ht s ome t ime j u d ge t ha t n on e of t he i ndi v i d ua l s c oul d r e a s ona b l y
f ore s ee a ce r t a i n ha r m , w hi le a t t he c ol l e ct i v e le ve l t ha t s a m e ha r m i s f or e se e a b le .

T he c o nf li c t b e t w e e n a p pl yi n g t he r e s p on si bi l it y co nd it i o ns t o t he i n di vid ua l s a n d
t o t he co ll e c t i v e ca n a l so oc cu r f or ot he r c on d it i o ns, li ke th e w ro ng -d oi ng
co n di t io n. A n ex a m pl e is t he r e s p o ns ib il it y of i nd iv i d ua l c a r d r i ve r s t o t he
g r ee n hou se e f f e ct . I nd iv i d ua l c a r d ri ve rs b y us i ng t he i r c a r e mi t co n ce nt ra t io n s of
g r ee n hou se g a se s t ha t a r e c ons i d e r e d i n is ola t io n c om p le t el y ha r ml e ss
( a ss u mi ng t ha t t he r e i s a l e v el be l ow w hi c h g re e n ho u se g a s e m is si on s ha ve n o
e f f e ct ); a ll c a r d r iv e r s t og e t he r , how e ve r , i nt r od uc e a co n si d e r a bl e ri s k f or f u t ur e
g e ne r a t io ns . Wha t is e s se nt i a l a b ou t t hi s e xa mp le i s t ha t w hi l e no n e of t h e
in d i vi dua ls i s d oi n g s om e t hi ng w r on g or is a t f a u lt, a t t h e co lle ct i v e l e ve l t he r e i s
ob vi o us l y ha rm d on e , so it wo ul d b e na t ur a l t o a ss um e t ha t t he r e i s a l so w r ong -
d oi n g.

T he p r ob le m of m an y ha nd s ca n a ls o a r is e d ue t o a co mb i na t i on of c o nd i t i on s f or
r e sp ons i b i li ty. F or e xa m pl e , a n e mp lo ye e of a c om pan y w ho k n ow s of a d e f e c t i n a
p r od uc t ma y d ue t o t he hi e ra r c h ica l na t ur e of t he or ga ni s at i on a n d t he sp e c if i c
p r oc e d ur e s w i t hi n t he or g a ni sa t io n - la c k t he f re e d om t o re p a i r t he d e f e c t or t o
w a rn cu st ome r s a b ou t it . H is s upe r i or ma y ha ve t he fr e e d om to a c t b ut m a yb e
co u ld not ha ve k n ow n t he d ef e ct ,

T he a b o ve s ug g e st s t ha t t he C it i C or p e xa mp l e i s not a n e x c ep t io n b ut t hat t h e
p r ob le m of ma n y ha nd s i s li k el y t o o c c ur re g ula r l y in e ng i ne e r in g ( a nd e l se w he r e ).

9 . 2 .3 Distr ib ut ing r es pon si bilit y

T he n ot i o n of co ll e c t i v e re sp on si b i l it y is h e lp f ul t o a rt ic ul a te t h e m ora l i nt ui t i on
t ha t a t le a st so me t i m e s s om e b od y sh o ul d b e he l d r es po n si b l e f or d i sa st e r s i n
co mp l e x e ng i ne er i n g p ro je ct s. H ow e ve r, i t i s n ot i mm e d ia t e l y c l ea r w ha t a sc r i bi ng
r e sp ons i b i li ty t o t he c ol l e c t i ve im p l ie s f or t h e i nd iv id ua l s w h o t og e the r f or m t h a t
co ll e ct i ve . T his re q uir e s a t te nt i o n fo r t he d i s tr i b ut i o n of r e sp ons i b ili t y a m on g t he
me m be r s of a c ol le ct i v e .

B ut how s ho uld w e d i s t ri b ut e r e s p o ns ib i lit y ? I n a n sw e r i ng t hi s q ue s t io n we s ho ul d

ke e p i n m i nd t ha t t he r e a re a t le a s t t w o r e a s ons f or a s cr ib i n g r e s p on si b i l it y. O ne i s
t ha t w e c o ns id e r i t m o ra l l y im p or t a nt t o h old p e op l e r e sp o ns ib l e f or t he i r a c t i o ns
a nd t he c ons e q u e n ce s of t he se a ct io n s if c e r t a in c ond it i o ns a r e me t . I n C ha p t e r 1 ,
w e d i s c us se d t he c on d it i on s t ha t ne e d t o a p p l y fo r hol d i ng p e opl e f a i rl y
r e sp ons i b l e : w r o ng -d oi ng , ca usa l c on ne ct io n, k n ow le d ge a nd f r e e d o m . We w il l ca l l
t hi s t h e m ora l f a i rn e s s r e q ui re m en t . Th e m or a l f a i rn es s r eq uir e me n t c a n a l s o b e
a p pl ie d t o a ct i v e r e sp ons i b il i t y: i n t ha t c a se , we w i l l t a ke i t t o me a n t ha t p e op l e
sh o ul d on ly b e a s c r ib e d a c e r t a i n a c t i ve r es p on si bi l it y i f t he y a re a b le t o l i ve up t o
t ha t r e sp o ns i b i li t y. T hi s, a m on g ot he r t hi ng s, me a ns t hat t h e y s h ou ld ha ve t h e
me a n s a n d a ut ho r it y t o f ul fi l t he i r a c t i ve re s p o ns ib i l it y.

T he ot he r r e as on w h y we a s c r i b e r e sp ons i b i li ty i s t hat w e w a nt t o a vo id ha rm a nd
st i m u la t e d e si ra b le o u tc om e s. F or ut il i t a r ia n s, t h is a i m i s t he on l y a i m of
r e sp ons i b i li ty a s c ri p t i ons. T he d i st ri b ut io n of r e s p o ns i b il it y t ha t ha s t he b e st
co n se q ue n ce s, i . e. i s e f f ec ti ve i n pr e ve nt i ng ha r m , is t he mo ra l ly r eq u ir e d

137
d is t r i b u t i on of r e sp ons i bi li t y. We w il l c a ll t hi s the e f f e c t i ve ne s s r eq ui r e me nt . T he
e f f e ct iv e n es s r eq ui r e m e nt s e em s e s p e cia l l y r e l e va nt f or a ct i v e r e s p ons i b il it y
b e ca us e th e n not h in g ha s g o ne w r on g ye t , b ut it a ls o r e le va nt f o r pa s s i ve
r e sp ons i b i li ty b e ca u se it i s d e s i ra b le t ha t p e o p le le a r n f r o m t he i r mi st a ke s a nd a r e
d e t er r e d f r om d oi n g c e r t a i n th i ng s a nd t ha t bot h pre s up p o se a ss um i ng
r e sp ons i b i li ty f o r w ha t w e nt w ro n g .

We w ill a s s ume t ha t a n id e a l d i s t r i b ut i on of re s p o ns ib il i t y i s b ot h m ora l l y f a ir a n d

e f f e ct iv e . Th e p ro b le m of ma n y ha n d s s h ow s t ha t i t i s so me t ime s h a r d t o me e t
b ot h r e q u ir e m e n t s a t on ce . I n c as e s li ke t he Cit i C or p ca s e , i t se e m s m or a ll y u nf a i r
t o hold o ne of t he a c t or s r e sp ons i bl e f or t he s tr u ct ur a l d e f i ci e nc y. Y e t t hi s
d is t r i b u t i on of r e sp ons i bi li t y, o r ra t he r t he a bs e n ce of it , d oe s not se e m v e r y
e f f e ct iv e i n a v oi d i ng h a r m. H ow c a n w e re c on ci l e t he r e q u ir e me nt s of f a i r ne s s a n d
e f f e ct iv e n es s? We d o no t ha ve a cle a r -c ut a ns w e r t o t hi s q ue s ti o n. I ns t e a d w e wi ll
d is c us s b el ow a n umb er of me c ha ni sm s fo r d is t r i b u ti ng r e sp onsi b i li t y a nd t he i r
mor a l f a i r nes s a nd e f f e ct iv e n e s s. T he se m e c ha ni s ms a r e t he la w (s ec t i o n 9 . 3 ),
or ga n iz at i ona l m od e ls f or d is t r i b ut i ng r e sp on si b i li ty ( 9 . 4) a nd t e c h nol og i c a l d e s i g n s
( 9. 5 ) .

9.3 R es po ns i bi l i ty a nd th e l a w

Re s p o nsi b i lit y is not o nl y a m ora l c on ce p t , b ut a lso a le g a l c o n ce p t . T he w a y t he

no ti on of r e s p on si b i lit y is us e d i n t h e la w i s ho we ve r di f f e r e nt fr o m how i t i s use d
in e t hi cs. We w il l t he r e f or e u se t he t e r m lia bil it y t o r e f e r t o le g a l r e sp ons i b ili ty .

I n w ha t r e s p e ct s i s m o ra l re s p o n sib il it y d if f e r e nt f ro m l ia b ili t y? F ir s t , the

co n di t io ns o n b a si s of w hi c h so me on e i s he ld mo ra l ly r e s p o nsi bl e a r e of te n
d if f e r e nt f r om t he co n di ti o ns on b a s is of w hi c h som e o ne i s hel d l ia b le . T he
co n di t io ns f or l i a b i li t y a r e la id d ow n i n t he l a w an d m a y d i ff e r f or d if f e r e nt t y p e s of
a ct i o ns, f or d if f e r e nt t yp e s of c on se q ue nc e s and i n d if f e r e n t co unt r ie s. F o r m or a l
r e sp ons i b i li ty, u su a ll y the c o nd i t i o ns se t o ut in cha p t e r 1 a r e us ed ( a lt houg h t he r e
is not c omp le t e a g r e e me n t i n p hil os op h i ca l et h ic s a bo ut t he e xa ct se t of c o nd i t i on s
or t h e ir e x a c t co nt e n t ) . T hi s d if f e re n ce me a n s t ha t it m a y w e ll be p os si b l e t ha t
som e o ne i s m or a ll y r e sp on si b le f or a n a ct i o n wh il e he or s he i s n ot l ia bl e . A l s o t h e
op p os i t e m a y o cc ur : s ome o ne m a y b e li a bl e w i t ho ut be in g m or a l l y r e sp ons i b l e .

Se co nd , li a bi l it y i s e s t a bl i s he d i n a n of f i ci a l a nd w e l l- r e g u la t e d p r o ce d ur e in c o urt .
I t r e q ui r es a ve r d i ct b y a j ud g e or a j ur y a n d t he li a b i l it y c on d it io ns m us t b e
p r ove n t o a p p l y in a f orm a l j uri di ca l s e n se . Thi rd , l i a b i lit y u s ua l l y i mp l ie s t he
ob l ig a t io n to p a y a f i ne o r t o r e p a y d a ma g e s , w hi le t hi s is not ne c es sa r il y a n
im pl i ca t i o n of m ora l r e sp ons i b il it y. F our t h, l i a b ili t y a l wa ys a p p li e s af t e r so me t hi ng
u nd e si r a b l e ha s o c c ur r e d , w hi le r e s p o ns i bi lit y is re l ev a n t b ot h a f t e r t he f a ct a s w e l l
a s b e f or e som e t hi ng u nd e s i r a b l e ha s o c c ur r e d ( a ct i v e r e s p o ns i bi lit y ; se e c ha pt e r
1 ). 180

E ve n i f l ia b il i t y a nd m or a l r e s p o ns i bi lit y a r e d i ffe r e nt n ot io ns , one mi g ht ma ke a n

a t t em p t t o ma k e t he m a s s i mi la r a s f e a s i b le . O n e c ou ld f or e xa mp l e b a se li a b i l it y
on t he sa me co nd it i o n s a s p a s s i ve mor a l r e s p ons i b i li t y . A n ar g u me nt i n f a vo ur of
t r an sl a t i ng m or a l r e sp ons i b il i t y i n to l ia bi li t y i s t ha t if m or a l l y i r re s p o ns ib l e
b e ha v i our ne ve r le a d s t o p u n is hme nt on t he g r o und s of l e g a l l ia b il i t y t he n t he r e
r e ma i n s l i t t l e in ce nt i v e t o a ct mor al l y s o t ha t f e w p eo p le w i l l b e e n co ura g e d t o d o
t ha t. Ho w e ve r, a l s o m ora l r e sp o ns ib i l it y ca n r e s ult i n p uni s hm e n t, f or ex a m pl e ,

180
T h e l a w a l s o i m p l i e s s o m e t im es f o r w a r d - lo o k i n g r es p o n s ib i li t y ( e . g . , t h e r es p o n s ib i li t y
o f p a r en t s f o r t h ei r c h i ld r en ) , b u t h er e w e f o c u s o n li a b i l i t y , w h i c h s e em s t o o c c u r a f t e r
the fact.

138
t hr o ug h b la mi ng a n d s ha m in g. M ore o ve r , on e ma y a ls o d o ub t t he a ss um pt i on t ha t
p e op l e a r e i n cli ne d t o b e ha v e i mm or a l l y u nle ss th e y a r e p u ni s he d .

A n a r g um en t i n f a v our of b a s i ng li a b i l it y up on mor al r e s p on si b i l i t y i s t he f a ct t ha t
ot he r w ise t he le g a l ru l i ng w o ul d u l ti ma t e l y n ot b e a c ce p te d . D oub t i n t he m i nd s of
j ud g e s a b ou t w he t he r som e o ne i s m or a l l y r e sp on si b il i t y ha s som et i me s i n t he p a st
r e s ult e d i n d e c l ar in g s ome o ne no t l e g al l y l i a bl e , eve n if f o r ma ll y t he c o nd i ti on s f or
li a b i li t y s e e m e d t o a p p ly. 181

Ne ve r t he le s s, b ot h a r g ume nt s do n ot n e e d to le a d t o t he c o nc l us io n t ha t m or a l
r e sp ons i b i li ty a nd lia b i l it y mu st c oi n ci d e . O n e m i g h t e q u al l y w e l l s a y t ha t t he la w ,
a nd t he re f or e al so l ia b il it y, c ou ld ne v e r a pp l y t o a ll c a s e s of m ora l r e s p o ns i b il it y.
T he r e f or e e ve n i f on e t ri e s t o t r a ns la t e mo ra l re sp o ns ib i l it y i nt o l ia b il i t y t ha t w i ll
ne ve r com p l e t e l y s uc c e e d. I n s o me ca se s it ma y e ve n b e d e s ir a b le t o m a ke
som e o ne lia b le e ve n i f hi s or he r mo ra l re sp on si b il it y is d e b a ta b le . H ol d i ng p e op l e
li a b l e , e ve n if t he y c a nnot re a s ona bl y be he ld m or al l y r e sp ons i b le , ma y ma ke t he m
mor e ca ut i ous, a nd ma y pr e ve nt n e g a t i ve ef f e ct s a nd s o he l p t o s ol ve t he p r o bl e m
of ma n y ha nd s. I n ot he r w or d s, l i a b i li t y a s c r i pt i ons c a n b e b a se d o n c on si de r a t io ns
of e ff e ct i ve ne ss ra t he r t ha n o n c o ns id e r a t i o n s of m ora l f ai rn e s s . B e low w e w i l l
d is c us s so me p os s ib il i t ie s a n d lim it a t i o ns of l ia b ili t y a s to ol f or pr e ve nt i ng
u nd e si r a b l e co n se q ue n ce s of t e c hnol og y.

9 . 3 .1 Liabilit y ve rs us r egu latio n

Lia b il it y is o ne of t h e l e g a l t o ol s t ha t ca n b e us ed t o d e a l w i t h t he so ci a l
co n se q ue n ce s of t e c hn ol og y. It i s , how e ve r, no t t he o nl y p os s ib le t ool . T he ot he r
ma i n l eg a l t oo l i s re g u la t i on. R e g ul a t i on c a n f or b id t he d e v e l op me nt , p r od uc t i on o r
us e of c e rt a i n t e c h no l og i ca l p r o d uc t s , b ut m or e of t e n i t f or mu la t e s a s e t of t he
b o und a r y c o nd it i o ns f or t h e d e s i g n, p r od u ct io n a nd use of t e c hn ol ogi e s. I n c ha p te r
6 , w e ha ve s e e n t ha t s u ch r e g ul a t i o ns t og e t he r f o rm a r e g ul a t i ve fr a me w o r k f o r
t he d e si g n of a t e c h no log y . I f s u c h a re g u la t ive f ra m ew o r k m e e t s c e rt a i n
co n di t io ns, it ca n be c on si d e r e d a n a de q ua te w a y of d e a li ng w it h t he e t hi ca l i s s ue s
r a is e d b y t he d e s ig n o f a t e c hnol og y a s w e h a ve se e n. How e ve r , su c h r e g ul a t i ve
f r a me w or ks a r e us ua l l y a bs e nt i n t h e c as e o f r a di ca l, i n no va t i ve d e si g n. O n e
r e a s o n f o r t h is is t ha t r e g ul a t i o n i s us ual l y b a se d on o ur c ur re nt k now le d g e of a
t e c h no l og y a nd i t s c ons eq ue nc e s a nd o n p a st e x p e r i e nc e s wi t h t ha t t e ch n ol og y.
Re g u la t io n is t he re f or e of t e n n ot a bl e t o d e al w i t h i nno va t io n. A s a c o nse q ue nc e ,
r e g ula t i on w i ll e it her h a ve t o f or b i d ce r t a i n i n no va t io n s or w il l la g b e hi nd t h e
t e c h no l og i c al d e ve l op me n t s. Gi ve n t he l a rg e e c o no mi c a nd s o ci a l b e ne f i t s of
in n ova ti on, mo st of t od a y s go ve r n me nt s r e f r a i n fr om r e g u l at i on t h at f or bi ds
ce r t a i n in no va t i o ns o ut r ig ht . T he c o ns eq ue nc e i s t hat r e g ul at i on t e nd s t o la g
b e hi nd t e ch nol og ic a l d e ve l op me nt a nd it s c ons e q ue nce s . T hi s i s p r i ma r il y a
p r ob le m of l a c k of k no wl e d g e a nd e xp e ri e nc e , b ut it i s f ur t he r ag g r av at e d by t he
f a ct t ha t l e g a l r e g ul at i on i s a l on g a nd cu mb e r s ome p r o ce s s . E ve n if c e r t a i n
ne ga t i ve c o nse q ue nc e s of a t ec hn ol og y a re d is c ove r e d i t ma y t a k e ye a r s b e f or e
t he y a r e a de q ua te l y a d d r e s s e d i n ne w r eg u l a t io n s. I n s uc h si t ua t i on s, l i a bi lit y ma y
p r ov i de a n a tt r a ct i ve a lt e r na t iv e l eg a l f r a m e w or k f or de a li ng w it h the s oc i a l
co n se q ue n ce s of t e c hn ol og y. T he a dv a n t a ge of l i ab i lit y i s t ha t it d oe s no t r e q ui r e
t he g ov e r nm e nt t o f o r e se e t he co n se q ue n ce s of ne w t e ch nol og y b ut r a t he r ma ke s
t he o ne s d e vel opi ng t hos e t e c hn ol og i e s, u su al l y co mp a ni e s a n d t h e e ng i ne e r s
e mp l o ye d b y t h e m, le g a ll y l ia b le f or t h o se c o ns eq ue nc e s un d e r c er t a in c o nd i t i o ns .
O ne mi g ht a r g ue t h a t t hi s pl a c e s t he r e sp on si b i li ty w he r e i t c a n b e me t be st : in
t he ha n ds of t h e on e s d e v e l op i n g t e c h nol og y . T he y ha ve th e b e st k no w le d g e of
ne w i nno va t io ns a nd t he i r p o ss i b l e e ff e ct s a nd a re i n t he b e st p o si t io n t o a v oi d
ce r t a i n di sa d v a nt a g es . M or e ove r , a s c he me o f l ia b il i t y w o uld s t im ul a te t he m t o
181
S e e f o r e x a m p l e t h e d is c u s s io n o f T h e S la v en b u r g ba n k c a s e in B o v e n s ( 1 9 9 8 , p p . 8 0 -
85)

139
e mp l o y t he i r ( a ct i ve ) mor a l r e s p o n sib il i t y. A ne xt q ue st i on t he n is : w ha t i s t he b e st
f orm of l ia b il i t y t o st i m u la t e t h is ?

9 . 3 .2 Negli gen ce ver s us st rict lia bi lit y

T he c o nd i t i on s t ha t ha ve t o b e m e t f o r s om e one t o be l ia b le d ep e n d o n t he l aw a nd
ma y d if f e r t he r e fo r e f r om c ou nt r y t o c ou nt r y . Ne ve rt he le ss , i n l a rg e p a r t s of t he
We st e r n w or l d , t he ma in c o nd i t i on f o r l i ab il i t y is ne g l i ge n ce . I n o r d e r t o c la im
ne g l i g e nc e, p r oof m us t b e g i ve n of :

1 . A d ut y owe d . Th is i s u sua ll y a d ut y of ca r e , whi c h i s t he l e ga l ob l i ga t i on

t ha t i nd iv i d ua ls a d he r e t o a re a s o na b le st a nd a r d of ca r e w h il e pe r f orm in g
a n y a c t s t ha t co ul d f or e se e a bl y har m ot he r s. F or e ng i ne e r s, t he s t a nd a r d of
ca r e b ot h de p e n ds o n w ha t t he p u b l ic c a n r e a so na b l y e xp e ct f r om e ng i ne e r s
a nd w ha t i s c om m on p ra c t i ce in e ng in e e r i n g. T he d ut y of ca r e i s t h us b a s e d
on t he so me t im e s i mp l i c it m or a l r e s p on si b i l it i e s of e n g i ne e r s a n d ne e d not
b e ma d e e x p li ci t i n t he l a w;
2 . A br e a ch of t ha t d u t y;
3 . A n i nj u r y o r d a ma g e ;
4 . A c a us al co nne ct i o n b et w e e n t he b r e a ch a nd t he i nj ur y o r d a ma g e .

Ne g li ge n ce d oe s n ot r e q u ir e t ha t t he d e f en d a nt a c t ua ll y f or e sa w t he d am a ge b u t
t ha t a r e a s o na b le p e r s on i n t h e p os i ti on of t he d e f e nd a nt co ul d ha ve f or e se e n t he
d a ma g e . ( T hi s i s p a r t of t he d ut y of c ar e ) .

I n c ont r a s t t o ne g l ig e nc e, s t r i ct l ia b i l it y do e s no t re q uir e t he de f e nd a nt t o b e
ne g l i g e nt i n o r de r t o b e li a bl e . I t is u s ua l l y e no u gh t ha t t h e d e f e nd a nt e ng a g e d i n
a r i s ky a ct i vi t y a nd t ha t t hi s a ct i v i t y c a us e d t he d a ma g e do ne . T e c h no lo g i ca l
in n ova ti on i s ob vi ous l y a r i s k y a ct iv it y i n t he se ns e t ha t it mig ht p r od uce u n know n
ha za r d s t o so ci et y. S o in nova t i on i s a p os si b l e c a n d id a t e f or st r i ct l i a bi lit y. I n f a c t ,
t he U S a nd th e co u nt r i e s of t he E u ro p e a n U n i on k now p r od u ct l i ab i l it y, w hi ch
ma ke s a ma n uf a c t ur e r l ia b le f or d e f e ct s i n a pr od uc t, w i t h o ut t h e ne e d t o p r oof
t ha t t ha t m a nuf a ct ur e r a ct e d ne g l ig e nt l y.

EU C o un c i l D i r ec ti v e 8 5/ 3 74 /E E C f or pr o du c t l i a bi l i ty

A rt i c l e 1 : T he p r od u ce r s ha ll b e lia b le f or da ma g e ca u se d b y a d e f e c t i n hi s
p r od uc t .

A rt i c l e 4 : T he i nj u r e d p e r s o n s ha l l b e r e q ui r ed t o pr o v e t he d a ma g e, t he de f e ct
a nd t he ca us a l r el a t io ns hi p b e t w e e n d e f ec t a nd da m ag e .

A rt i c l e 6 . 1 A pr od uc t i s d ef e c t i ve w h e n i t d o e s no t p r o v id e t he sa f e t y w hi c h a
p e rs on is e nt it l ed t o e xpe ct , t a k in g a l l c i r c u m st a n ce s i nt o a c co u nt ( )
A rt i c l e 7 T he pr od uce r s ha l l no t b e l ia b l e a s a re su l t of t hi s D ir e ct i ve i f he p r o ve s:
( )
( e ) t hat t he st a t e of s ci e nt if i c a nd t e c h ni ca l k now l e d g e a t t he t i me w h en he pu t
t he p r od u ct i nt o cir c ul a t io n wa s not s u c h a s t o e na bl e t he e xi st e n c e of t h e d ef e c t
t o be d is c ov er e d ( )

A rt i c l e 1 5. 1 ( b) : Ea c h M e mb er St a t e ma y b y w a y of de r og a t i on f r o m A r t i c le 7 (e ) ,
ma i nt a i n or ( ) p ro v i d e i n t h is l eg i s la t i o n t h a t t he p r od u ce r s hal l b e lia b le e ve n i f
he pr o ve s t ha t t h e s t a t e of s ci e n t if i c a n d t e c hni ca l k n ow l ed g e a t t h e t im e w he n he
p ut t he pr od uct i nt o c i r c ula t i on w a s no t s u c h a s t o e na b l e t he e x is t e n ce of a de f e ct
t o be d is c ov er e d .

140
O ne re a so n f or a p pl yi n g s t ri ct lia b i l it y t o t e c h nolo gi ca l p r od u ct s i s t ha t it m ot i va t e s
e ng i ne e r s a n d t he ot h e r p e o p le i n vol v e d in i n no va t io n t o b e v e r y c a r e f u l, e . g. b y
in ve st i g a t i n g p o ss i b le ha za rd s a nd ta ki ng p r e c a ut i o ns. St r i ct lia b il i t y wi l l t he r ef o r e
p r ob a b ly r e s ul t i n hi g h e r l e v e l of sa f e t y. I t m a y in f a ct be t he o n ly w a y t o m e e t
M il l s f r e e d om p r i n ci p l e ( C ha p t e r 3 ) or t he p r i nc ipl e of i nf orm e d c o ns e n t ( C ha p t e r
8 ) f or t e c hn ol og i ca l r i s ks. 182 Bo t h p r i nc i p l e s f o r b id s ub je ct in g p e o p le t o ( u nk now n)
r is k s unle s s t he y ha ve c onse nt e d t o t he r is k s o r t he ha za r d ous a c t i v it y.

St r i ct l ia b il i t y, how e ve r , a l s o ha s d i sa d va nt a ge s . Fi rs t , s t r i ct lia b il i t y ma y w e ll sl ow
d ow n t h e p a ce of i n no va t io n. T hi s i s of t e n c on si d e re d u nde s i r a b l e b e ca u se
in n ova ti on i s a n i m p or t a nt s our ce of s oc i a l a nd t e chn ol og i ca l p r og r e ss i n t od a y s
so ci e t y. A g a i ns t t his , i t ma y b e a r g ue d t ha t st r i c t l ia b i li t y d oe s not o ut la w
in n ova ti on, b ut o nl y r e qu ir e s ca r e f ul i n nova t i on.

Se co nd , it se e ms m ora l l y u nf a i r t o ho l d p e op l e l ia b le w he n t he y a r e not a t f a ul t or
co u ld not ha ve f or e se e n t he da m ag e . I f s t ri ct lia b il it y is a p p lie d , e ng i ne e r s or t he
co r p or a t io ns f or w h ic h t he y w or k m a y w e ll b e l ia b le f or t he ha za r d s of a
t e c h no l og y, w hi le t he y a r e not mo r a ll y r e sp o ns ib l e ( i f m ora l r e s p o n sib il i t y i s
u nd e r st ood in t e r ms of t he co n di t io ns d i s c us s e d i n c ha p te r 1 ). O n t he ot he r ha nd it
a ls o s ee m s unf a ir t o t he p ot e nt ia l vi ct ims t h a t t he y ha ve t o b e a r t he d a ma g e : t he y
co u ld ha ve d one e ve n le s s t ha n t h e e ng in e e r s t o p r e ve nt t h e d a ma g e . I n f a ct , on e
of t he mo t i va t i o ns f o r t he Eu r o pe a n U ni o n t o i nt r od u ce p r od u ct lia b il it y is t ha t
st r i ct l ia b i li t y ( a l so ca l le d li a b i l it y w it ho ut f a ult ) i n t he ir vie w w oul d r e s ult i n a
f a ir e r d i s t ri b ut io n of t he ri sk s a n d b e n e f it s of te c h no lo g i ca l i nno v a t io n:

l ia b i li t y w i t h ou t f a ult o n t he pa r t of t h e pr o d uc er is t he so le m e a n s of
a d e q ua t e l y s ol v in g t he pr ob le m, p e c u lia r t o ou r a g e of i n cr ea s in g
t e c h ni ca l i t y, of a f a i r a pp o r t i o nm e nt of t he r is ks i nhe r e nt i n mo d e r n
t e c h nol o gi ca l p r od u ct i on. 183

Ne ve r t he le s s, t he E U d ir e ct i ve f or p r od u ct l ia b il it y ma ke s a n e x ce pt i on f or d e f e ct s
t ha t c o ul d not ha ve be e n f or e se e n gi ve n t he st a te of s ci e nt if i c a nd t e c h ni ca l
k now l e d g e a t t he t i me t h e p r o d uc t w a s p ut i nt o ci r c ul a t i o n ( s e e b o x) . 184 Su c h
u nf or e se e a bl e r i s k s a r e c a lle d d e ve l op me nt s r i sk s a n d m os t sc he m e s of p ro d u ct
li a b i li t y m a ke a n e xc e pt i on f o r d e v e l op me nt r is k s.

T he e x ce p t i o n f o r d e v e l op me nt ri s ks i s b a s e d o n t w o co n sid e r a t i o ns . O ne is t h a t
ot he r w ise i nno va ti on w o uld be t oo m uc h ha mp e r e d . T he ot he r i s t he c o nc e r n t hat
it w o ul d be m or a l l y u n f a ir t o ma k e ma n uf a c t ur e rs re sp o nsi b le f o r d a ma g e t he y
ca nn ot f or e s e e . A lt h ou g h b ot h co ns id er a t io n s a re r e a so nab le , i t i s q ue st i ona b l e
w het he r t he y p r o vi d e a c o nc l us iv e a r g um e nt f or e x c l ud i ng t he d e v e lo pm e nt r i s k
f r om lia b i l it y. F ir st , e x cl ud i ng t h e d ev e l op me nt r i s ks f r o m l i a b i li t y s e e ms t o p ut a
b o nus o n not d e v el op i ng s ci e nt i fi c a n d t e c h nol og i ca l k now l ed g e a b ou t t he p ot e nt ia l
ha r m s of ne w p ro d uc t s . As s oo n a s su c h k no w le d g e is a va il a b l e, l ia b il i t y ma y
a p pl y. T hi s is ob v io us l y a n und e s ir a b le e ff e c t f r o m t he p oi nt of v i e w of
e f f e ct iv e n es s b e ca us e i t m ig ht m e a n t ha t s oc i e t y i s u nne ce s s a r y s u b je ct t o c er t a i n
r is k s . Se c o nd , e ve n if it m a y b e im po ss ib l e t o p r e di c t a ll t h e da n g e rs of a n e w
t e c h no l og y b e for e ha n d a n d t he r e a re g o od r e as ons t o s up po se s o a s w e sa w in
C ha p t e r 8 it is n ot ob v io u s t ha t t he vi ct im s of the ye t un k now n r i sk s s ho ul d b e ar
t he d a ma g e ra t he r t ha n t he o ne s ha vi n g i nt r od uc e d t he pr o d uc t or so c ie t y a s a
w h ol e . T he f a i r ne ss a r g um e nt of t he E U f o r p r o d uc t l i a b i li t y se e m s to a p p l y t o t he
d e v e l opm e nt r is k a s w e ll .

182
S e e Z a n d vo o r t ( 2 0 0 0 ) .
183
C o u n c i l D ir ec t i ve 8 5 / 3 7 4 / E E C
184
C o u n t r ies a r e f r e e n o t t o in c o r p o r a t e t h is e x c e p t io n in t h ei r n a t io n a l la w , b u t m o s t E U
c o u n t r i es h a ve f o l lo w e d t h e d ir ec t iv e in t h i s

141
9 . 3 .3 Corpo rate lia bi lit y

N ot o nl y i n di vi d ual pe r so ns, b ut a ls o c or p ora t io n s ca n b e he l d l i a b l e f or t he la w . I n

su c h ca se s, t h e co rp or a t i on is tr e a t e d a s a le g a l pe r so n. A ma in a d va nt a g e of
co r p or a t e l ia b il i t y i s t h a t vi ct i ms or t he g o ve r nm ent d o no t ne e d t o f ind o ut w hi c h
in d i vi dua ls i n a com pa n y w e r e r e s p on si bl e fo r , f or e xa mp l e , a d e f e c t i n a p r od u ct
b ut t ha t t h e y ca n s im p l y s ue t he co mp a n y a s a le g a l p e rs on. I f t he co mp a n y a s a
le g a l p e r s o n i s c o nv i ct e d i t i s b o und t o p a y a fi n e or c omp e ns a te t h e d a ma g e d one .

De sp i t e t h is a d va nt a g e , c orp or a t e l i a b i li t y a l s o ha s a num b e r of d i sa d va nt a g es a nd
li mi t a t i o ns. F i r st , c or p or a t io ns , unl i ke na t u ra l pe r s o ns, d o n ot p o ss es s a
co n sc i e n ce . T he y ha ve `n o so ul t o d a mn a nd n o bo d y t o k i c k '. 185 T h e y c a n not be
p ut i n p r i s on f or e xa m p le . T he r e f or e , le g a l i ns t r ume nt s t ha t a re r e a so na b l y
e f f e ct iv e w he n a pp l ie d t o na tu r a l p e rs o ns a r e not n ec es sa r i l y e f f e c t iv e w he n it
co me s t o co r p or a t io ns .

Se co nd , mo st mo d e r n co r p or a t io n s a r e c ha r a c t e r iz e d b y l i mi t e d lia b il it y. Th i s
me a n s t ha t t he s har e h ol d er s a r e l ia b l e f or t h e c or po r a t i o ns d e bt s a nd ob l i g at i ons
u nt i l t he va l ue of t he ir s ha r e s. C or po r a t i o ns ma y, how e ve r , w e l l i nf li c t m or e
d a ma g e t ha n t he t ot a l va l ue of t he i r s ha r e s. Th is add it i ona l d a ma g e is t he n t o be
b or ne b y t h e vi ct i ms. T hi s p oi nt i s f ur t he r a g g ra vat e d b y t he f a c t t ha t c om pa nie s,
u nl i ke na t ur a l p e rs ons , ca n d isa p p e a r b y b e i ng s p lit up , m e r g e r s o r b a n kr up t c y.
B an k r u pt c y, m e r g e r s or s p li t ti ng up a r e s ome t im e s a de l ib e r a t e st r a t e g y e mp l o ye d
b y c or p o r a te of f i ci a ls t o a v oi d o r l im i t l i a b i li t y cl a i m s.

T hi rd , b ot h t he m ora l f a ir n e s s a nd t he e f f ec t i ve ne s s of c or p o ra t e li a b il it y t o a l a r g e
e xt e nt d e pe nd on h ow t h e l ia b il i t y of t he c or p or a ti on i s t ra nsl at e d t o i nd i v i d ua l s
w it hi n t he o r ga ni z at i on. A l ia b il i t y cla im on a c om p a n y m a y, fo r e x a mp le , r es ul t i n
t he d i s m is sa l of e mp lo ye e s w ho d id not p a r t a ke i n t he d a m a g e for w hi c h
co mp e n sa t i o n i s c l ai m e d . O n t he ot he r ha nd , m a na g e rs w h o p la ye d a ma j or r ol e i n
t he d a ma g e do ne ma y g e t of f t he h ook . T hi s i s e sp e cia l l y t he ca se i f t he ir
b e ha v i our w a s no t i l le g al a nd if n o in di vi d ua l l ia bi l it y o n t h e ir p a r t ca n be s ho w n.
T hi s p oi nt d r a ws at t e n t io n t o t he a ll oca ti on of r e s p o ns i bi lit y i n or g a ni z a ti ons , a
t he m e t ha t w i ll be d i s c us se d n e xt .

9.4 R es po ns i bi l i ty i n or g a n i za ti o n s 186

M os t m o de r n or g a ni za t io ns a re c ha r a c te r is e d b y a di vi si o n of t a s ks a nd r ole s. T hi s
ha s im pl ic a t i on s f or w ho c a n b e he l d r e sp o ns ib le f or w h a t i n t he or g a niza t i on s. I n
t hi s se c ti on, w e wi l l d i sc u ss t hre e d if f e r e nt mod e ls f o r al lo ca t i ng r e sp o nsi b i l it y i n
or ga n iz at i on s:

1 . T he h ie r a rc hi ca l mod e l w he r e t ho se hi g he s t i n t he o r ga ni za t i on s hi e ra r c hy
a r e he l d r e s p on si b l e ;
2 . T he c ol l e ct i ve mo d e l i n w hi c h ea c h m e m be r of t he org a niza t i on i s he l d t o be
jo i nt l y a n d s e v er a ll y r e sp o nsi b le f o r t he a c t s of the o rg a ni za t i o n a s a w ho le ;
3 . T he i nd i v i d ua l m od e l i n w h ic h e a ch me mb e r of t he or g a niz a ti on i s hel d
r e sp ons i b l e in re l at i on t o hi s o r he r c ont r ib u ti on

T he mo d e l s a r e in t he f ir st p la c e i nt e n de d t o e s ta bl i s h w h o is p a ss i ve l y r e sp onsi b le
f or u nd e s i r a b l e c on se q ue nc es . Whi c h m ode l i s a ct ua l ly a p p li c a b le d e p e nd s t o a n
im p or t a nt d e gr e e o n t he f or ma l a n d a ct ua l or g a ni za ti on al f or m of a n or g a ni za t io n.
We m i g ht a l so p os e t h e n or ma t i ve q ue st i o n of w hi c h m od el c o ul d b e st b e ap p li e d ,

185
A t t r ib u t ed t o E d w a r d T h u r l o w , 1 s t B a r o n T h u r lo w ( 9 D ec em b er 1 7 3 1 1 2 S e p t e m b er
1806).
186
T h is s e c t i o n is b a s e d o n B o v en s ( 1 9 9 8 ) .

142
no t on l y f o r a l l oca t i ng p a s s i ve r e s p o nsi b i lit y ( a fte r s ome t h i ng ha s ha p p e ne d ) b ut
a ls o f o r t he d ist r ib ut i o n of a ct i v e r e sp ons i bi li t y. T w o c on si de r a t io n s a re t h e n,
a g a i n, im p o rt a nt . Fi r st , whe t he r t he m od e l i s mo r a ll y f a ir i n h ow i t a l lo ca t es
r e sp ons i b i li ty a nd , se c ond , w het he r , i t is e f f e ct iv e i n a v oi d i ng un d es ir a bl e
b e ha v i our . Be l ow , w e wi ll d i s c us s t he se is s u e s f or th e t hre e m od e l s.

Hierar chical re sp ons ibilit y

I n t he ca se of hi e r a r c hi ca l r e sp o ns ib i li t y it i s o n l y t he or g a ni sa t i o n's t o p t ha t i s
r e sp ons i b l e f or t h e a ct i ons of t he or g a n is a ti o n. T he hi e r a r c hi ca l m o d e l is a tt r a c t i ve
b e ca us e of i ts re la t i ve s i mp l i cit y a n d c la ri t y. I n p re s e n t -d a y p ra c ti ce , t hou g h, t h e
hie r a r c hi ca l r e s p o ns i bi lit y mod e l i s not a lw a y s e f f e ct i ve i n p re ve nt i ng u n de s ir a bl e
co n se q ue n ce s. A ma i n re a s o n f o r t h is i s t he f a ct t h at t he ma na g e r s of
or ga n is at i on s a r e of t e n, t o a n e xte nt , o ut s i d e r s w it hi n t he i r ow n or g a ni sa t i o n. I n
p r a c ti ce it is of t e n ve r y d if f i c ul t f or e x e c ut i v e s w i t hi n a n or g a ni sa t i on t o g e t hol d
of t he r i g h t i nf or ma t i o n in ti me or t o e f fe c ti v e ly s t e e r t he be ha vi ou r of l ow e r
or ga n is at i ona l u nit s. N e ve r t he le s s, t he k now l e dg e t ha t t he y w i l l l at e r ha ve t o
a c co u nt f or da m ag e d on e b y t he or g a n iza t i on ma y m oti va t e ma n g e r s t o g at he r t he
ne ce ssa r y know le d g e and t o b e t t e r s t e e r t h e o rg a ni za t i o n. Th e hi e r ar c hi c a l
r e sp ons i b i li ty m od e l a l so se e ms s om ew ha t m ora l l y unf a ir . I f ma na g e r s a re n ot w e l l
inf or m e d a b o ut w ha t i s g oi ng o n wi t hi n t he i r or g a nisa t i o n a nd a re on l y a b le t o
st e e r t o a li mit e d de g r ee , h ow ca n t h e y t he n f ai r l y b e h e ld r e s p o ns i bl e fo r
u nd e si r a b l e a ct i v i t ie s ? T he r e f o re , t he a l l o ca t io n of r e sp ons i b ili ty a l on g st r ic t
hie r a r c hi ca l l i ne s m a y l e a d t o m or a l o b je ct i ons.

Col le ctive re sp ons ibility

Wit h t he co l le ct iv e r e s p ons i bi li t y m od e l e ve r y me mb e r of a c ol le c ti ve bo d y i s
r e sp ons i b l e f or t h e a ct i ons of t he ot her me m be r s of t ha t sa m e co ll e ct iv e b od y. T he
co ll e ct i ve r es po n si b i li t y mo d e l is not ve r y a t t r ac t i ve t o l ar g e or g a n i sa t i o ns, b ec a us e
it i s not p o ss ib l e t o a ll oca t e r e s p on si b i l it y i n d if f e r i n g d e g r e e s t o i n d i vi d ua l
me m be r s of t he c oll e c t iv e . E ve r yo n e i s r es p on si bl e t o a n e q u a l d e gr e e f or t he
a ct i o ns of t he c oll e c t i v e b od y. I nd i vi d ua l d if f e r e nc es i n b e i ng a t f a ul t o r b e i ng a b le
t o pr e ve nt c e r t a in d a m a ge ca n not b e a c co unt e d fo r in t hi s m od e l. Th i s is of t e n
se e n a s m or a l l y u na c c e pt a b le . A n ot her d i sa d va nta g e of c ol le ct iv e r e sp o ns i b i li t y is
t ha t n o one i n p a rt i c ul a r t e nd s to f e e l mo r a l l y r e s p o ns ib le f or t he c ons e q u e n ce s of
t he a c t i vit ie s of t he or ga n is a t i o n a s a w h ol e . I n f a ct , e ve r y o ne i s h el d e q ua l ly
r e sp ons i b l e f or t h e a ct i ons of t he w h ole , w he t he r p e op l e a s i ndi v id ua l s ha v e
co nt ri bu t e d t o t hat or no t . I n su c h a s it ua t i o n i t qu i c k l y b ec om e s a t tr a ct i ve t o le t
som e o ne el se b ur n he r of hi s f in g er s, e sp e ci al l y i n l ar g e or g a ni sa t i on s. C ol l e ct i ve
r e sp ons i b i li ty w ou ld onl y s e e m t o b e a pp l i ca b le i n a num b e r of m or e e x ce p t i ona l
ca s e s . O ne im po r t a nt co n di t io n w h e n i t c om e s t o i n tr od uci ng c ol le ct i ve
r e sp ons i b i li ty i s t ha t t he m e m b e r s of t he c ol le c t i ve m ust b e a bl e t o e f f e ct i v e l y
inf l ue n ce e a c h o t h er . 187 Thi s d e ma nd s sm a l l -s c a le n e s s a nd e q ua li t y b e t w ee n t he
me m be r s of t he c oll e c t iv e . I n la r g e or g a ni sa t io ns t hi s c on di t i o n i s us ua l l y n ot m et .
O ne p os s ib il i t y w o uld b e t o st r iv e t owa r d s a c hie vi n g sma l l e r o r ga n is a t i ons w i th
g r ea t e r so lid a r it y.

Individual res po n sib il it y

I n t he in d i vi d ua l r e s po ns i bi lit y m od e l e a c h in d i vid ua l i s he ld r e sp on si b l e in s of a r a s
he or s he me e t s t he c on d it io n s f or i nd i vi d ua l r e sp o ns ib i li t y as di s c us se d i n C ha p t e r

187
B o ven s a c t u a l l y g i v es f o u r c o n d it i o n s u n d er w h ic h c o l l ec t iv e l i a b il it y c a n b e u s ef u l l y
applied (1998, p. 103):
1 ) T h e c o l l e c t i v e m u s t b e c h a r a c t e r i s e d b y a h i g h d eg r ee o f d e f a c t o s o l i d a r i t y .
2 ) E f f i c i e n t , p r o f es s io n a l s u p er v is io n f r o m o u t s id e is n o t f e a s i b l e .
3 ) T h o s e w h o a r e h el d r es p o n s i b l e f o r t h e c o n d u c t o f o t h er m e m b er s o r t h e c o l l ec t i v e
s h o u ld b e a w a r e b ef o r eh a n d t h a t s u c h a m o d e l o f r e s p o n s ib i li t y w i l l b e e m p lo y e d .
4 ) T h o s e w h o a r e h el d r es p o n s i b l e s h o u ld h a v e t h e c h a n c e t o e x er c i s e a c er t a i n d e g r e e o f
i n f lu en c e o n t h e e v en t u a l o u t c o m e.

143
1 . A m ai n a d va nta g e i n t hi s mo d e l i s t ha t i s i t i s mo r a ll y f a ir . T he mod e l a ls o m ig ht
se e m e f f e ct i ve b e ca us e it e nc o ur a g e s i nd iv i d ua l s t o b e ha ve r e s p o ns ib l y.
Ne ve r t he le s s, a s w e h a ve se e n, i n di vi d ua l m ora l re sp o ns ib i l it y ma y le a d t o t he
p r ob le m s of m a ny ha nd s : t he or g a ni za t i o n m a y c oll e ct i v e b r in g a b o ut u nd es ir a b l e
co n se q ue n ce s f o r w h ic h n o i n di vi d ua l ca n be he ld re s p on si b le . T hi s is un d e s ir a b le .
O ne ne e d , how e ve r, n ot c onc l u de f r om t hi s t ha t t h e i nd i v i d ua l m o d e l s ho uld ne v er
b e a p p l i e d. O ne a l so c ou ld tr y t o av oi d t he p r ob le m of ma n y ha nd s t hr o ug h ce r t a i n
or ga n iz at i ona l m ea s ur e s, li ke t he b e tt e r s ha r i ng of inf or m a t i o n or e mp ow e r i ng
in d i vi dua l e mp lo ye e s s o t ha t t he y ca n l i ve b y th e ir i nd i vi d ua l r e sp ons i b i li t y .

Con cl us io n
O b vi ou sl y, no ne of t he mo d e l s d i s c u sse d i s i de a l i n t e r m s of m or a l f a ir ne s s a nd
e f f e ct iv e n es s. Th e r e is n o si ng le a ns we r t o t he q ue s t i on h ow r e sp o ns ib i li t y c a n
b e st be a l l o ca t e d in o r g a n iz at i on s. I t s hou ld b e no t e d t ha t w hi c h m ode l c a n b e b e s t
a p pl ie d i n a p a r t i c ula r ca s e p a r t l y d e p e nd s o n how t he o r ga ni z at i on in q ue s t i o n i s
a ct ua l l y or ga n iz e d ( a nd o n t he le g a l s t a t us of t he or g a ni za t i o n). I f an or ga n iz a t i on
is , f or e xa m p le o rg a ni ze d a lo n g s tr i c t l y hie r a r c hi ca l l i ne s, it w il l b e b ot h m ora l l y
u nf a i r a nd i nef f e c t i v e t o a p pl y t he c oll ec ti ve re s po n si b il it y m od e l. The r e l a t i o n,
ho we ve r , a ls o w or k s i n t he o th e r di r e c t i on: if a cer ta i n r e s p o ns ib il i t y m ode l i s
j ud g e d mo st d e sir a b le in a pa r t i c ul a r sit ua t io n or f or a p a rt i c ul a r t a sk, a t t e m p ts
ca n b e m a d e t o ma ke the o rg a ni za t i o n f it t he r e sp ons i b i li t y mo de l . T he b ox
d is c us se s a si t u a t i on i n w h ic h a d e si g n te a m ha s t o be s et u p a nd a c hoi ce ha s t o
b e ma d e f or a c e r t a i n r e sp ons i b i li t y m od e l a nd h e n ce f or ce r t a i n or g a ni za t i on al
se t -up of t he d e sig n t e a m .

H o w s h o ul d th e r es p on s i bi l i ty f or s a f e ty be al l o c a t ed ?

S up p os e t ha t yo u a r e w or ki n g a s a n e n g i ne e r f o r a c om p a n y p r od u ci ng c a r s . T he
he a d of t he R & D d e p a r tm e nt a s ks y ou t o s e t u p a de si g n t e a m f o r t he de s ig n of a
ne w t yp e of t r u ck. O ne of t he i ss ue s y o u w il l ha v e t o t a k e i nt o a c c ou nt w he n
se t t in g up t he d e s i g n t e am i s h ow t o a ll oc a te t h e re sp o ns ib il i t y f or t he s a f et y of
t he t r u c k. I n t h is ca s e , t he q ue s t i on i s no t how t o a l l o ca t e t h e r es po ns i bi lit y f or
sa f e t y gi ve n a c e r t a in or g a ni za t io na l s e t -u p , b ut ra t he r how t o b e s t a ll oc at e t h is
r e sp ons i b i li ty a nd of , ne xt , fi nd i ng a n or g a ni za t i o nal se t -up t ha t m a t c he s t ha t
a ll oc a t i on. ( O b vi o us l y, i n yo ur co n sid e r at i on s o t her c o nc e r ns t ha n the
r e sp ons i b i li ty f o r s a f e t y w i l l p la y a r ol e , b ut we w i l l le a ve a s i de s u c h co n ce rn s f or
t he m om e nt ) . In t hi s c a se , yo u c o ul d s t a r t w i t h f or mu la t i n g t he d e s id e r a t a f or a n
a ll oc a t i on of re s p on si b i lit y f or s a fe t y. O ne c oul d t hi n k, f or e xa m p le , of t he
f oll ow i n g d es i d e ra t a :
1 . A ll i nd i v i d ua l s ( or g r o up s ) t o w hi c h a ce r t a i n re s po n sib il it y i s a l l o ca t e d
sh o ul d be a b le t o l i ve up t o t ho se r e sp ons i b i li t i e s;
2 . F or o ut s id e r s, i. e . p e op le n ot me m b e r of t he d e sig n t e am , it s houl d b e cle a r
w h om t o a d d r e s s if t he r e is a c on ce r n or q u e st i o n a b o ut t he sa f e t y of t he
t r uc k ;
3 . T he a ll oc a ti o n of r e s p on si bi l it i es s hou ld b e e ff e ct i v e i n t he se nse of
r e s ult i ng i n a s a fe t r uc k.

Di ff e r e nt m od e l s or c o mb i na t io ns of m od e ls f or a ll oc at i ng r e sp ons i b i li t y c o ul d b e
co n sid e r e d f o r a c hi e v i ng t hi s. F or e xa m p l e :
1 . T he h ie r a rc hi ca l mod e l , in w hi ch t he le a d e r o f t he d e si g n t e a m i s
r e sp ons i b l e f or sa f e t y;
2 . T he c ol l e ct i ve mo d e l, i n w hi c h al l d e si g n t ea m me mbe rs ar e e q ua l l y
r e sp ons i b l e f or t h e s af e t y of t he t r uc k;
3 . T he i nd i v i d ua l m od e l i n w h ic h e a ch me mb e r of t he d e si g n t e am i s
r e sp ons i b l e re l at i ve t o h is or he r i nd iv id ua l c on t ri b ut i o n;

144
 4 . T he r e s p o ns i b il i t y f or sa f e t y c a n a ls o b e a ll oc at e d t o a s p e ci al sa f e ty
of f ic i al . Ma n y o rg a n iza t io n s, f or e x a m p l e, ha ve sp ec ia l H SE (H e a l t h , Sa f et y
a nd E nv ir o nm e nt a l) of f i ce rs f or t hi s t yp e of co n ce r ns .

Wh e n w e e v a l ua te t he se m od el s w i t h t he me nt i o ne d d e si d e r a t a , e a c h se e m s t o
ha ve s p e c if i c p r os a nd c o ns. T he h ie r a r c h ic a l mo d el ma y d o g oo d o n c ond i t i on 2 (a
cl e a r a d dr e s s f or out s i de r s ) , b ut it mi gh t b e q ue st io na b l e w h e t he r t he d e sig n t e am
le a d e r i s a b le t o o v e r s e e a nd st e e r a l l sa f e t y -r e la t e d de c i si o ns, so t hat c o nd it i o n 1
a nd 3 a r e not f ul l y me t . The i nd i v i d ua l m od e l w i l l mo t i va t e a l l d e si g n t e am
me m be r s t o ta ke sa f e t y se r io us l y. H ow e ve r, g ua r a nt ee i ng t he s a fe t y of t he e nti re
t r uc k m a y r e q ui r e a n i nt e gr a l a p p r oa ch t ha t t a ke s in t o a c c oun t t he i nt e r a c t i o n
b e t we e n di f f e r e nt p a r t s of t he t r uc k t ha t a r e d e s ig ne d b y i nd i v id ua l e ng in e e r s ( or
su b t ea m s ). O n t he i nd i vi d ua l m od e l , no b od y ma y b e r e s p o ns ib l e f or t hi s
int e r a c ti o n, w hi c h ma y ha ve d i sa st r o us r e su lt s f o r s a fe t y, f o r w hi c h i t i s v e r y
d if f i c ul t t o h ol d a n y of th e i n d i vi d ua l d e s ig n t ea m m e mb e r s re sp o n sib le ; he n ce t he
in d i vi dua l m od e l m a y no t m e e t d e s i de r a t um 2 ( a dd r e ss) a nd 3 (e f f e ct iv e n e s s) . O n
t he c ol le ct i ve m od e l, t he w h ol e t e a m ( e a c h i nd iv id ua l me m be r ) c a n b e a d d r e s se d
f or f a i l ure t o a p p r oa c h s af e t y i n a n i n te g r a l w a y. I t i s , how e ver , q ue s t i o na b l e
w het he r t h is mo de l i s e f f e ct iv e ( d e s i de r a t um 3) a nd f a ir ( de si d er a t um 1) b e ca us e
t he m od e l p r e s u pp ose s t ha t a l l d e si g n te a m m e mb e r s kn ow a nd u nd e r s t a nd w ha t
t he ot he r m em b e r s a r e d oi ng a nd a r e a b l e t o i nf l ue nc e t ha t , w hi c h m a y b e ve r y
d if f i c ul t t o a t ta i n i n p r a ct i ce . F or s uch r e a s o ns , o ne c oul d c hoo se f or a p p oi nt i n g a
sa f e t y off i cia l w ho i s r e sp o ns i b le f o r a n in t e g r a l a p p r o a c h (t he f o u r th m od e l) ,
p o ssi b l y i n c om b i na t i on w it h t he i nd i vi d ua l mod e l, s o t ha t e a c h t e am me mb e r i s
a ls o r e sp o ns ib le f or hi s or he r ow n c ont r ib ut i on.

I n t he ph i l os op hi c a l l i t e r a t ur e o n r e s p o ns i b il i t y, q u it e so me a ut hor s ha ve p l e a d e d
f or r e i nfor c i n g t he i nd i vi d u a l mo d e l. 188 I t sh o ul d b e not e d t ha t if a c h oi ce is ma d e
for t h e i n d i vi d ua l mo d e l, t hi s w oul d r e q ui re c ha n ge s i n t he wa y m ost or g a ni za t i on s
a r e c ur r e nt l y or g a ni ze d . T he i nd i vid ua l m od e l re q uir e s t ha t w it hi n org a ni sa t i o ns
p e op l e h a ve t he f r e e d om t o op e ra t e i n a c t i v e ly r e s p on si bl e way s . 189 I n so me
or ga ni z at i ons s uch f r e e do m i s c urr e nt l y ra t h e r l im it e d. M ore o ve r, t he la w of t e n
a ll oc at e s l ia b il i t y t o t h e or g a ni sa t i on a s a w h ole ( c or p ora t e li a b i lit y ) or t o t he
ow ne r s or ma na g e r s, r at he r t ha n to i nd i v i d u a l e m p l oye e s. A g ai n, t hi s i s a r e fl e ct io n
of t he wa y m ost or g a n iza t i o ns a r e c ur r e nt l y or g a ni ze d a nd of t he l e g a l st a t us of
e mp lo ye e s. A s w e h a ve se e n i n Ch a pt e r 2, f r e e d om of s p e e c h is, f o r e xam p l e , not
g uara nt ee d w it h in or g a ni za t i o ns t o t he sa me d e gr e e a s it is i n t he r el a t i o n b e t w ee n
in d i vi dua ls a nd t he st a t e . Re i nfor c i n g t he i n d i vid ua l m od e l ma y t h us re q uir e m a j or
or ga ni z at i ona l a n d l e g a l ch an g e s. Ap a r t fr om t ha t t he i nd iv id ua l m o d e l ha s t he
g r ea t d i sa d va nt a g e t ha t n o one i n p a r t i c ul a r i s re s po n sib l e f or t he co ll e c t i ve
co n se q ue n ce s of i nd i vi d ua l a ct i o ns. I n a l l t he ot he r m od e ls s om e ki nd of pr o vi s i on
is ma d e fo r t hi s, e ve n t h oug h t he se ot he r m o d e l s ha ve t he ir ow n d i s a d va nt a ge s . I t
t he n se e ms t ha t a c om b i na ti o n of t he m od e l s , t a il ore d t o t he sp e c if ic r e q ui re m e nt s
of t he si t ua t i o n, wi ll o f t e n b e t h e b e st o p ti on.

9.5 R es po ns i bi l i ty d i s tri b u ti o ns a nd t ec h n ol o gi c al d es i gn s 190

N ot o nl y t he la w a nd o r ga n iz a t i on s i nf l ue n ce t he a l lo ca t io n of r e sp ons i b i l ity,
t e c h no l og i c al d e s i g n d oe s t o o. A n e xa m p l e i s t h e a ut oma t ic p il ot in a n a ir pl a ne .
T he a ut om a ti c p il ot t a ke s ov er a n um be r of a c ti ons f r om t h e p i l ot s a nd
co n se q ue nt l y a l s o p a r t s of t he i r t a s k. D e s ig n de ci si on s a b out w hi c h ta s k s t o
a ll oc at e t o t he a ut om a t i c p i l ot a nd w hi c h t o h uma n p i l ot s a re us ua l ly m a d e w it h a n

188
B o v en s ( 1 9 9 8 )
189
H er e i t h a s b e en p r es u m ed t h a t t h e m o d e l c a n o n ly b e i n t r o d u c ed i f t h e o p p o r t u n it i es
a r e c r ea t e d f o r i n d iv i d u a l s w i t h in t h e o r g a n is a t io n t o o p e r a t e in r es p o n s i b l e w a ys .
190
T h is s ec t i o n is b a s e d o n a n d p a r t ly d r a w s f r o m V a n d e P o el ( 2 0 0 7 ) .

145
e ye t o e ffe ct i ve n e s s i n t e r m s of sa fe t y a nd c ost s. Wha t i s l e s s oft e n t a ke n i nt o
a cc o u nt, i s t ha t s u c h d es ig n d e c i s io n s a ls o a ffe c t t he p a ss i ve re sp on si b i l i ty fo r
e r ror s, f or e xa mp l e i n c as e of a n a cc id e nt . For e xa mp l e , if t he a ut oma t ic p il ot is
d e s ig ne d i n a w a y t ha t it ca n o nl y be t ur ne d on a nd off d ur in g t a k e -off a nd
la n d i ng , t he hum a n p il ot s d o not l o ng e r ha ve th e f ree d om t o c orr e c t t he p la ne i n
ca s e of a ca la mi ty d u r i ng f l i g ht a nd c an no l o ng e r be he ld r e s p o ns i b l e i f su c h a
ca l a m i ty r es ul t s i n a d i sa st e r. ( F re e d om t o a c t i s one of t he c on di t i ons f or
r e sp on si b i li ty.) I n s u ch ca se s, t h e d e s i g ne r s ( or b ui l d e r s ) of t he a ut om a t i c p il ot
ma y ra t he r b e t he o ne s t ha t ar e he ld r e sp o n sib le . So me t i me s, h ow e ver, t he y m a y
a ls o no t me e t t he re s p on si b i l i ty co nd i t i o ns , s o t hat n ob od y c a n b e he l d
r e sp on si b le , a nd a pr o b le m of ma ny ha nd s o cc u r s. T hi s m a y be co ns i de r e d a s a n
u nd e si ra b le e ffe ct of t he wa y t he a ut oma t i c pi l ot wa s d e si g ne d i n t he f ir s t p l a ce ,
e ve n if t he m o st e ffe ct i ve d e s ig n, i. e . t he d e sig n t ha t r e s ul t s, f or e xa mp le , i n t h e
low e st n um be r of a c ci d e nt s , wa s c hose n.

A not her im p or t a nt , t h ou g h of t e n ove r l oo ke d , iss ue i s t ha t if ce r t a i n t a s ks ar e

a ll oc at e d t o h uma ns t hr o u gh d e si g n de c i si o ns, i t s ho u ld b e a s c e rt a ine d t ha t t he
co n di t io ns e xi st or c a n b e cr e a t e d un d e r w hi c h t h os e i nd i v id ua l s ca n re s p o ns ib l y
ca r r y o ut t ho se t a s k s. Hu ma n p il ot s, fo r e x a m pl e , ne e d inf or ma t i on t o be a b le t o
st e e r a p la ne . ( T he k n ow le d ge co nd it i o n is o ne of t he c ond it io ns fo r re s p o n si b il it y.)
T he s ys t em th u s sh o ul d pr o vi d e t he m t h e r i g ht i nfo rma t io n o n t ime . No t e t ha t e ve n
if t hi s i s t he ca s e, t he pi l ot s a r e d e p e nd e nt o n t he s y s t em , a nd on t he s yst e m
d e s ig ne r s , fo r g ett i ng r e lia b le i nfo r ma t io n; p ilo t s c a n n ot s im p l y l oo k o ut of t he
w in d ow of t he p la ne a nd e s t im a t e t he f l i g ht a lt i tu de .

A n e xa mp l e of a si t ua t i o n i n w hi c h a mi s ma t c h oc c urr e d b e t w e e n t he
r e sp on si b i li t i e s a ll oca t e d t o ce r t a i n huma n s a nd t he a ct ua l co nd it i on s u nd e r w hi c h
t he s e re sp o ns ib il it ie s ha ve t o b e a ct e d up o n, i s t he co nt ro ve r sy o ve r t he sa fe ty of
t he p e st i c i d e 2, 4, 5 -T ( se e C ha p t e r 6 ) . T he d e ve l op e rs of t h is p e st i c i d e a nd t he
sc ie nt i st s t e st i n g i t s s a fe t y a ss ume d t ha t t he fa r me r s w ou ld u se t he p r od uc t
a cc or d i ng t o p re sc ri pt i on s. T he s e pr e s cr ip t io ns, h owe ve r, s e e m e d t o i g nor e t he
a ct ua l co nd i ti o ns un d e r w hi c h fa r m e r s ha d t o w o r k; c o nd it i o ns w hi c h ma ke it ve r y
ha rd , if no t i mp os si b l e , t o li ve up t o t h e r e s p on si bi li ty a l l o ca te d t o t he m.

Te ch n ol ogi ca l d e s ig n ma y not on l y a ll oc a t e r e sp on si bi lit i e s t o i nd i vi d ua ls , a s i n t he

ca s e of t he a ut om a ti c p il ot or t he pe s ti ci d e 2 ,4, 5 -T, b ut ma y a ls o i m pl y more
co mp l e x d i v i s io ns of la b our a nd r e sp ons i b i li ty. Som e t e c h nol og i e s, for e xa mp l e ,
r e qu ir e a ce r ta i n s oc ia l st r uc t ur e t o f u n ct i o n pr op er l y. P la t o i n t he Rep ublic a lr e a d y
a r gue d t ha t t o na v ig a t e a s hi p o ne ne e d s on e a n d onl y one ca p ta i n a n d t ha t t he
cr e w ne e d s t o ob e y t he ca p t a in. I n ot he r w or d s, na vi g a t i n g a s hi p r e qu ir e s a
hie ra r c hi ca l s o ci a l st r uct ur e . I n a si m i la r fa s hi o n, La n g d on Win ne r ( 1 98 0 ) ha s
a r gue d t ha t t he a t o mi c b om b r e q uir e s a n a ut h or i ta r ia n s o ci a l s t r u c t ur e : [ T ] he
a t om b om b i s a n i nhe r e nt l y p ol i t i ca l a r t e fa c t. A s lon g a s it e xi st s a t a ll , i t s l e t hal
p r op e r ti e s d e m a nd t ha t i t c an b e co nt r ol le d b y a c ent ra l iz e d, r ig id l y hi e ra r c h ica l
c ha i n of c om ma nd c l os e d t o a ll i nf l ue n ce s t h a t mi g ht m a ke i t s w or ki ng
u np r e d i ct a b le . T he i nt e rna l so ci a l s yst e m of t he b omb m us t b e a ut hor i t a r ia n; t h e r e
is no ot he r w ay . 191 W i nne r m ig ht e xa g g e ra t e t he p o i nt t ha t a n a ut h or ita r ia n
st r u ct ur e is r e q ui r e d , b ut t ha t t h e a t om ic b o mb re q u ir e s s om e s o ci a l s t r u ct ur e of
co nt r ol t o p re ve nt ce rt a in mi s use s e e m s i ne v i ta b le .

Te ch n ol ogi e s mi g h t t h us s ome t im e s f ur t he r or re q uire an a ll oc a ti ng of t as k s a nd

r e sp on si b i li t i e s a l o ng hie ra r c hi ca l l i nes . T he y ma y a ls o f ur t h e r ot h e r, mor e
co mp l e x, d i vi si o ns of l a b our a nd r e sp ons i b i l i ty a s i n t he ca se of t h e V- C hi p ( s e e
b ox).

191
W in n er ( 1 9 8 0 , p . 1 3 1 ) .

146
 Rating System

TV-stations

Give information
broadcasts (rating) to

Programs Parents

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TV Children
watch

Fi g ur e 9 . 1: Di vi si on s o f la b our w it h r e s p e ct t o vi ole n ce on t e le vi s i o n

Ca s e: V- C hi p

T he V-c hi p i s a n el e ct r on i c d e v i c e t ha t c a n b e b ui lt i nt o t e le vi s io n s t o b l oc k
t e le vi s i o n p r ogra m t ha t a r e vi ol e n t or ot he r w ise u n su it a bl e to ch il d r e n. 192 In t he
U SA , t h e V- ch ip is re q uir e d f or a l l t e le vi s i on s of 1 3 i n c h a nd l ar g e r s i n ce Ja n ua r y
2 0 00 . T he V-c hi p f u n ct io ns a s fo ll ow s. T he t e le v i s io n st a t i o ns b r oa d ca s t a ra t i ng a s
p a rt of t he p r og ra m. T he p a re nt s p r og ra m t he V- c hi p b y s e tt i n g a t hr e s h ol d ra t in g .
A ll p r og ra m s a b o ve t h e ra ti ng a r e th e n b l oc ke d b y th e V- ch ip.

I n or d e r f or t h e V- ch ip t o fun ct io n p ro p e r l y, i t r eq ui re s a un if orm ra t in g s yst e m a nd

or ga ni z at i ons d oi ng th e ra ti ng. T he l a tt e r ca n b e t he T V s ta t io n, t he p r og ra m
ma ke r s, t he g o ve r nm e nt or a n i n d e pe n d e nt r ev i e w b oa r d. I n t he U SA, t h e Na t io na l
A ss o cia t i on of Br oad ca s te r s, t he N a ti ona l C a bl e Te l e v is i o n A s so c i at i on, a nd t h e
M ot i on P i ct ur e A s s oc i a ti o n of A m e r i ca ha ve e st a b li s he d a rat i ng s s y st e m k now n a s
TV Pa r e nta l Gui d e l i ne s. T he p r og ra m ma ke r s o r t e le vi si o n st a t i o ns gi ve ra t in g s t o
t he p r ogra m s . A T V Pa re nt a l G ui d e l i ne s M on i t or i ng Boa r d mo ni t or s t he ap p li ca t i o n
of t he ra t i ng s y st e m a nd d e a l s w it h c om p la i nt s.

I f one c om p a re s t he V-c h ip w it h t he p r e v i o us s it ua ti on, or t h e s it u a t io n e x i st i ng

ou ts id e th e U SA, s om e i nte r e st i ng s h if t s i n t he d i vi si o n of t a s ks be co m e c l e a r ( se e
F ig ur e 9 . 1 ). I n t he t ra d i t i o na l s it uat i on, t he p a r ent s d e ci d e d d ir ec t l y w ha t t he i r

192
FCC (2009).

147
c hil dr e n sa w on t e l e vi s io n. T he y d i d so p r e s um a bl y b y s w i t c hi ng o n or off t he T V.
T he r e w er e i n m os t co u nt r ie s n o f or m a l o r l e g a l r e st r i ct i o ns fo r TV pr og ra m s
a lt ho ug h t he r e we r e s ome mora l a nd a e st he ti c co ns t rai nt s , for e xa mp le of g o od
t a st e .

T he se c on d sit ua t io n i s o ne i n w h i ch t he p r og ra ms c ont a i n a ra t i ng , w hi c h m a y be
he l p f ul f or p a re nt s t o de c i de w hi c h p r og ra m t he i r c hi l d re n a re a ll o we d t o s e e a nd
w hi c h not . T hi s sy st e m c ons i s t s i n ma ny E ur op ea n c o unt r i e s. I n t hi s sy st e m t he
p a re n t s st il l m a i nl y de ci d e w ha t t he i r c hi ld r e n wa t c h, a lt h ou g h t he j udg i ng of t he
p r og ra ms h a ve pa r t l y b e e n t a ke n ove r b y ot he r s , w ho a r e a p p l yi ng t he ra t in gs to
p r og ra ms.

Wit h t he V-c hi p t he a c t ua l ro le of t he p a r e nt s ha s f urt he r d i mi n is he d . If t he y

c ho ose t o us e t he V- c hip, th e y o nl y ha ve t o se t t he ra t i n g t he y f i nd a c ce p t a b l e f or
t he i r c hi ld r e n. N ot e , how e ve r, t ha t in d oi ng s o t he y p re s ume a t l e a st ta c it ly no t
on l y t ha t t he ra t i ng s y st e m i s a p p l i e d p r op e r ly b ut a l s o t ha t t he ra t i n g s c he m e
co i nc i de s w i t h t h ei r o w n nor m s a n d va l ue s. Ac t ua ll y, it mi g ht b e t he ca se t ha t
p a re n t s w o ul d j ud g e s om e pr o g ra m s a s una c c ep t a b l e w hi c h a r e st i l l ra te d a s
a cc e p t a bl e a nd , a t t he me a nti me , t he y mi g ht c o nsi d er s ome p r og ra m s a c ce p t ab l e
or e ve n us e ful w hi c h a r e rat e d una c c ep t a b l e .

T he V-C h ip t hu s a ll o ca te s a nu mb e r of t a s ks a nd r e s p o ns ib il i t i e s t o a va r i e ty of
a ct or s . We c o ul d ju d g e t his re su lt i ng r e sp on si b i l i ty d i s t r i b ut i o n in te r m s of
e ffe ct i ve n e s s a nd m ora l fa i rn e s s. For e ffe c t i ve ne s s, a ma j or q ue s t i on i s w ha t t he
co n se q ue n ce s of t he r e sp ons i b i li ty d i st ri bu t i on a re . Fo r e x am pl e , d o fe w er c hi l d re n
wa t ch vi ole nt T V p r ogr a ms t ha n wi t ho ut t h e V-C hi p ? H ow d oe s t he V-C hi p a ffe ct
t he p r ogra m s t ha t a re b r oa d ca st e d ? I t s ee m s t ha t T V st a t io n s a nd p r og ra m ma ke r s
g e t a n i nc e n t i ve t o m a ke r e s p o n sib le p r og ra ms b u t t he s y st e m m i g ht a ls o b e a n
e xc use t o ma ke ta s te l es s t e l e v is i o n b e ca us e e ver y b o dy i s f r ee t o b lo c k p r og ra m s
t he y d o n t li ke w it h t he V- c hi p.

Wit h r es pe c t t o mora l fa ir ne s s, o ne q ue s t i o n i s w he t he r t he a c t or s i nvo l ved ca n

r e a so na b l y l i ve up t o t he r e sp ons i b i l i ti e s t ha t a r e a l l o ca t e d t o t he m. C a n p a r e nt s
b e e x pe ct e d to p r og ra m t he V-C h ip ? C a n T V St a t i o ns ra t e p r og ram s ? O n b ot h
co u nt s , t he a ns we r s e e ms y es . A f urt he r q u e st i o n i s w he th e r th e se p a rt i e s a re t he
a p pr o p r i a te p a r t i e s t o a ss um e t he se r e sp ons i bi l i ti e s. For e xa mp l e , i f o ne w o ul d
a r gue t ha t p a re nt s sh o ul d b e t he o ne s w ho a r e pr im a r i l y r e s p on si b l e for w ha t t hei r
c hil dr e n wa t c h o n T V a c ru c ia l q ue s t i on i s: Do e s t he V-C hi p d im i ni sh t he
r e sp on si b i li ty of p a re n t s ( be ca use o t he r p ar t ie s a s su me a ro le t o o) or d oe s i t
e na b l e t h e p a r e n t s t o a ss um e m ore r e sp ons i b il i ty t h a n b e f or e ( b e c a us e t he y now
ha ve b e tt e r m e a ns t o co ntr ol w ha t t h e ir c h il d r e n wa t c h on t e le vi s i on ? O ne c ou ld
a ls o w o nde r w he t he r i t i s a p p r o pr i a t e t ha t T V s ta t io n s ra t e p r ogra ms a n d s o
inf l ue n ce w ha t c hi ld r e n wa t c h o n T V. S om e p e o p le w oul d p r ob a b l y a r g ue t ha t t hi s
is nor a pr op e r t a s k of TV s t a ti o ns i n a l i b e ra l s o cie ty a nd t ha t t he s e d e c i si ons
sh o ul d be e nt ir el y le f t to t he pa r e nt s .

9.6 C on cl u s i o ns

I n t hi s c ha p t e r w e ha v e s e e n t ha t e v e n if a ll i nd i vi dua ls i n vol ve d i n t e ch n ol og i ca l
d e v e l opm e nt a ct r es po ns i bl y, t he o ve ra l l e f f e c t a r e not ne ce ss a r i l y b e n ig n. A ma i n
r e a s o n f o r t h is th a t w e d i s cu s se d is t he pr o b le m of ma n y ha nd s. Thi s i s t h e
si t ua t io n w he n a c oll e ct i v e ca n r e a s ona b l y h e ld re s po n si b l e f or a n ou t c om e , li ke
t he n e g a t i ve co ns eq ue nc e s t e c hnol og i ca l d e v e lo p me nt , w hi l e n o ne of t he
in d i vi dua ls i n vol ve d m ee t t he c ond it i o ns f or r e sp o ns ib il i t y d i s c us se d i n C ha p t e r 1
( wr o n g- d o in g, c a u sa l c on ne ct io n, k no w le d g e a nd f re e d om ). O ve r c o mi ng t he
p r ob le m of ma n y ha nd s r e q ui r e s a t t e nt i on t o th e d ist r i b u ti on of r e s po ns i bi lit y. I n

148
t hi s c ha p t er , w e ha ve d is c us se d t hr ee m ec ha ni s m s f o r d i s t ri b ut i ng re s p o ns ib il i t y:
1 ) t h e la w , 2) org a n iz a t io na l m od e ls f o r a l lo ca t i n g r e s po ns ib i li t y a nd 3 )
t e c h no l og i c al d e ve l op me n t . I n a ll th e se ca s e s , t he re s ul t i ng r e sp o ns ib i li t y
d is t r i b u t i on c an b e a s s e sse d in t e rm s of m or a l f a i rn e s s ( a r e t he a p p r o pr i a t e
p e rs ons he l d r e sp ons i bl e ?) a n d ef f e ct iv e n e s s ( d oe s t he r e s p o ns i bi l it y d is t r ib ut io n
co nt ri bu t e t o a v oi d i ng ha r m a nd to a ch ie vi ng d e s ir a bl e ef f e ct s ) . E v e n i f t he re i s
of t e n no t on e r e s p o ns i b il it y d ist r i b u ti on t ha t i s ob vi o us l y b e st , a t t e nt i o n f or how t o
d is t r i b u t e r e s p o ns ib il it y mig ht he lp t o a v oi d or a t l e a st s of te n t he p r ob l e m of m a n y
ha nd s. I n t he e nd, p a y in g at t e n ti on t o t he q u es t i o n ho w t o d i st r i b ut e r e sp ons i b i l it y
is re s p o n sib il it y t o t a k e n up b y i nd iv id ua l s, b ut it is a r es po n si b i li t y t ha t i s e a s il y
ov e rl o ok e d if on e on l y f o cu se s on i nd i vid ua l re s p o ns ib il i t y.

Q u es ti o n s c h a p ter 9

1 . E xp l a i n w hy t h e p r o b le m of ma ny ha nd s i s a mor a l p ro b le m .

2 . I n w ha t w a y s d o y o u t hi n k a c or p o r at i on ma y b e a m ora l a g e n c y ? How d o
t he y d i ff e r f r om h uma n a ge nc y ?

3 . Wha t a r e t he d i s ad va n t ag e s of c or po r a te l ia b ili t y ?

4 . St r i ct l ia b il i t y
a. Wha t i s st r i ct l i a b i li t y?
b. O n wh i c h e t hi ca l p r i n c i pl e (s) i s s t r i ct l ia b i l it y bas e d ?
c. Do yo u t h i nk s t r i ct li a bi l it y i s e ve r j us t if i e d ?

5 . Wha t i s t he d if f e r e nc e b e t w ee n r e sp ons i b i li t y a n d l ia b i l it y ?

6 . Wha t a r e t he t hre e m o d e l s f o r a l lo ca t i ng re s p o ns ib i l it y i n or g a n iza t io ns, a n d

d e s cr ib e t he s e m od e ls .

7 . Lo o ki ng b a c k, w hi c h m od e l f o r a ll oca ti ng r e s p ons i b ili t y c oul d b e b e s t a p p l ie d

in t he c a s e Le M e s s ur i e r f or s a f e t y?

8 . E xp l a i n t ha t t e c hno lo g ica l d e s i g n ca n inf lu e n ce th e a l l oc at i on of

r e sp ons i b i li ty.

9 . Do yo u t h i nk t ha t T V s t a t io n s ha ve t h e r e s po ns ib i lit y t o ra t e p ro g ra m s w it h
r e sp e c t t o t he V -c hi p ? Exp la i n y o ur a n sw e r .

1 0 . C as e : Wh y Di d t he C h ar l e s -d e - Ga ul le Ai rp or t T e r m in al C ol la p se ?
"I ca n 't e xp la i n w hat h a pp e ne d. I j us t d o n 't u nde r st a n d i t, " P au l A nd r e u,
a r c hi t e ct of t he c ol la p se d te r mi na l at C ha r l e s- d e -G a u l le Ai rp ort , t o ld
L 'H um anite n e w s p a pe r . The 4 50 - me t e r l ong t er m i na l b ui ld in g i s a n e l li p t i c a l
t ub e co n st r uc te d of c on cr e t e r i ng s. A n dr e u, w h o a l s o d e si g ned t he F r e nc h
t e rm i na l f or t h e E ng li s h C ha nne l T unn e l, d re w u po n p r i nc ip l e s of t unn e l
co n st r uct i on f or t h e a i r po r t te r m i na l b uil d i ng .
Wh e n i t o p e ned la s t y e a r , ma n y p e o p le p ra i s e d t he f ut ur i st ic s t r u c t ur e ,
ca l l i ng it b ot h b e a u t if u l a nd p r a ct ic a l. Si n ce t he re w e re n o i nt e r na l r oof
su p p or t s, p a sse n ge r s co u ld mo ve e a s il y th r o ug h t he t e rm i na l. S om e
e ng i ne e r s sa y t ha t t he t er m i nal 's t u n ne l s ha p e ma y ha v e b e e n a f a ct or i n
t he c ol la p se . B u il d i n gs wi t h n o i nt e r na l s up p or t s m u st r e l y e nt i r e l y o n t he
ou te r s he l l. H ow e ve r , i nv es ti g a t o r s p oi nt o ut tha t it i s t he r ol e of e ng i ne e r s
t o a s s ur e t he sa f e t y of a n a r c hit e ct 's de s ig ns . L es lie Rob e r ts on, a c hie f
e ng i ne e r of t he Wo rl d T r ad e Ce nt e r t ow e rs , t ol d t he Ne w Y ork T im es t ha t

149
w he n p r ob le m s oc c ur, i t 's u s ua ll y i n t he "i nt e r f ac e" b e tw e e n ar c hi t e ct s,
e ng i ne e r s, a nd c ont r a c t or s.
T he c ol l a p s e ki ll e d se v e r a l p e op l e a nd le f t a 5 0 by 3 0 me t e r h ole . I t w i ll
t a ke ma ny m ont hs, a n d p e r ha p s ye a r s , f or i n ve s t ig a to rs to d e t er m i ne
w het he r t he f a ta l col la p se w a s c a u se d b y d e s ig n f la w s or o ve r s ig ht s i n
co n st r uct i on. M e an w h i le , a ir p o rt of f i ci a l s sa y t ha t t he y ma y t ea r d ow n t he
t e rm i na l r a t he r t ha n r e p a ir it .
So ur c e : ht t p : // a r c hi te ct ur e . ab o ut .c om / b / a /0 8 78 6 0 . ht m
a . How d o w e ca l l t he p r ob l e m of a ll oca t i ng r e s p on si bil it y i n com p l e x
si t ua t io n s?
b . Wh ic h c r it e r ia f or p a s s i ve m or a l r e sp o ns ib i l it y or a c c o un ta b i l it y a re g i ve n
in c ha p te r 1 ?
c. Do yo u c ons i de r P a ul A n dr e u, t he a r chi t e c t of t he te r mi na l, r e s p o ns ib l e
f or t he d i sa st e r ? I n a n sw e r i ng t hi s q ues ti on, r e f e r t o t he cr it e r ia f o r
r e sp ons i b i li ty i n q ue st i on 10 b a nd use t he i nf or ma ti on a va i l a b l e .
( G iv e n t he li m it e d f a ct ua l i nfo r ma t io n a va i la b le , yo u m a y a l s o a ns we r
t hi s q ues t io n b y st a t in g w hi c h f a ct s, w hi c h a r e u nce r ta i n a s of y e t , wo ul d
ne e d t o a pp l y i n or d er t o c o ns id e r P a u l A nd r e u r e s pon si bl e for t he
d isa s te r )
d . Wh ic h m od e l f o r a l l oca t in g r e s p o ns ib ili t y i n or g a niza t i on s d o yo u
co n sid e r mo st a pp r o pr ia t e f or a ll o ca t i n g t he re sp o ns ib il i t y of t hi s
d isa s te r ? A rg ue y o ur a ns w e r .

150
C h a p ter 10 . Su s ta i n a bi l i ty , et hi c s a n d t ec hn ol o g y

10 . 1 I n tr o d u c ti o n

I n t he f i r s t c hap t e r w e sa w t hat e n gi nee r s ha ve a t hr e ef ol d r e s p on s i b i li t y: a

h um a n, s oc ie t al a nd e n vir onm e nt a l o ne. T hi s i mme d iat e l y r a is e s t he q ue s t io n w hy
t he e nv ir o nme nt i s i n c lu d e d h e r e . S ur e l y e t h ic s i s f or e mo st i nv ol ve d wi t h
int e r a c ti o n b e t we e n p eop le ? I n ot he r w or ds , th o ug h y o u m a y c om e ac ro ss t he
no ti on t ha t p e op l e ha v e a ce r ta i n r e s p o ns ib il i t y re g a r d i ng t he e n vi r onm e nt , i s t h i s
in f a c t m or a l l y j us t if i a bl e ?

I n t he f i r s t i n st a nc e t w o d if f e re nt a ns w e r s c a n be g i ve n t o t h is . Fi rs t , y ou c o ul d
sa y t ha t r e sp ons i b il i t y for t he e n vi r o nm e nt i s d e r i ve d f r om r e sp on sib il i t y f or
h um a nki nd a nd s oc ie t y . For if w e po l l ut e t he e nvi ro nm e n t a t w i l l a nd e xha us t o ur
r e s our ce s t he r e m a y b e se ve r e c on se q u e nc e s f or p e op le n ow a n d i n t he f u tu r e . I n
e n vi r onm e n t a l e t hi cs t hi s ki nd of ju st if ic a t i o n is k n ow n a s ant hrop ocentris m 193; i t is
a p os i t i on t ha t st a t es tha t t he e n v ir o nm e nt onl y has a n i n st r um e n ta l val ue, i . e . t h e
va l ue of i t s us e b y u s. 194 N ot e t ha t w it hi n t hi s po s it i o n i t is p o s si b l e t o ar g ue t ha t
f or r e a s o ns of s e lf -i nt e r e s t w e m us t ta ke f a r -r e a c h i ng m e a s ur e s in t h e l o ng r un t o
p r ot e ct t he e n vir o nm e nt . A he a lt h y e nv i r on m e nt is ne ce s sa r y t o p r ov id e t he
e ss e nt ia l b a si c nee d s, su c h a s f oo d, c l e a n a ir , a nd c l e a n w a t e r. T he s e c on d a ns we r
a r g ue s t ha t t h e e nvi ro nme nt ha s a va l ue of i t s ow n ( a n i nt r i nsi c v a l ue ) a nd
t he r e f o re s ho ul d b e co ns i de r e d i n m or a l a r g um e nt s. So e ve n i f t he e nvi ro nm e n t ( or
p a rt of it ) d o e s n ot ha ve a ny u se va l ue , it st il l ha s mo r a l va l ue . Th e not io n of
int r i ns i c v al ue s t e m s f rom e n vir o nm e nt a l e t h ic s a nd ca n be f o und i n ma n y p ol i c y
d o c um e nt s on p rot e c t i on of t he e n vi r o nm e nt . T hi s d oe s j ust i ce t o t he mo r a l
int u it i o n t ha t b e i ng w o rt h y of pr ot e c t i o n d o e s not d e pe nd on u se v a lue . We f i nd
t hi s p e r fe ct l y p l a us i b le f or w o r ks of a r t , s o w h y not f o r t he e nv ir on me n t ?

I f t he e nv i r on me nt ha s m ora l va l ue , b e it in st r um e nt a l or i nt r i ns i c , it d e se r v e s t o
b e p r o t e c t ed . F r om t hi s it f o ll ow s t ha t p e opl e i n ge ne ra l a r e r e sp ons i bl e f or t he
e n vi r onm e n t . M or e o ve r , e n gi nee r s ha ve a s p e ci a l r e s p on si b i l it y, b e ca use
t e c h no l og y ha s b ot h p os i t i ve a nd ne ga t i ve e f f e ct s on t he e nv i r on m e nt a nd b e c a us e
t he y ha ve t he p o we r o f ex p e r t ise a s a r gu e d i n t he f ir st c ha p te r . E ng i ne e r s
r e c og n iz e t h is re sp o ns ib i l it y, a s w e sa w i n t h e p r of e ssi ona l c od e s i n c ha p t e r 2 . T hi s
a ls o ha s t o d o w it h t he f a c t t ha t t her e i s m uc h c on se ns u s i n s oc i e t y c on ce r ni ng o ur
e n vi r onm e n t a l p r ob l e m s a nd t hat e nv ir o nm ent a l ca r e i s of i m p or t a nce , a nd
mor e ov er t hat t e c hnol og y ca n p la y a n i m p or t a nt r ole i n t hi s.

I n t hi s c ha p t e r w e s ha ll s e e t o w ha t e xt e nt a nd i n w ha t wa y st r i vi ng f o r
su st a ina b i li t y ca n l e ad t o c o ncr e t e g ui d e l i ne s i n en g i ne e ri ng p r ac ti ce . I n se ct i on
1 0 . 2 w e s ha ll d is c us s t he k i n ds of e nv ir o nm e nt a l p rob l e m s w e c a n d is ti ng ui s h.
A ft e r t ha t , w e s hal l co ns id e r t he t e r m su st a i na b i li t y, h ow w e ca n d e f e nd
su st a ina b le d e v e l op m e nt f ro m a m or a l s ta n d poi nt , a n d f i na l l y w hi c h k i n ds of
su st a ina b i li t y ca n b e d e f e nd ed . St r i vi ng f or s us t a i na b l e de ve l op me n t is not t a ke n
a s a n on- ne g ot ia b le vi e w p oi nt. T he q u e st io n s d is c us s e d he r e s um ma r i ze a re s p on se
t o t he s l og a n Sus t a i n ab i l it y, w e s houl d a ll b e d oing i t ! . T he q ue s t i on is : s ho ul d
w e , a nd u nd e r w hi c h c on d it io n s, a n d w ha t e x a ct l y d oe s it e nt ai l ? F o ll ow i ng t ha t ,
w e s ha l l c on si d e r w he t he r a s ust a i na b l e so ci e t y i s at a ll p os si b le . I n t he f i na l t w o
se ct i on s w e s ha ll l ook s pe ci f ica ll y a t t he r ol e e n gi ne e r s c an p l a y i n t hi s.

193
A c h t er b er g ( 1 9 9 4 ) .
194
B a x t er ( 1 9 7 4 ) .

151
10 . 2 E n vi r o nm e n ta l pr o bl e ms

T he r e a r e ma n y k in d s of e n vi r o nme nta l pr ob l e ms, a nd s ol vi n g t he m f i r s t r e q ui re s

t he i r p r e ci s e d e f i n it i o n . I n g e ne r a l t h re e k i nd s of e nvi r o nme nt a l p ro b le m s a r e
d is t i ng ui s he d . We s pe a k of p ol l ut i o n i f s ome t hi ng is a d d e d t o t h e e n vi r o nm e nt .
E xa mp le s of t hi s a re t he va r i ou s w a y s a ir , w a te r a n d s oi l a b s orb f or e ig n ma t t e r
ma k i ng t he m le s s s ui t a b le f or s up p o r ti ng l i f e . I f , h ow e ve r , s ome t hi ng i s t ak e n a w a y
f r om t he e n vi r onm e n t , w e s pe a k of e x ha us t i on, s uc h a s t he u se of n o n-r e new a b le
r e s our ce s l ik e f o ss il f ue l s, ore , a nd m a t e r ia l s li ke t r opi ca l w ood t o o. A r e s our ce ca n
a ls o b e r e ne w a b l e bu t e as i ly d e p le t e d, a s i s t he c a s e w i t h o ve r -f i s hi ng . F i na ll y, we
r e f er t o de g r a da t i on if t he r e a re s t r u ct ur a l c ha ng e s t o t h e e n vi r o n me n t. E xa mp l e s
of t hi s a re so i l e r os i o n, a d e cl i ne i n b i od iv e r sit y, a nd t he ga p i n t he o zo ne la ye r .
N ot e tha t d eg r a da t i on of t e n oc c ur s in co nj un ct i o n w it h a d d i n g t o o r ta ki ng a w a y
f r om t he e n vi r onm e n t , so t he ca t e g or i e s ar e not m ut ua ll y e x cl us i ve .

T he c o nse n su s me nt i o ne d e a r l ie r is ha rd t o f in d w he n w e a r e c onf r on t e d wi t h
q ue s t i o ns l ik e : w ha t is t h e s e r i o us ne s s of t h e p r e se nt s it ua t i o n a n d how d o w e
e xp e ct it t o d e v e l op i f we d o not t a ke a n y a c t io n ? Ho w d o w e we i g h e n vi r onm e n t a l
va l ue s a g a i ns t ot he r one s, s u ch a s e co n om i c va lu e s ? A nd w ha t s ho ul d w e p r ote c t
or m a i nt a i n: a he al t hy a n d p l e a s a nt e n vi r on me n t (w ha t d oe s t ha t e nt a il ?) , or
sh o ul d we st r i ve f or u ns p o ile d na t ur e ?

We d o k n ow t ha t t he c on t i n ui t y of h uma n w e lf a r e a nd w e ll -b e in g i s e n da ng e r e d b y
e x ha us t i ng r e s o ur ce s, a nd t ha t p ol l ut i n g t he wa t e r , a i r a nd s oi l m e ans w e ha ve t o
ma ke i n cr e a si n g e f fo r t s t o k ee p t he e n vir o nm e nt l i va bl e . A s h um a ns we d e p e nd o n
t he e nv ir o nme nt . E n vi r onme nt a l p ro b le m s a l so ha ve a n i m p or t a nt so ci a l di me n si o n,
si nc e s om e p r o b le ms h it t h os e l owe r o n t he s oc ia l l a d d e r ha r d e r or fi r st . F or
e xa m p le , h ous i ng ne a r t o s ou r c es of p oll ut io n is c he a p e r, s uc h a s ho us i ng n e a r t o
hi g h wa y s , m uni ci p a l d um ps , ma j or i nd us t r ia l i ns ta l la t io ns , e t c . I n a n i nt e r nat i ona l
co nt ex t, e c o no mi ca l ly w e ak e r c ou nt r ie s a r e w ill i ng t o a ll ow i nv e st me n t s or
e n co ur a g e i nd u st r y a t t he e x pe ns e of st ri ct e nvi r o nme nt a l le g isl a ti on. O ne ex a m pl e
is t he d e mo lit i on of la r ge s hip s i nc l udi ng o il ta n ke r s. At hig h t i de t he se t a n ke r s g o
r ig ht o nt o t he be a c he s ( i n Ba ng la d es h a m on g o th e r pl a ce s) a t f ull s pe e d . F ol lo w i ng
t ha t t he y a r e d e m oli s he d i n a p r i m it i ve w a y w it ho ut a ny r e g ar d f or t h e
e n vi r onm e n t . O ne c ou l d sa y t ha t e n v ir o nm e nt a l p r ob le m s h it t ho se l ow e r on t he
so ci a l l a d d er ha rd e r , b ut a ls o t ha t t he ex i s t e nc e of i ne q ua l i t ie s ( a nd t he i r
p e rs is t e nc e ) s up p or t s e n vi r o nm e nt a l p r ob l e m s. I n t h is c o nt e xt , t h e t e r m
su st a ina b le d e v e l op m e nt ha s be e n m e nt i one d f r e q u e ntl y i n re ce nt ye ar s.

T he he a rt of s ust a i na b l e d e v e l op me n t l ie s i n t he not io n t ha t t he d e ve l op me nt of
w e lf a r e a s w e e x p e r i e n ce i t t h r oug h t i m e ( n ot onl y i n t he We st bu t i n a ll c oun t ri es )
mu st b e s ust a i na bl e . T he fa c t t ha t t h is i s no t t h e ca s e a t t he mom e nt ca n b e
cl a r i fi e d u si ng t he t e r m e c ol og i ca l f o ot p r i nt ( see F i g u r e 10 . 1 ) . I n e s se nc e yo u ca n
ca l c ul a te t he to t a l e nv ir o nm e nt a l l oa d of a p e r s on s li f e st yle a nd e xp r e s s i t a s a n
a mo u nt of sp a ce re q u i r e d t o s up po r t t h is lif e st yl e . 195 T he c ir cle i nd i ca t e s t h e
e c ol og i ca l fo ot p ri nt of Lon d o n. 196

195
T h e I n t er n et p r o vi d es v a r io u s s i m p l i f i e d c a lc u la t o r s f o r t h i s .
196
h t t p : / / w w w .vo e t a f d r u k. b e/ h t m l/ vo et a f d r u k / w a t / w a t .h t m

152
 F ig u re 1 0 . 1 T he e c ol og i c al f oo t p r i nt of Lo nd on

O ne im p o rt a nt f i n di ng is t ha t t he si ze of t he e c ol og i ca l f o ot pr i nt g r e a t l y d if f e r s p er
co nt i ne nt . T he Living Pla net R eport of t h e Wor l d Wi ld lif e F u nd i n d i ca t e s t ha t t he
a ve r ag e e col og i ca l f o o t pr i nt i n t he U ni te d St a t e s i s 9 . 6 ha p e r p e rs on, 5 . 0 ha in
We st e r n E ur op e , a nd 1 . 4 ha i n As ia a nd A f r i c a . For t he p r e se nt w or l d p o p ul a ti o n,
a b out 1 . 9 ha is a va i la b le p er p e rs on i n t he s ha p e of p r od u ct iv e su r f a ce (i . e. l a nd
su r f a c e t ha t off e r s r e a l r e s ou r c e s) . 197 Ac c or d i n g t o t hat sa m e r e p ort , t he t ot a l
f oot p r i nt of t he w or ld p op u la t i o n i s a p p ro xi m a t el y 2 0% t oo l ar g e . I n ot he r w or d s,
t he r e g e ne r a t i ve a bi l it y of t he v a r i o us r e s our ce s ca nn ot k e e p up w i t h de m a n d . Th e
ob vi o us c o nc l us io n is t ha t w e ca n no t co nt in ue a l on g t he se li ne s .

10 . 3 Su s tai n a bl e d e v el o p m en t

1 0 . 3.1 T he Bru ndtla nd definition

T he mo s t w e l l -k no w n d e f i nit io n of s us t a i na b le d e v e l op me nt o r i g i na t es f rom t he s o-
ca l l e d B r und t la nd r e p or t ( s e e b o x).

Su s ta i n a bl e D ev el op m en t

Su st a ina b le d e ve l op m e nt is d e v e lo p me nt t h a t me e ts t he ne e d s of t he p r e se nt
w it ho ut c om p r omi si ng t he ab i l it y of f ut u re g e ner a t i on s t o m e e t t he i r ow n nee d s. I t
co nt a i ns w it hi n i t tw o ke y c onc e p t s:
- t he c on ce p t of ne e d s , i n pa r t i c ula r t he e s s e nt ia l ne e d s of t he w or l d ' s p oor ,
t o w h ic h o ve r -r id i ng p ri or i t y s ho u ld b e g i ve n ; a nd
- t he i d e a of l i mi t a t i o ns imp ose d b y t he st a t e of t e c h no l og y a nd s oc i a l
or ga n iz at i on o n t he e nvi ro nm e n t 's a b i l it y t o m ee t pr e s e nt a n d f ut ur e nee d s.
( Wor l d C om m is si o n on E n vi r on me nt a nd De v e lo p me nt 1 9 8 7 )

S us t a i nab i l it y i s not o nl y re l a t e d t o t he na t u r al li vi ng e n vir o nm e nt . An d in t hi s

co nt ex t, t h re e f a ct or s ar e m e n t i on ed t ha t a r e of i m p or t a nc e f or su st a i na b le
d e v e l opm e nt : nex t t o e c ol ogi ca l f a ct o rs t he r e ar e s o ci al a nd e c o nom ic o ne s. 198 For

197
W o r l d W i l d l if e F u n d ( 2 0 0 2 ) .
198
T h is is a l s o e x p r es s ed a s P eo pl e , Pl an e t , Pr o s p e r i t y . A t t h e W o r ld S u m m it o n
S u s t a in a b l e d e v e lo p m en t in J o h a n n n es b u r g ( 2 0 0 2 ) , t h e s t r a p li n e p eo p l e ,
p l a n et , p r o s p e r i t y w a s a d o p t e d t o r ef l ec t t h e r e q u ir em en t t h a t s u st a i n a b l e d e v el o p m en t
i m p l ies t h e b a l a n c i n g o f ec o n o m i c a n d s o c i a l d e v el o p m en t w it h en v ir o n m en t a l p r o t ec t i o n .

153
su st a ina b i li t y th is me a ns t ha t ce r ta i n c o ns i d e r a t i o ns ha ve t o b e t a ke n i nt o a c c o unt :
e c ol og i ca l v al ue s ca nn ot unr e st r i ct e d l y b e g i ve n p re ce d e nc e ov e r s oc ia l j us ti ce o r
e c on om ic a c hie va b il it y . For t hat ma t t e r , w e mu st mo ni t o r w he t he r t he s e t h r ee
a sp e ct s d o n ot a lw a y s cla s h. I t is p os si bl e t h a t a m e as ur e or d e s i g n c ho i ce ca n b e
p o sit i v e f o r m or e t ha n o ne f i e l d a t t he sa me t ime . T a ke f or e xa mp l e a d e s i g n in
w hi c h y o u m a na g e t o r e du ce t he a m ou nt of ma t e r ia l re q ui re d . Th i s is f a v o ura b le
b ot h f r om a n e c o nom i c a nd e n vi r o nme nta l p oi nt of vie w .

1 0 . 3.2 Mora l jus tificat ion

T he he a rt of s ust a i na b l e d e v e l op me n t l ie s i n t w o k in ds of j u st i ce . T he f ir st ki n d of
j ust i c e r e la t e s t o t he d i vi s io n of r e so ur ce s b e t w ee n o ur ow n g e ne r a t io n a nd f ut ur e
g e ne r a t io ns : i nte r g e ne r a t i ona l j us ti ce . Ne xt t o t ha t, s us ta i na b l e d e ve l op m e nt
r e q ui r e s a j ust d iv is io n of r e s our ce s w i t h i n our ow n g e n e ra t io n (i . e. c om pa r e t he
F ir st a nd t h e T hir d Wor l d) : i ntr a g e ne r a t i ona l j us ti ce .
T he se t w o t yp e s of ju s t ic e ca n b e j us t i f ie d a nd de s c r i b ed i n va r io u s w a y s . We s ha l l
d is c us s t hr e e of t h e t h e or e t i ca l b a c kg r o u nd s. I t w il l ma k e l it t l e d if f e r e nc e w he t he r
w e re f e r t o i nt e r ge ne r at i ona l o r in t ra g e ne r a t io na l j u st i ce ; t he on l y d if f e re n ce is
t ha t t he f i r s t g r o up i s se p a r a t e d b y t im e w hi l e t he la t t e r i s se p a r a t e d b y p la ce .
M or a ll y sp e a ki ng t he s e di st i n ct i o ns a r e ne g li g i b l e. T he f ou n da t i o n se le ct e d w il l
ho we ve r ha ve a n imp a ct o n t he how s u st a i na b il i t y i s p ra ct i se d .

Property rig hts

T he f ir st p o ss i bl e f o u n da t i on f or su st a ina b le d e v el opm en t s t e m s f r o m t he hi s t or ic a l
p r i n ci p le a t t a c he d t o t he j u st if i c at i on of pr o p er t y r i g ht s . 199 T he t r a d i t io na l q ue st i on
a sk e d a bo u t p r o p er t y i s w he t he r w e c a n ju st i f y t ha t s ome ma t te r s b e l on g t o
in d i vi dua ls . I f w e ap p l y t h is h is t or i ca l pr in c i pl e to t he e n vi r o nm e nt a n d s us t a i na b l e
d e v e l opm e nt , w e ge t t he f ol l ow i ng st a t e me nt : t he e n vir o nme nt b e l on gs to a l l of
h um a ni t y, b u t w ha t w e m i x w it h la b ou r b el ong s t o us. H owe ve r , t h i s onl y w or k s a s
lo ng as t he r e i s e n oug h of t he sa me q ua l it y l e f t ove r f o r ot he r s. T hi s is e xa c t l y t he
p oi nt t ha t li n ks up th e f or m ul a ti o n w i t ho ut c omp ro mi s i ng t he a b il i t y of f ut ur e
g e ne r a t io ns t o m ee t t hei r ow n ne e d s f r o m t he B r und t la nd d e f i ni t i on. O n l y t o t he
e xt e nt t ha t w e l e a ve e no u g h f o r f ut ur e g e ne r a t i on s ca n we c on si de r t he
e n vi r onm e n t a nd it s r e so ur c e s a s t he p r op e r t y of t hi s g e ner a t i on, a nd ma y w e us e
it a s w e se e f it . E s se n ti a ll y, t h is i s a n e xt e n sio n of t he p ol l ut e r p a ys p r i n cip l e ' 200 or
t he n ot io n tha t t he o n e w ho b r e a k s s om e t hi ng is al so e xpe ct e d t o m e nd i t . T h e
p oi nt of d e pa r t ur e i s t ha t d am a ge t o t he e n v ir onm e n t m u st b e r e p a ir ed b y t he
p a rt y r e s p on si b le f or t he d a ma g e .

Ut ilitaria n ism
T he ut il i t ar i an a p pr oa c h de f e nd s i nt e r g e ne r a t io nal j us t i ce i n t he f o ll ow i ng w a y. Sa y
t ha t w e d e ve l op i n a w a y tha t d oe s no t a l lo w us t o c on t i n ue o ur l if e st yle . I t w o ul d
me a n t ha t s ome t im e i n t he f ut u r e t h e t ot a l ut i l it y f or a l l w o uld d i mi ni s h. In t ur n,
t he a i m of ut il it a r ia ni s m, i . e. t h e m os t hap p i ne ss f or t he g re a t e st n um b e r of
p e op l e, w o uld not b e a c hi e ve d . D e ve l op m e n t a l on g non - su st a ina bl e l i ne s t he r e f o re

I n t h e c o n t ex t o f t h e b u s in e s s s ec t o r , t h is s t r a p l in e h a s s o m et im es b e en p a r a p h r a s e d a s
p eo p l e , p l a n et , p r o f it s , t h e s o - c a ll e d T h r e e P il l a r s , o r t h e t r ip l e b o t t o m li n e .
199
S e e S i n g er ( 2 0 0 2 , c h a p t er 2 ) . H e r e f er s t o L o c k e (1 6 9 0 ) .
200
T h e f i r s t m en t io n o f t h e P r in c i p l e a t t h e i n t er n a t i o n a l l e ve l is t o b e f o u n d in t h e 1 9 7 2
R ec o m m en d a t i o n b y t h e O r g a n is a t io n f o r E c o n o m ic C o - o p e r a t io n a n d D e v el o p m en t ( O E C D )
C o u n c i l o n G u id i n g P r in c ip l es c o n c e r n i n g I n t er n a t io n a l E c o n o m i c A s p ec t s o f E n vi r o n m en t a l
P o l ic i es , w h er e i t s t a t e d t h a t : "T h e p r i n c i p l e t o b e u s e d f o r a l l o c a t i n g c o s t s o f p o l l u t io n
p r e ve n t i o n a n d c o n t r o l m ea s u r es t o e n c o u r a g e r a t i o n a l u s e o f s c a r c e en vi r o n m e n t a l
r es o u r c es a n d t o a vo i d d i s t o r t ion s in in t er n a t i on a l t r a d e a n d in v es t m en t i s t h e s o - c a l l ed
P o l lu t er - P a ys P r in c i p l e ." I t is r e g a r d e d a s a r e g io n a l c u s t o m b ec a u s e o f t h e s t r o n g s u p p o r t
i t h a s r ec e iv e d in m o s t O E C D a n d E u r o p e a n C o m m u n i t y c o u n t r i es . I n in t er n a t i on a l
en vi r o n m e n t la w it i s m e n t io n ed in t h e R i o D e c l a r a t i o n o n E n vi r on m en t a n d D ev e l o p m en t
( P r in c ip l e 1 6 ) .

154
is und e si r a b le . Tw o p oi nt s c a n b e me nti o ne d i n co nne ct io n w it h t h e a rg u me nt .
F ir st , t he t ot a l u t il i t y m us t b e ma x i mi ze d o v e r a n e xt re me l y e xt e n d ed p e r i o d:
ma xi miz at i on of ut i l it y i n t he s ho r t te r m w i l l no t l e ad t o s us t a i na b i l it y. Se c o nd , o ne
co u ld d i sp ute t hi s ut i l i t a ri a n r e a s o ni ng b y a r g u in g t ha t t he e x p e ct e d a g g re g a t e d
t ot al ut i lit y a c r o ss t he e n t ir e p e r i od w ou ld b e gr ea t e s t if w e u se a lot n ow a n d
le a ve t he f u t ur e g e ne r a t io ns t o t he ir ow n r e s ou r ce f ul nes s. T he ve r a c it y of t h is
f a ct ual st a t em e nt i s e xtr e me l y ha r d t o a s se s s . Ap a rt f r om t hi s, t hi s c r it i c is m s how s
t ha t u t il i t a r i a ni sm is i n se nsi t i ve t o q ue st i o ns of d ist r ib ut i on, b ot h b e t we e n di f f e re nt
g r ou p s of pe o p le o r a c r os s t i me . M or a l l y, t hi s i s hi g hl y unsa t i s f a ct or y.

De on to logy
T he d e ont o lo g i ca l a p p r oa c h d e f en d s i nt e r ge ne ra t i on a l j us t i c e o n t he b a s is of t he
G old e n Rule : T re a t ot he r ge ne r at i ons a s yo u w oul d ha ve t he m t r e at yo u. ( T he
G old e n Rule is s ome w ha t c om p a ra b le t o t he u ni ve r s a l it y p r i n ci p le o f Ka n t , se e
c ha p te r 3 ). O b vi o usl y, w e d o n ot ne e d t o r e a so n f or l on g t o c ome t o t he co nc l us io n
t ha t w e w oul d n ot w i s h ot he r g e ne r a t i o ns t o ha ve li ve d a li f e of a b a nd o n l e a vi ng
us w it h no r e so ur ce s. F or t ha t ma t t e r, t he G ol d e n Rule s ee m s m or e a p t t o d e f e nd
int r a ge ne ra t i o na l ju st i c e : t he re la t i o ns hi p b e tw e e n t he n ow a n d t h e f ut u r e i s n ot
sy m me t ri ca l i n t h e w a y t ha t t he re l a t i on s hi p b e tw e e n he r e a nd t he r e i s . H ow e ve r ,
t hi s i s onl y an a p pa r e nt p r ob l e m. T he p oi nt of t he G ol d e n Rul e i s no t t ha t I ha ve t o
t r ea t y o u we l l b e c a us e I w a nt yo u t o t r ea t m e w e l l , b ut be ca use I wa nt ot he r s t o
t r ea t me w e ll .

O ne c a n a l s o r e a so n a l ong t he l in e s of t he s e co n d fo r m ula t i on of t h e ca te g or i ca l
im pe r a t i ve , t he r e c ip r oc it y p ri nc i p le . F ut ur e g e n e ra t io n s s h o uld be t r e at e d t he
sa m e a s a l l g r o up s of p e o p le ; t h e y a re not o nl y a me a n s b ut a l s o a n e n d i n
t he m se lv e s. I f w e w e r e to l i v e a l if e of a b a n do n so t ha t f ut ur e g e n e r a ti ons c a n n ot
p r ov i de i n t he ir ow n n ee d s, t he n w e ha ve us e d t he m a s a m e a ns t o a c hi e v e ou r
ow n e nd s. Wit hout t he i r p e r m is si o n we d e n y t he m t he op p o rt u ni t y t o s t r i ve f o r
t he i r ow n e nd s i n t he wa y t ha t w e d id . How e ve r , if w e st ri ve t o ma i nt a i n t he a b i l it y
t o f ul f i l ne e ds i n th e f ut ur e t oo t he n w e d o j us t i ce t o t he f a ct t ha t f ut ur e
g e ne r a t io ns w i ll ha v e t he i r ow n e nd s t ha t t he y w i s h t o s t r i ve f or i n a r a t i o na l
ma n ne r.

O f t e n t w o a r g ume nt s ar e m e n t i one d a g a i n st s ust a i na bl e d e ve l op m e nt . T he se ca n

b e se t a s i d e us i ng d e o nt ol og i ca l et h ic s t he or ie s. T he f ir st c ou nt e r a rg ume nt is
w het he r p r e vi o us g e ne r a ti ons m a de a n e f fo r t f or u s t o o. A p a r t f rom a hig h
st a nd ar d of l i vi ng , w e ha ve a ls o in he ri t ed s u b st a nti a l e nv i r on me nt a l p ro b le m s .
Gi ve n t ha t w e m u st u s e our i ng e n ui t y t o co p e w it h t hi s, w hy w o u ld it be u n j us t to
d e s ir e t he sa m e t hi ng f rom f ut ur e g e ne r a t io ns ? T he G old e n R ul e ho w e ve r s ta t e s
no t t ha t it i s r e le va nt ho w ot he r s f a c t ua l l y t r e a t us , bu t r a t h e r h ow w e w o ul d
p r ef e r t he m t o t r e a t u s. The f a ct so me o ne s t e a ls m y b i c yc l e doe s n ot j us t i f y m y
d e c is i o n t o st e a l so me b od y e l se 's b ik e .

T he se c on d co unt e r a r g um e nt is th a t t he l a r g e st e n vi r o nme nt a l p r ob l e ms a r e
ca use d by p op ul a ti on a nd c ons u mp t i v e g r ow t h i n d e v el op i n g co unt r ie s l i k e C h ina .
T hi s ca n le a d t o t he q ue st i o n w h y w e s ho uld ma ke e ff ort s t o so l ve a p r ob le m t ha t
ha s it s or ig i n s e ls e w h e re . H ow e ve r, w e ne e d t o re a l i ze t ha t a s f a r a s co ns um pt i v e
g r ow t h i s c on ce r ne d t he se co u nt r i e s st i ll ha ve s om e c a t c hi n g up t o d o. I n ot he r
w or d s, i t w o uld be o d d t o s a y t hat t h e p r o b l e m d oe s no t l i e w i t h u s. I f o ur ow n
w e lf a r e c oul d on l y b e m a i nt ai ne d b y de n yi ng t ha t w e lf a re t o o th e r s , t he n w e c a n
ha r d l y c al l t he m a in t e na nc e of s uc h w e lf a r e j us t. We w o ul d b e us i ng t he ot he r s a s
a me a ns a nd n o lo ng e r v ie w th e m a s a n e nd .

F or t ha t ma t te r , w e ne e d t o r e a l iz e t ha t t he i m pa ct o n t he e nv i r on me n t i s l ar g e l y
d e t er mi ne d b y th e p op ula t io n g r ow t h a n d t ha t t hi s g row t h ha s m u c h t o do w it h
ma t e r ia l w e lf a r e a nd s c ho ol in g . Gre a t e r i ntr a g e ne r a t io na l jus t i c e co ul d e a s i ly b e

155
co u pl e d t o a re d u ce d e n vi r o nm e n ta l imp a c t i n t hos e co u ntr ie s i n t h e l on g r u n. E ve n
if a m or e e qu it a b le d i s t r ib ut i o n of w e al t h i n a p o lit i c a ll y a c h ie va b le w a y i n th e
sh or t r u n w o ul d l e a d t o hi g he r e n v ir on me nt a l p re s s ure n ow. T he t e ns io n b et w e e n
int e r g e n e ra t io na l a nd i nt r a g e ne r a ti ona l j us ti c e re m ai ns a se r i ous a n d d i f f ic u lt is su e
t ha t c a n n ot b e so l ve d by m e a n s of t he a b o ve j us t if i ca t io n s.

1 0 . 3.3 Operat io na lis ati on

M a ny p e op l e fe e l t he Br und t la n d d e f i ni t i o n i s va g ue. T he r e a r e a ll s or t s of c o nc re t e
w a y s t o fi ll i t i n. Th e r e ha s b e e n a n e x pl os i v e g r ow t h of s uc h w a ys a nd a s a r e s ul t
ma n y b e l ie ve t ha t su st a ina b il i t y ha s t ur ne d i nt o a r a t he r hol l ow ph r a se . Ho we ve r ,
w e s h ou l d n ot g i ve i n t o t hi s p e ss i mi sm . E ve n t ho ug h t he le ve l of a bs t r a c t i on of
t he B r und t la nd d e f in it i on i s hi g h, it d oe s not me a n t ha t it ca n not b e m a d e m or e
co n cr e te i n a se ns ib l e f a sh io n. We sh oul d t a ke t he d e f i nit io n f or w ha t it i s: a
f ound a t i o n f o r f ur t he r d is c us si o n a bo ut how w e s hou ld t a ke r e s p o ns ib il i t y i n t im e
a nd s pa c e . I n s hor t , t he B r u ndt l a nd d e fi ni t i on r e q ui r e s op e r a t i ona li sa t i on: i t s ho u ld
b e d e t a i l e d i nt o a num b e r of c on c r e t e p o li c y me a s ure s i f w e a r e t al ki ng ab o ut
e n vi r onm e n t a l p o li c y , or i nt o c on cr e t e d e s i g n g u id e li ne s w he n w e a re t a l ki ng a b ou t
su st a ina b le d e s i g n of t e c h no l og y.

I t i s im p or t a nt t o se e tha t op e r a t io na l i sa t i o n of s us ta i na b i l it y r e q u i r e s n or ma t i v e
c ho ic e s; c ho i ce s w i t h r e sp e c t t o w hat t he r e l e va nt a s p e c ts ar e , a nd h ow t h e y
sh o ul d be w e ig hed i n r e la t i o n t o e a c h ot he r . Wor k in g out w ha t s u st a ina b le
d e v e l opm e nt s h o uld e nt a i l m e a ns m a ki ng e t hi ca l de c isi o ns. A nd w e s hou ld n ot b e
t oo ha st y t o co ncl ud e t ha t a l l f ur t he r d e f i nit i on s a r e e q ua l ly g ood . T he r e s h oul d b e
e t hi ca l d i s c us s io n a bo ut wh i c h d e f in it i o n i s b e st . I f you d e ni e d t h e ne c e s sit y of
su c h a d i s c us s i on, i t w ou ld le a d t o n orm a t i ve r e la ti vi sm a n d a l l it s i nhe r e nt
p r ob le m s (s ee c ha p t er 3 ).

Points f or disc us s io n
Wha t a r e t he mo s t i m p or t a n t q ue st io ns t ha t t h e B r un d t la nd d e f i nit io n ra i s e s ? O r
w hi c h p oi nt s of d i s c us sio n ha v e b e e n p la ce d o n t he a ge n d a ?

- Nee ds : wh i c h ne e d s a r e w e t al ki ng ab o ut he r e? Ar e no ne of t he p r e se nt
ne e d s d i sp ut a b le ? I s a ny d e v e l op m e n t t ha t p l a ce s li m it a t io n s on p e opl e b y
d e f i nit io n no n-s us t a i na b le ? We a r e a l l b e c o mi ng in cr e as i ngl y m ob ile , e . g . we
ha ve a t l e a s t o ne c a r, w e g o o n ho l id a y s se v e ra l ti m e s p e r ye a r ( u si ng a
p la ne ), w e de s i r e s pa c i o us , c omf o rt a b le a nd p r op e r l y he at e d li vi ng sp a ce ,
w e wa nt t he l a t e s t m o d e l of mob ile p hon e , a nd w a nt t o e at ve g e t a b l e s t ha t
co me f r om a b r oa d t he w hole y e a r ro u nd. S houl d a l l th i s si m pl y b e a ll o we d ?
I f not , w hi c h n e e d s a r e l e g i t i ma t e one s ? A re t h e y on ly t he ba s i c o ne s l i ke
f ood a nd s he l t er ? A nd if w e f e el t he y g o f ur t he r t ha n b a si c n e e d s, ho w d o
w e jus t if y t he m ?

- Pres ent needs : w h os e a r e t he y ? T he l e ss q uot e d se co nd p a r t of t he

d e f i nit io n c le a r ly s h ow s t ha t t he B r u nd t l a nd co mm i tt e e w i s he d t o ha ve t he
b a si c n e e d s of t he T h i r d Wo rl d a d d re ss e d f i r s t. A s a re s ul t , w e ca n d ed u ce
t ha t t he ne e d s i n t h e m or e p ro sp e r ou s p a r t s of t he w or l d ca n onl y b e
f ulf i l le d if t he e n vi r o nm en t a l l ow s s pa ce f o r t he m.

- Nee ds of fut u re ge ner atio n s : how d o w e kn ow w hat t he se a re ? S up e r f i ci a l l y

t hi s p o in t c ou l d l ea d t o a s t at e me nt li ke , O f c ours e w e d o nt k no w w ha t t he
ne e d s w i l l b e in f if t y or a h und r ed ye a r s, be c a us e f if t y t o a h u ndr e d y ea r s
a g o p e op l e d i d n ot k now w ha t w e f ee l to b e ob v i ous now ! Th i s
int e r p r e t a t i on d oe s no t s uf f i ce d ue t o t he a b ov e p oi nt of t he le g it i m a c y of
ne e d s : ob vi ous ne e d s a r e n ot ne ce s s a ri ly le g it i ma t e . N e ve r t hel e s s , t hi s i s

156
 a n imp or t a n t p oi nt . E c onom i c a nd t e c hnol og i c a l d e v el op m e nt s ma y t ur n
ne e d s t ha t a r e le g it i m a t e now i nt o i ll e g i t im a te o ne s a nd vi c e v e r s a .

- wi th o ut c om pr omi sing th e ab ility of f uture gene rati ons to mee t t he ir ow n

needs ': Sho u ld we i nt e r pr e t t hi s in s u c h a w a y t ha t w e ma y n ot r e d u ce t he
op t i o ns of f u t ur e g e ne r a ti ons a t a l l , or sh o ul d we i nt e r pr e t a s g i vi n g us t he
r o om t o le a ve f ut u r e g e ne r at i ons w it h s ome w a y s of f ul fi ll i ng t he i r ne e d s ? I f
w e t a ke t h e s e co nd i nt e rp r e t a ti on, b a se d on t he n ot io n t ha t te c h no log y wi ll
co nt i nue t o de ve l op , t he n t o wha t e xt e nt s h oul d w e a ss u me t ha t f ut ure
t e c h no l og y w il l b e a b l e t o me e t ne e d s ? As t he f ut ur e l e v e l of t e c hno lo g y i s
u nc e rt a in, w e a r e r un n in g a r i s k t ha t ma y b e f e l t t o b e i rr e sp o ns ib l e .
M or e o ve r, t he re i s a no t he r ca t c h: t e c hno lo g y do e s n ot d e ve l op o n i ts ow n
it i s so me t hi ng t he pr e se nt ge ne ra t io n ha s t o w o r k o n. T ha t is w h y a ny
a r g ume nt t ha t st a t e s w e d o n ot ne e d t o d o m uc h a b out s us t a i na b i li t y
b e ca us e f ut ur e t e c h nol og y w i l l b e c a pa b l e of pr o vid i ng in f ut ur e n e e d s mo r e
e f f ici e nt l y i s s us p i ci o us t o sa y t he l e a st .

T he f ir st i nt e r p r e t a ti o n i n w hi c h w e m a y n ot re d u ce t he o p ti o ns f or f ut ur e
g e ne r a t io ns i n a ny w a y is a l s o k n ow n a s t he st a nd s t i l l p r i n ci p le . E sse nt ia l l y it
st a t e s w e m u st not p a s s o n a p oor e r e nv i r o n me n t t o t he n e xt ge ne r at i on t ha n t he
on e w e r e c e i ve d f r o m t he p r e v io u s g en e r a t i o n. T he i de a is a l so e xp r e s s ed i n t he
no ti on t ha t w e mu st n ot r e l y o n e n vi ro nm e n t a l l oa ns , i . e . do n ot c r e a t e p r o b le ms
t ha t w e t r us t f ut ur e g e ne r a ti ons w i l l so l ve . 201 T he r e i s a t l e a s t o ne ma i n
d isa d va nta g e t o t he a bo ve d e fi ni t i on: w ha t d o w e m ea n b y p oor e r ? D oe s i t me a n
t ha t e ve r yt hi ng ha s t o t h e s t a y t he sa me , o r c oul d t he w or se ni n g o f o ne
e n vi r onm e n t a l a sp e c t b e c om pe n sa t e d b y t h e i m p r ov e m e nt of a n ot he r ? T he
p r ob le m he r e i s t ha t t he c omp a ri so n s oo n b e c om e s ve r y h a r d. C a n t h e s t or a g e of
r a di oa c ti ve wa s te w it h a ver y lo n g ha l f -l i f e b e c om p e nsa t e d b y l ow e r C O 2
p r od uc t i on as a r e s ul t of us in g e l e ct r i c it y p r o d u ce d b y n uc l e a r p o w er p la nt s ? A ga in
it w o ul d be w r ong t o t hi n k t ha t a l l a n sw e r s t o t hi s qu e st io n a re e q ual ly g ood . Som e
a ns w e r s a r e m or e e t h i ca l t ha n ot he r s , i. e . t he y l ea d t o a m or e d e fe nd a bl e
j ust if i ca t i o n of su st a in a b le de ve l op me nt .

E nvir onme nta l spa ce

O ne of t he t e r m s t ha t is i mp li ci t l y or e x p li c it l y u se d q ui t e of t e n i n a n a t te m pt t o
a c hie ve o pe r a t io na l i sa t io n is t he t er m e n vir o nme nt a l s pa c e. I n t he si xt h
e n vi r onm e n t a l a ct io n pr o g ra m me of t he E ur ope a n U n io n w e r e ad t ha t o ne of t he
ob je ct i ve s is to r e a c h a s i t ua t i on i n w hi ch t h e u se of r e ne wa b le a n d no n -r e new a b le
r e s our ce s d oe s not e x ce e d t he b oun d a ri e s of w ha t t he e nv i r on me n t ca n t a ke . T he
su g g e s t i o n of t hi s t e r m i s t ha t w e ha ve a s c ie n ti f i c a n d ob je ct i ve w a y t o d e t e rm i ne
t he s i ze of t he e n vir on m en t a l sp a ce w e ca n u se . O n ce w e ha ve de t e r mi ne d t hi s, it
is cl e a r wh a t w e m us t d o: w e m u st n ot e n su r e t ha t our e nv i r on me n t a l i mp a ct d oes
no t e x ce e d o ur e nv ir onme nt a l sp a ce . T hi s id e a i s nar r ow l y co n ne ct e d t o t he not io n
of t he e c ol og i ca l f oo t p r i nt . E x p re ss i ng s om e one s e n vi r o nme nta l im p a ct us in g a
su r f a c e i s o nl y p os s ib l e i f w e k now e xa c t l y w ha t th e e nvi r onm e n t a l im pa ct i s t ha t a
g i ve n su rf a c e ca n t a ke . T h us , we m us t k now w ha t t he r e c up e r a ti ve pow e r of t he
e n vi r onm e n t i s: w ha t d a ma g e ca n w e d o w i t h t he d a mag e be i ng ir r e v er si b le ?

T he a s s um pt i on t ha t w e a re a b l e t o c a l c ul a t e th i s re c up e r at i v e p ow e r a nd t he r ef or e
ma ke use of t he c on ce pt of e nvi r o nme nt a l sp a ce i n the o p er a t io na l i sa t i on of
su st a ina b i li t y is v e r y p r ob le ma t i c. F i r st , t he r e a re t he o re t ic a l p r ob l e ms re l a t e d t o
k now l e d g e . No t on l y i s t he r e m uc h f or us t o l e a rn, b ut t he re a r e t h i ng s t hat w e w i ll
ne ve r b e a b l e t o k n ow . T he f a ct t hat i rr e v e r s ib le da ma ge d ha s b ee n d one of t e n
b e c om e s c l ea r w he n i t is to o la t e . In s m a l le r , re p la c ea b le s y s t em s t he
e n vi r onm e n t a l e f f e ct c a n b e t e st ed , b ut w i t h so me t hi n g a s la r ge a s t h e ea r t h t hi s
201
I n t h e c o n t ex t o f t h e 2 0 0 2 W o r l d S u m m i t o n S u st a in a b l e D e v elo p m en t i n J o h a n n es b u r g ,
t h e s t a n d s t i ll p r in c ip l e h a s b e en t h e s u b j ec t o f r en ew e d i n t er es t a n d d e b a t e .

157
is si m pl y not p os sib le . O n e ca n m a k e p r e d i c t io ns, but t he s e ha ve t o b e b a se d on
a ss um p t i o ns a b out how s ta b le a g i ve n s yst e m i s . I s t he s ys t e m q u it e st a b l e a n d
d oe s i t co rr e ct it se l f t o a la r g e e xt e nt , or i s i t m ore t he c a s e tha t a bo ve a ce r ta i n
le v e l of d i sr up t i o n i nc r e a si ng l y u nc o nt r ol la b l e d a ma g e o c c ur s ? T h us we a r e f or c e d
t o m a k e a s s um p t i o ns and t he s i ze of t he r i s k of i r re ve r s i bl e e n vi r o nme nta l da ma g e
d e pe nd s o n t h ose a s s u mp t i o ns. T he d e g r e e t o w hi c h the s e r i s ks a r e a c c e p t a b le i n
t ur n d e pe nd s o n t he d e si r a b i l it y or a cc e pt a b i li t y of t he s o cia l co ns e q ue n ce s t ha t
e n su e f r om a v oi d i ng t ho se r i s ks . H ow m u c h mor e ar e w e wi lli ng t o i nv e st i n t he
e n vi r onm e n t a ll y f r ie n d ly g a t he r i ng of f os si l f uel s, a nd h ow m uc h i n f l ue g a s
p ur i fi ca t io n ? Su ch me a su r e s co ul d p r e ve nt o u r e ne r g y co n su mp t io n f r om
ou ts t r i p p i ng t he p o we r t he e n vi r o nm e nt ha s t o w i t hst a n d i t s u se . A s t h e co st s of
g e ne r a t in g e ne r g y w il l r i se ( f or t he m e as ur e s d o of co u r se i n vo l ve co st s) it is
p o ssi b l e t ha t th e e c onom i ca ll y c hal le nge d p a rt of t he p o p ula ce w il l ha ve t o s p e nd a
lot o n t h e ir e ne r g y b i ll s .

I f we b a s e m e a s ur es a i me d a t s us ta i na b le d e ve l op m e nt o n t he c o n c e pt of t he
e n vi r onm e n t a l sp a ce , t hi s co u ld le a d t o us im pl i ci tl y le a vi ng t he a n s w er i ng of t he se
no rm at i ve q u e st io n s t o s c ie nt i st s, e ve n t ho u g h t he y ha ve n o s pe ci a l e xp e r t i s e i n
t ha t f i e l d. T he c on ce p t of t he e nvi r o nme nt a l sp a ce ma y b e usa b le , b ut w e m ust
co nt i nue t o m o nit or t h at n or m a t i ve i ss ue s g e t t he a t t e nt i o n t ha t t he y d e se r ve .

T he preca ut io nary pr in ciple

T he p r e c a ut io na r y p r i n ci p l e i s of t e n me nt io n ed w he n w e co ns i d e r w hi c h r i sk s of
ir r e ve rs ib l e e nvi ro nme nt a l d a m a ge a r e a c c e p t a b le . I t or ig i na t e s f ro m t he Ri o
De cl a r a t i o n ( s ee b ox). T he Ri o De cla r a t i o n i s t h e cl os in g st a t e m e nt of t he f ir st
co nf e re nc e of t he U n it e d N at i on s o n s u st a i na bl e de ve l op me nt , w hi c h w a s he ld i n
Ri o de Ja n e ir o in 1 99 2 .

Th e p r eca u ti o na r y p r i nc i pl e

"I n or d e r to p r ot e c t t he e nv ir o nm e nt , t he p r e ca uti ona r y a pp r oa c h s ha l l b e w i d e l y

a p pl ie d b y St a t es a c c o rd i ng t o t he i r ca p a bi lit i es . Whe r e t he r e ar e t hr e a t s of se r i o us
or i r r e v e r sib le d a ma g e , l a c k of f ul l sc i e nt if i c ce rt a i nt y s ha ll not b e us e d a s a
r e a s o n f o r po st p o ni ng co st -e f f e c ti ve me a s ure s t o p re ve nt en v i r on m e nta l
d e gr a d a t i o n. " 202 I n e ss e n ce t hi s p r i nc ip le c ome s d ow n t o t he f o ll ow i ng : t he
su sp ic io n t ha t t he r e m ig ht b e se r io u s e nvi ro nme nt a l e f f e c t s is r e a s on e no ug h t o
st o p a n a ct i vi t y or t o t a ke p r e c a ut io n s, s o t ha t w e ma y a ss um e w i t hi n t he b o und s
of re a s on t ha t t h er e w ill be n o ir r e v e r si b l e c on se q u e nce s . T hi s p r i n cip l e ha s
a lr e a dy m a de i t s wa y i nt o E ur ope a n le g i sl a t i on. 203 H ow e ve r, t ha t d oe s no t m e a n
t ha t t he pr i n ci pl e i s u nc ont r ov e r si a l in E ur o pe , b ut i t is m u ch le s s so t ha n in t he
U nit e d St a t e s. Wh il e d is c us si on s in E ur op e foc u s on how t o ma ke t he p r i nc ip le
mor e co nc re t e , i n t he U nit e d St a t e s ma n y r e j e c t i t o ut of ha nd a s b e i ng
u ns ci e n t if i c . T hi s r e g ul a rl y l e a d s t o he a t e d d e ba t e s i n t he Wo r ld T r a d e
O r ga ni z a ti on a b o ut t h e q ue st i on w he t he r or no t E ur ope i s r a i s i ng un ju st if i ab l e
t r ad e b a r r ie r s.

T he i mp or t a nt co n ne c t i o n b e t w e e n s u st a i na b l e d e v e l op me n t a nd t he p r e ca ut i ona r y
p r i n ci p le li e s i n t he n o ti o n t ha t w e s h o uld no t le a ve e nvi r o nme nt a l loa ns t o t he
co mi ng g e ne r a t i o ns. I n ot he r w or d s, w e s houl d no t g i ve f ut ur e g e ne r a t i ons
p r ob le m s t ha t w e al lo w to co nt in ue b e ca us e w e c a n not a g r e e a b o ut t he qu e st io n
w het he r t he r e a r e se r i ous e nv i ro n me nt al e ff e ct s. I n t hi s w a y, w e a r e no t g u il t y of
f a ll i ng i nt o t he t r a p of a w a i t -a n d -s e e p o li c y. The ma in p r ob le m of t he
p r e c a ut i o na r y p r i n ci p l e i s t ha t it se e ms t o f or b i d a l ot . O p p o ne nts po i nt o ut t ha t a

202
h t t p : / / w w w .g d r c . o r g / u - g o v / p r ec a u t io n - 7 .h t m l
203
T h e p r ec a u t io n a r y p r in c i p l e w a s f o r m a l l y a d o p t e d b y c o u n t r ies o f t h e E u r o p e a n U n i o n in
t h e T r ea t y o f M a a s t r i c h t in 1 9 9 2 . I t h a s s in c e b e en ex t e n d e d f r o m en vi r o n m en t a l is s u e s t o
d ev e lo p m en t s r e la t e d t o h u m a n h e a lt h .

158
n um b er of i mp or ta nt t ec hni c al i n nova t io n s t ha t w e n ow c on si d e r t o b e d e s i r a b l e
w o ul d not ha v e b e e n i mp le me nt ed i s we a d h er e d to t he pr e ca ut i o na r y p r i nc ip le .
T he h ig h sp e e d of t r a i n t r af f i c w a s t h o ug ht t o ha ve a ll s or t s of ne g a t i ve e f f e ct s,
a nd i f t he s u sp ic i o ns h a d be e n t a ke n se r io u sl y a t t he t i m e t he n tr a i n t r a ff i c co ul d
ne ve r ha ve b e c om e s o i mp or t a nt. 204 A c co r di ng t o t he m, t he pr e ca ut i o na r y p r i nc ip l e
p la ce s a b s ur d l y hi gh d e ma n ds i n f a ct t he y a r e no n se ns ic al d em a nd s si n ce y ou
ca n ne ve r p ro ve t ha t s ome t h in g w i ll not ca us e d a ma ge . I t se e m s m ore j u st i f i a bl e ,
t h ou g h, t o d e ma nd t h a t w e ha ve r e a so na b l e g r o un d s ra t he r t ha n i n co nt r o ve rt i b l e
p r oof t ha t t he r e w il l b e n o d am a ge . B ut w ha t i s r e as on a b le ? A no t he r p ro b le m l ie s
in t he c os t e f f e ct i ve ne ss. I f w e a r e ig n or a nt of w hi c h da m a g e w il l oc c ur a nd
e sp e ci a l l y w ha t t he c ha n ce s a r e of s u c h d a m a ge oc c ur r i ng, i t i s p a rt i c ul a r l y
d if f i c ul t t o sa y s ome t h in g ab o ut w h e n a m ea s ur e w il l b e co st e f f e c t iv e .

10 . 4 C a n a s u s ta i n a bl e s o c i e ty be re al i z e d?

I t i s of t e n sa i d t ha t a s us ta i na b le s o ci e t y s i mp l y ca n not b e r e a l i ze d . S us t a i na b l e
d e v e l opm e nt i s not ye t ac hi e vab l e, b e ca us e it i s n ot c ost e f fe ct i ve e c on om ic a ll y
sp e a ki n g , or co ns u me rs j us t d o n t w a nt t o p a y mo re f or s ust a i na b l e p r od uc t s . We
sh o ul d be ca r e f ul , how e ve r, w it h t he i de a t h at s u sta i na b le d e vel op m e nt i s
u na c hi e v ab le or im p o s si b l e . At t he ve r y l e a st w e s ho ul d b e p r e ci s e a b o ut w h a t w e
me a n he r e .

I f we sa y t ha t s om e t hi ng is p os s i b le o r i mp os si b le , w e a lw a ys ha v e ce r t a i n
b o und a r y c o nd it i o ns i n mi nd . Wit h o ut b o und a ry c o nd it i o ns it is me a ni ng l es s t o
sp e a k a bo u t p os s i b il i t i e s. A nd t hes e b o und a r y c ond it i on s c a n b e d e b a t e d t o o; I
co u ld n t f in is h t h e a s s i g n me nt b e ca u se I ha d p r omi s e d m y f r ie nd s t o m e et t he m a t
t he p ub is a l e s s a c ce p t a bl e e x c us e c om pa r e d t o, I c ou ld n t f i nis h t he a s s i g n me nt
b e ca us e I ha d t o t a ke m y mo t he r t o h o sp it a l. T he di s c us si on d oe s not st o p a t t he
e xp e ct ed la c k of a ch ie va b ili t y or im p os s i b il it y, be ca u se w e m u st f i r st co ns i d e r h ow
p la us ib l e t he ex c us e i s .

Wh e n w e t r y t o mo t i va t e w h y a s us t a i na b le s oc ie t y is not a ch ie va b l e , we of t e n a r e
co nf r o nt e d w it h e c ono mi c b oun d a r y c o nd i t i o ns. Ho w e ve r , f i r s t l y, t he se a re n ot s e t
in c o n cr e t e e i t h e r . T h e c os t s of e n v ir on me nt a l d a ma g e ha ve n ot y e t b e e n
suf f i c i e nt l y i nte r na liz e d i n t h e p r i ce s of p r od u ct s. I n o t h er w o rd s, t he pr ic e of a
p r od uc t d oe s no t ta ke a ll t he e nv ir onme nt a l co st s on b oa r d. A n e x a m pl e on a n
in c on si s t e nt ca l cu l at i on of e nvi ro nm e n t al im p a ct i n p r od u ct pr i c e s is t he
e n vi r onm e n t t a x w e ha ve t o p a y on p e tr ol. T he e n v ir onm e nt a l t a x d oe s no t a pp l y
t o ke r o se ne , us e d a s f ue l f o r p la ne s. T hi s r e s ul t s i n t he f a ct t ha t f l yi ng t o ma n y
p la ce s i n E u ro p e is c h e a p e r t ha n t a ki n g t he t r ai n, a l t h o ug h t he t r a in se e ms t o b e a
mor e s u st a i na bl e t yp e of t r a n sp or t t ha n t he p la ne . Se co nd l y, e co nom i c b o und a r y
co n di t io ns a re not l a w s of na t ur e . Y o u ca n no t e s ca pe la w s of na t u r e , b u t yo u
ce r t a i nl y ca n c hoo se t o d o t h i ng s t ha t a re u ne co nomi ca l. Wha t d o e s ca r e fo r t he
e ld e r l y yi e l d ? We st i ll d o it b e c a use w e f e el t ha t w e m ust .

So me s ust a i na bl e d e v e lop me nt s a re s o ci a ll y u na c hi e va b l e . N ot ma n y p e op l e w ou ld
b e w i ll i n g t o re d u ce t he i r p r e s e nt mo b il it y t o r e d uc e ha r m t o t he e nvi r o nme nt
w hi c h w oul d b e t he m or a l l y d e s i ra b le t h i ng t o d o. We w a nt t o ke e p g o i ng o n
ho li d a y t o ot he r p a r ts of t he w o r ld a nd w e w a nt t o g o t o w or k wi t h o ur ow n ca r.
O ur m ob i li t y ha s b e c om e s o imp or t a nt t ha t w e d o not w a nt t o s a c r if i c e i t a s a
co nt ri bu t i on t o a mo r e s ust a i na b l e s oc i e t y. H owe ve r , t hi s t oo ca n c ha ng e , a lt houg h
it p r ob a b ly w i l l n ot ha pp e n by s imp l y c om i ng u p w it h s om e te c h no l og y t ha t of f e r s
a n a l t e r na t i ve . Som et i me s t h er e a r e b ou nd a r y c ond it i on s w it h st r ong a rg u me nt s i n
t he i r fa v o ur t ha t ma ke th e s u st a i na b le op t i o n im p os s i b le . Bu t i t i s a g o od t hi ng t o

204
S e e S c h iv el b u s c h ( 1 9 8 6 ) .

159
ma ke t hi s e xp li c it , r at he r t ha n te r m i na t i ng a ll d is c us si o ns b y sa yi n g t hi s i s
im p os s i b le ! w it h out s up p l yi ng r ea s on s.

Wha t i s r e la t ed t o e co no mi c a nd s o ci a l a c hie va b i li ty i s t he q ue st i o n w h e t he r w e
w il l e ve r r e a c h a s us ta i na b le s o ci e t y, g i ve n t he r ela t i ve l y s hor t t im e h or i z on i n a
d e m oc r a ti c s ys t e m. P o li ti c ia n s a r e u nl i kel y t o t a ke t he d r a s t i c me a su r e s t ha t a r e
ne e d e d f or s u st a i na b il i t y. O n t h e on e ha nd , p ol i t i ci a ns wi s h t o b e re -e le ct e d a n d ,
on t he ot he r , t he g o ve r nm e nt s r e sp ons i b il i t y i s n ot s ol e l y f o c us e d on re a l i zi ng a
su st a ina b le s o cie t y t o be n e f it t he e n vi r o nm e nt . P ol it i c ia ns a re r e s p on si b le f or
cr e a t i ng w o r k , w hi c h r e qu i re s a n e co no m i ca l l y a t t r a ct iv e cl i ma t e . Is t h e r e a n
a lt e r na t i ve f or th e d e m o cr at i c s y st e m t ha t i s m or e l ik e l y t o b e a b l e t o r ea l i ze
su st a ina b le d e v e l op m e nt ? We c oul d tr y t o al l ow po l ic y-m a k i ng t o b e c ome mo r e
e xp e rt -b a s e d. Ho w e ve r, a s w e sa w e a rl ie r i n o ur di s cu ss i o n of t he t e r m
e n vi r onm e n t a l sp a ce , t he r e a r e no e x pe r t s - e i t he r of t e ch n ol og y o r e nvi r o nme nt a l
ca r e t ha t c a n g iv e u s t he c om pl e t e s to r y a bo ut how t o a c h i e ve s us t a i na b il i t y.
E ve n i f t he ir f a ct ua l k no w le d g e i s g re a t , t he i r e xp e rt i se a nd a ut h o r it y is n o gr e a t e r
t ha n t ha t of a n or d i na ry p e r s on co n ce r ni ng no rm a t i ve c ons i d er a t io ns. 205 Wo ul d a
g r ee n d i ct a t or s hi p b e a n op t io n t he n? E ve n i f a d i ct a t or ha d t he be st i nt e nt i ons
r e ga r d i ng t he re a l iza t i on of s us ta i na b il it y, w e ha v e of t e n s e e n t ha t di ct a t or s hi p s
f a il t o a c hi e v e ma n y of t he ir or i g i na l a i m s. T hus t he r e i s l i tt l e t o b e ex p e ct e d fr om
t ha t s ol ut i on. M or e o ve r, o ne ma y w e l l w o nd e r w he t he r e nfo r ce d be ha vi ou ra l
c ha n ge ma y no t l e a d t o r e d u ce d pa r t i ci p a t i o n b y c i vi l ia ns i n s ust a i na b ili ty, w h i ch
w o ul d ha v e a ne g a t iv e imp a c t i n t he l ong t e r m . F i nal l y, t he l i mi t at i on of c i vi l r i g ht s
a nd f r e e do ms t ha t t hi s w o ul d ne ce ss i t a te i s e th ic a ll y d ubi ous .

So me be l ie ve t ha t s u st a ina bl e te c h nol og ie s w il l a ri se b e c a us e of t he d e ma n d . S o
t he m a r ke t w ill br i ng a so l ut i o n, a s it ha s i n m a ny ot he r i n st a n ce s. T hi s m e a ns t ha t
if i t i s not e co n om ica l l y f e a si b le w e s houl d n ot s tr i v e f or it . A n e xa mp le c a n b e
t a ke n f r o m t he u se of f os sil fu e ls : t he re a s o ni ng i s t ha t w he n t he y b e c om e s ca r c e
a nd t hu s mo r e e xp e n si ve , ot he r s ou r c es of e ne r g y w il l a ut o ma t i c a l l y a cq u ir e a
mor e co mp e t i t i ve p os i t io n.

A pa r t f r om w ha t w a s s a i d a b o ut t he so li d n e s s of e co nom i c la w s, w ha t w e ha v e l e ft
u nt o u c he d i s t ha t w e ar e of te n d e al in g w i t h si t ua t io n s i n w h i ch it w oul d b e t o
e ve r y bo d y s a d va nta g e t o a c t m or e s u st a i na b l y, bu t t hat t he fi rs t p e r s on t o a ct
t ha t w a y is p l a c e d i n a se r io u s c omp e t it iv e d i sa d va nt a g e . 206 B y w a it i n g f or t he
ma r ke t to s ol ve t h e p r ob l e m, it i s p os si b le t ha t a w or s e s it ua t i on w il l a r i se f or
e ve r y one . A s a s ol ut i on t o th i s k i nd of si t ua t io n you ca n i m ag i ne r e gu la t i ons f or
p a rt i c ul a r b r a nc he s, s uch a s s t a n d a r d s i s s ue d b y g ov e r nme nt or b y br a n c h
or ga n iz at i on s. I n op p o sit i o n t o t h is , s e tt i ng s t a nda r d s ma y le a d t o c on se r va t is m ,
w hi c h w il l no t r es ul t i n m u c h i nn o va t i o n. H ow e ve r , i t i s q ue s t io na b le w he t he r t ha t
is t he ca se . T he d e ma nd s m a d e of t e ch nol og y f r om t he v ie w p oi nt o f t he
e n vi r onm e n t w i ll c o nt i nue t o b e u ph e ld . S o f r om a co st s p e r s pe ct i v e i t is w i s e t o
st a y one s te p a hea d w it h t he t e chn ol og y y o u a r e de si g ni ng . M a ki n g s ma ll
a d j us t me nt s e a c h t im e t o me e t le g a l e nvi r o n me n t a l req u ir e m e n ts c a n p r ov e m or e
e xp e ns i ve t ha n a n i ni t i a ll y m a j or i n ve s t me nt in a su st a ina bl e d e si g n. 207

10 . 5 E n gi ne er s a n d s us tai n a bi l i ty

A lt ho ug h t he re i s o nl y lim it e d a g r e e m e nt o n w ha t a s us t a i na b l e s o c i e t y i s, a nd o n
ho w or w he t h er it w il l b e a c hi e ve d , e ngi ne e r s ca n ce r ta i nl y ma ke a c ont r ib uti on.

205
S e e a ls o c h a p t er 4 o n t h e t ec h n o c r a t ic f a l l a c y .
206
T h is ki n d o f s it u a t i o n s a r e in d ic a t e d a s p r is o n er 's d i l em m a s f r o m g a m e t h eo r y.
207
T h o u g h , t h i s a l s o en t a i l s r i s ks , b ec a u s e o n e t a k es a l o a n h o w c o n s en s u s w i ll b e
d ev e lo p e d ; o n e c a n o f c o u r s e s o m et im es b e w r o n g a t t h e p r e d ic t io n o f t h e ex a c t c o n t en t
of future norms.

160
T ec hni c a l k n ow l e d g e c a n b e u se d i n d i ff e r e nt w a ys to d i re c tl y or i n d ir e ct l y s ol ve o r
p r e ve nt e nv i r on me nt al p r ob le m s . T h is m ea n s e n g i ne e rs a r e re sp o ns ib le f o r ma k in g
us e of t ho se op p o r t u ni t ie s .

V ar i ou s t e c h ni ca l m ea s ur e s ca n b e t a ke n t o sa t i s f y t hi s r e s p o n sib il it y f o r t he
e n vi r onm e n t . The se m e a s ur e s ca n be ca t e g or iz e d a c c or d i n g t o le ve l a nd t y pe .

T he l e ve l s a re a s f ol l ow s :
a . P r od u ct le ve l
b . P r oc e s s le ve l
c. B us i ne ss le ve l

T he t y p e s a r e a s f o ll ow s :
1 . C le a ni ng up p o ll ut i on
2 . P r oc e s s in g of w a st e f l ow s (e nd of p i p e )
3 . P r e ve nt i ng wa st e f low s

A n e xa mp l e of a b2 m e a s ur e (p r oc e s s in g w a s t e f l ow s a t t he p r o ce ss le ve l ) i s th e
p ur i fi ca t io n of w a t e r b e f or e it le a ve s a f a c t o ry. A ca t a l y st i n a ca r i s a n exa m p l e of
a n a 2 me a su r e . C ha ng i ng t o low -e ne r g y/ cle a ne r p r od u ct io n pr o ce s se s i s a n
e xa m p le of a b 3 ( or c3 ) m e a s ur e . P e op le g e ne r a ll y ag r e e t ha t t he a b ov e l i st is one
of i n cr e a s i n g e f f e ct i ve ne ss. I n ot he r w or ds , a t yp e 3 me a s ure is of t e n t he mo st
e f f e ct iv e , f ol low e d b y a t ype 2 me a s ur e a n d t he n a t yp e 1 m e a s ur e . I n a d d it i o n, it
is in t er e st in g t o n ot e t ha t a 3 m ea s ur e s ca n b e of a va r i e d na t ur e : e xa m p l e s a r e
ma k i ng ca r s mo r e e ne r gy e f f i c ie nt, m a ki ng c om p l ex de v ic es mo re m od ul a r so t ha t
f ull r e p la ce me nt is n ot ne e d e d i f a p a rt b e co me s d ef e ct i v e , t he e f f ort s of d e si g ner s
t ha t r e s ult i n co n s ume rs no l o ng e r t h row in g a wa y m ac hi ne s b e f or e t h e y be c om e
u nu sa b le . M u c h c a n b e a c hi e v e d b y t hi s t y p e of e f f o rt , a nd i t i s i n s t a r k c ont r a st
w it h, f or e xa mp le , t he p r e se nt p r a ct ic e i n t he f i el d of ce l l ph o ne s. The c o nti nui ng
d e s ig n of ne w mo de l s in o rd e r t o co n vi n ce c on s ume r s t ha t t he y n e e d t o d um p t h e ir
old m od e l (e ve n if it i s st i l l p e r f e c t l y f u n ct i o na l) i s w id es p r e a d i n al l so r t s of
se ct o r s w he r e p r od uc e r s w i s h t o ma i nt a i n t h ei r p r od u ct i o n d es pi t e a l e v el of
ma r ke t sa t ur a t i on.

1 0 . 5.1 Points of att ent ion duri ng t he des ign pro ce ss

A s w e s a w i n cha p t e r 6 , a num b e r of mo r a l q ue s t io ns ca n b e a s ke d d ur i ng t h e
d e s ig n p r o ce ss a nd t hi s a l so a p pl i e s t o s u st a ina bi lit y. T he s e q ue st i on s ca n c o nc e r n
t he e nv ir o nme nt a l i mp a ct of a p r od u ct d ur in g it s lif e p ha se s ( i. e . t he p r od u ct i o n
p ha s e , use p ha se , a nd r em ov al p ha s e ) . Ea ch p has e ra is e s it s ow n e n vi r o nm e nt a l
q ue s t i o ns . T he ch oi ce s f or t he e n vi ro nm e n ta l imp a c t of o ne p ha se c a n inf lu e nce
t he e nv ir o nme nt a l i mp a ct of a n ot he r p ha se . A s a n e xa mp l e of how co n sid e r a t i o ns
of s u st a i na bi l it y w or k i n a p r a ct i ca l d e si g n c o nte xt , w e s ha l l d i sc us s t he d e si g n of
a he a t p u mp bo il e r.

Ca s e: H ea t p u mp bo i ler

A he a t p ump b oil e r is a p ie ce of e q ui p m e nt t ha t p r o vi d e s t he hou s e h old

r e q ui r e me nt s f or h ot w a t e r b y m e a n s of a t he r mo d y na mi c c y cl e p r o ce s s i n w hi c h
he a t i s e xt ra ct e d f ro m a s o ur ce to h e a t t h e wa t e r . I t i s a ki nd of r e ve r se f r i d ge .

O ne im p o rt a nt c har a c t e r is t i c of su c h a de v i c e is t ha t h e a t ca n b e p um pe d i n a
d ir e ct io n wh e r e i t nor ma ll y wo ul d n ot g o. T he he a t p um p b o il e r c a n e xt r a ct he a t
f r om gr o und w a t er o r f r om v e n ti la t i on a i r a n d b e c a u se t h is n or ma ll y u n use d l ow -
q ua l it y e ne r g y i s ut i l iz e d , t he yi e l d ( d e fi ne d a s [ hi g h- q ua l it y e ne r g y o ut / hig h
q ua l it y e ne r g y i n] * 1 0 0% ) e ve n r i se s a b o ve 1 0 0 %. S o t hi s w ou l d se e m t o b e a
t r ul y su st a ina b l e d e v ic e.

161
D ur i n g d e si g n a num b e r of c hoi c e s ha ve t o be ma d e tha t ha ve a n im pa ct o n th e
su st a ina b i li t y of t he d e vi c e :

- Lif e s p a n: w ha t lif e sp a n doe s t h e d e v i c e r e q ui re ?

- Re c y c la b il i t y: t hi s i s a t er m t h a t ca n b e d ef i ned i n ma n y w a y s . I n p ri nc ip l e
ne a r l y e ve r y t hi ng i s r e c yc la b le . T he q ue s t i o n i s how m u ch e ne r g y i s i nv ol v ed
in t he r e cy c l i ng . Re us e i s a not h e r op t io n: a he a t p um p b oi le r c oul d b e
d e s ig ne d i n a m od ula r f a s hi on, so t hat c om p on e nt s wit h s ho rt e r l if e s p a n s
ca n b e r e p la ce d a l l ow i ng t he p ar t s t ha t s ti l l w or k t o b e us e d m uc h l ong e r.
- E ne r g y so ur ce : s ho ul d t h e he a t p um p b oi l e r w or k o n nat ur a l g as or
e le ct r ic i t y ?
- Jus t l i ke a re f r ig e ra t or , a he a t p u mp b oi le r c ont a i ns a p r i ma r y re f r i g e r a nt
t hi s i s a su bs ta n ce t ha t ha s t he r m od y nam ic p r op e r t ie s s ui t a b l e f o r a c y cl e
p r oc e s s. P ri ma r y r e f r ig e ra n t s of te n ha v e a n i mp a ct o n t he g r e e nho us e e f f e c t
a nd t he oz one h ole , b ut t he y d if f e r gr e a t l y i n t he d e g re e t o w hi c h t he y
d is p l a y t h e se e f f e c ts ( se e c ha p te r 6 ).
- T he s ou r c e m e d i um: t hi s i s w h e re t he he a t ha s t o co me f r om .

N ot e tha t p la ci ng t he s e d e sig n c h oi ce s up fr on t d oe s not e ve n be g in t o t ou c h on

t he q ue st i o n w he t he r t he he a t p u mp b o ile r t e c hn ol og y a s s u ch i s su st a i na b le . I t i s
q ui t e p o ss ib le t ha t s o me o t he r t e ch nol og y o f fe r s a b e t te r c om b i na t io n of f u nc ti ons
or t ha t a p p l yi ng he a t p u mp bo i le r s le a d s t o m or e e nv ir onme nt a l p r ob l e ms t ha n t he
old e r t e ch n ol og y. So m e t im e s t he g re a t e st s u st a i na b i l it y b e n ef i t s ca n b e g a i ne d b y
sc ra p p i ng a n e nt i re c o n ce p t i ns t ea d of hol d i ng o nt o a ll s o rt s of s m a l l d e s ig n
c ho ic e s w i t hi n a g i ve n c onc e p t . T hi s pl a y s a rol e i n t h e d i s c us si on a b o ut t h e
h yd r og e n ce l l ca r . T hi s k i nd of ca r m a y b e m or e s u st a i na bl e t ha n t he p re s en t
g e ne r a t io n of p e t r ol, d ie s e l a nd g a s ca r s , b ut t he q ue st i o n of w het h e r s us t ai na b l e
t r an sp or t s ho uld co n si s t of ca r -l ik e s ol ut io n s is n ot a ns we r e d t hi s wa y. S ust a i nab l e
t e c h no l og y d e v el opm e nt r e q u ir e s t ha t t he s y st e m b oun d a ri e s t ha t t he d e si g n
c ho ic e s a r e f ra m e d i n ca n b e i g no r ed i f t he r e i s r ea s on t o d o so. S us ta i na b il i t y i s
e sp e ci a l l y s uit e d f or r ad i ca l d e sig n c hoi ce s. 208

How re s p o ns ib l e c hoi c es ca n b e m a d e i n t he d e vel op m e nt of ne w t e c hno lo g y a nd

d e s ig n c hoi c e s w it h in tr i e d a nd t e st e d co nc e p t s i s e xpl a i ne d b e low . So m e e xa m p l e s
w il l b e g i v e n w it h t he in st r um e nt s u se d f o r m a k in g t he a b o ve c ho i ce s.

1 0 . 5.2 Life cycle a nalys is

T he p o i nt of d e p ar t u re f or a s o- ca ll e d l if e c y cl e a na l ys i s i s t ha t you mu st b e a bl e
t o c omp a r e t h e e n vir o nme nt a l i mp a ct you ca us e w i t h y our de s i g n w it h a l t e r na t i ve
d e s ig ns i n or d e r t o a c hie ve s u st a i na b le d e s i g n. T his ca n b e do ne by m ap p i ng t he
e n vi r onm e n t a l im p a c t a cr os s t he e nt i r e c y cl e of pr od u ctio n , us e a n d disp o sal . 209
Wha t i s im p or t a nt i s t he i nt e g r a l na t ur e of t he se co mp a r i so ns: f a ir c omp ar i s o ns of
p r od uc t s or b e t t e r ye t of w a ys i n w h i ch a se r ie s of f un ct i o ns ca n b e c a r r i e d o ut
t hi s ca n o nl y be a c hi e ve d b y l o oki ng a t t he w h ol e lif e cy c l e . Th e v ie w p oi nt is
r e f le ct e d i n a n umb er of i n st r um e nt s a n d d e si g n a p pr oa c he s s o m e a re m or e
q ua nt it a t iv e a nd ot he r mo r e qu a li t at i ve.

Qua nt itative
T he r e a r e va r io u s s of t wa r e pa c ka g e s, l i ke Si ma P r o a nd E co S ca n, s ui t a bl e f o r a
q ua nt it a t iv e l i f e c y cle a nal y si s . Th e se s of t wa r e p a c ka g e s m a ke u se of a da t a b as e i n
w hi c h va ri ou s e n v ir o n me nt a l c onse q u e nc e s of p r od u ct io n (o b t a i n i ng r a w ma t e r i a l s,
p r oc e s s i ng me t ho d s, a nd t r a ns p or t ), u se , a n d s cr a p p i ng (r e us e , r e c yc l i ng , a n d
w a st e ) a r e i n cl ud e d. A s a f ina l r es ul t , al l of t he a b ove i s su mma r iz e d i n a s c or e
208
S e e c h a p t er 6 .
209
O f t e n m o r e p h a s es a r e d i s t i n g u is h ed , b u t h er e t h i s s e em s s u f f ic i e n t .

162
t ha t e x p r e s s e s t he t ot a l e n vir onme nt a l im pa c t of t he p r od u ct o r d e si gn i n q ue s t i on.
T o ob t a in be t t e r d e si g ns, w e a r e g i ve n i n si g ht i nt o w hi c h p ha s e s t he r e i s a n im p a c t
a nd w ha t i s ha v i ng a n im pa ct i n t he f i r s t p l a c e. O ft e n co nc l u si on s c a n be d r aw n
f r om t hi s a b o ut t he p ha s e i n w hi c h m o st ca n b e d o ne t o i m pr o ve e nvi r o nme nt a l
im pa c t.

T hi s t y pe of s of t w a r e ca n b e a ma jo r b e n e f it t o s us t ai na b le d e s ig n, b ut it a ls o ha s
a n um be r of l i m it a ti o ns . O ne p ra ct i ca l l i mi t a t io n is t h a t m a k i ng a q ua nt it a t i ve
a na l y si s i s t im e co ns um i ng. T hus , t he e nv i r o nme nt a l im pa ct of onl y a r e st r i ct e d
n um b er of a lt e r na t i ve s ca n b e m e a s ur e d i n p r a ct i c e, m a k i n g t he c hoi ce of
a lt e r na t i ve s ex t r e me l y i mp or t a nt. T h is i s e sp e cia ll y tr ue wh e n va ri ous f u n ct io ns ca n
b e g r o u pe d i n one d e v ice a nd t h e a l t e r na t i ve s d if f er i n how t he g r oup in g ta ke s
p la ce , w hi c h m a k e s f u rt h e r d e l i be r a t i o n ve r y la b o ur i nt e ns i ve . F or e xa m p le , i n
ho us e ho ld s t he re is a ne e d f or ce nt ra l he a t i ng a n d w a r m t a p wa t e r . Bo t h fu n ct io n s
ca n b e f ulf i lle d b y a hi g h -ef f i cie n c y b oi le r . T he he a t p um p b o il e r c a n not p e rf o r m
b ot h j ob s e f f i c ie nt l y u nle ss a so - ca l l e d l ow - t em p er a t ur e c e n t ra l he a t in g u nit i s
in st a l l e d. S o, t he se e mi ng l y mo re s ust a i na b le he at p um p b oi l e r r e q ui re s a d i v i si o n
of f un ct io n s t ha t a r e of t e n c om b i ne d i n m os t h o use hol d s , ma k in g i t a l e ss
f a vo ur a b l e opt i on. H o w e ve r , t hi s co mp a r is o n w oul d re q uir e us t o m a ke a l if e c y cle
a na l y si s on t he e n t ir e sy st e m of hea t i ng a nd s up p l yi ng hot w a t e r a nd n ot j us t t h e
he a t p um p b oi le r . I n s u ch ca se s ca r r yi ng o ut a m or e q ua l it a t i v e a n a ly s i s i s t he
mor e ob vi ou s c h oi ce .
A se c o nd im p or t a nt l i mit a t io n is r e la t e d t o t he o utp ut g e ne r a t e d b y t he se k i nd s of
p a c ka ge s . T he e nv i r o n me n ta l imp a c t i s e xp r e sse d on a o ne - d i me nsi ona l s c a le .
E xha u st i on of ma t er i al s, p ol l ut io n a n d d eg r a da t i on a r e a l l p la ce d on o ne he a p b y
me a n s of w e i g hi n g f a c t or s. T h es e we i g hi ng f ac t or s ca nn ot b e a lt e r e d b y t he u se r
of t he s of t w a re p a c ka ge . T hi s g i ve s a f a l se s e nse of f a ct ua l it y a nd ob j e c t i vit y,
w hi le t h is i s no t j ust if i e d . T he w e ig hi ng f a ct or s s h o ul d b e b a s e d o n nor ma t i ve
c ho ic e s r e la t e d to w ha t s h ou ld w ei gh m os t. T he u se r of t he p ac ka g e , t he d e s i g ne r ,
is not g i ve n a c ce ss t o th ose c h oi ce s, w hil e t he y a re of g r e a t im p o r ta n ce f or t he
f ina l r e s ult .

Le t s s a y t ha t y ou w a nt t o d e t e r m i ne w he n t o r e p la ce a ca r on t he b a s i s of t he
e n vi r onm e n t a l im p a c t. I f w e l ook a t t he a m o u nt of e ne r g y u se d d u ri ng t h e l if e
c yc l e , we s e e t ha t i t i s r e la t i ve l y sm a ll i n t he pr od uct i on p ha s e c om p ar e d t o t he
e ne r g y u se i n t he u se p ha se . Y o u co u ld d ra w t h e c on cl us i on t ha t it wo uld b e m ore
su st a ina b le t o b u y a ne w ca r mo re of t e n. T he l ow e r e ne r g y us e of t he n e w ca r
e a si l y com p e ns a t e s f o r t he co st s of it s p r od u ct i o n. H ow e ve r , if w e l oo k a t t he
ou tp ut of d a ma g i ng s ub st a n ce s, t h is i s r e l a t i ve l y h ig h d ur i n g p r od u ct i o n c omp a re d
t o us e. T h is w ou ld re s ult i n t h e op p os it e c o nc l u sio n: do not r e p la c e y o ur ca r t o o
q ui c k ly. S o t he q ue s t i o n i s: s houl d r a w m a te r ia l e x ha ust io n ( use of fos sil f u e ls )
w e ig h he a v ie r t ha n a i r po l l ut i o n? T hi s i s a n i mp o rta nt d i s c u ss i on w it h s ma ll
va r ia t i o ns f or ma n y p r od u ct s. Ho w e ve r , t he us e of a q ua nt i t at i v e l i f e c yc l e a na l ys i s
w it h a o ne -di me ns io na l o ut p ut w il l not s ti m ul a t e t hi s d is c u ss i o n. T h e re su lt s
t he r e f o re s ee m t o b e s ome w ha t r a nd om, f or t he y a re b a s e d on t he no rm a t i ve
p oi nt s of d e p a rt ure of t he c om po se r s of t he d a t ab a se , w hi c h w as not s ub je ct to
a n y se r i o us de b a t e.

Qua litat ive

M or e q ua l it a t i ve l y o r ie nte d l i f e c y c le a p pr oa c he s of t e n co me t o a n um b er of ru le s of
t h um b f o r de s i g n. T he s o- ca l l e d Li D S w he e l a p pr oa c h ( Li D S i s a n a b b re v i a ti on f o r
Lif e c y c le D e s ig n St r a t e gi e s ) f o cu se s on t he f oll ow i n g e ig ht r u le s o f th um b : 210

1 . Ne w co nc e p t d e v e lo pm e nt
2 . Se l e c t i on of l ow - im pa c t ma t e r ia ls

210
B r ez e t & V a n H em e l ( 1 9 9 7 ) .

163
 3. Re d u ct io n of m at e r ia l
4. O p t i mi za t i on of p r od u c t io n t e ch n iq ues
5. E f f ici e n t d ist r i b u ti on s ys t em
6. Re d u ce of t he e nvi ro n me n t al imp a c t i n t he u se r st a ge
7. O p t i mi za t i on of i nit i a l lif e - t im e
8. O p t i mi za t i on of e nd -of -l if e s y st e m

Le t us ta k e a b r i e f l o ok w ha t a f e w of t he se r ul e s of t h u mb wo ul d me a n i n
p r a c ti ce . He r e , w e us e th e e xa m p le of th e he a t p um p b oi l e r ( s e e b ox) . T he f i r s t
p oi nt , ne w co nc ep t d e vel op m e nt , i s i n fa c t t he mo st im p or ta nt p oi nt . T he c l e ver
int e g ra t i on of f u n ct i o n s ca n of f e r a d va n t a ge s . Y o u c ou ld f or e xa mp l e e nv is a g e a ir
co n di t io ni n g b y me a ns of a h e a t p ump b oil e r . Wit h one p ie ce of e q ui p me nt t w o
f unc t i o ns a r e p r ov id e d . Co ns id e r t ha t t he he a t p um p b oi le r a l r e a d y d i vi d e s t he
f unc t i o ns of p r ov i di ng ho t w a t e r a n d ce nt r a l he a t i n g, w hi c h is h i g hl y q u e st io na b l e
f r om t he p e r s pe ct i v e o f s ust a i na b i li t y. N e x t t o t ha t y o u c a n c on si d e r us i n g on e
p ie ce of e q uip me nt f or mo r e t ha n one h ous e ho ld .
Se l e c t i on of l ow - im pa c t ma t e r ia ls me a ns t ha t no n- da ma g i ng a nd l e s s s ca r c e
ma t e r ia l s a r e c hos e n; if p os si b l e th e y ha ve b e e n r e c y cl e d a nd c a n a t le a st b e
r e c y cl e d ; a nd t he y ha v e a l ow e ne r g y co nt e nt . T he c h oi ce of a ce rt a in t yp e of
co ola nt fo r t he h e a t p um p b oi le r is of im p o r ta n ce f or i ss ue s l i ke t he g re e n h ouse
e f f e ct an d t he o zo ne hole .

T he e n v ir onm e nt a l i m p ac t i n t h e us e r s ta g e (6 ) i s ve r y im p o r ta nt f or t h is k i nd of
ma c hi ne ; it is a f t e r al l a n e ne r gy t r a n sf or m e r . T he yie l d of t he m a c hi ne d e p en d s o n
a n um be r of t hi ng s, i n cl ud i ng t he e ne rg y so u rc e . T he e ne r gy s our c e ca n be e it he r
g a s or e l e c t r i c i t y. T he a dv a nt a g e of g a s i s t h a t for m os t hou se ho ld s t he e ne r g y
so ur ce for w a r m w a t e r r e ma i ns u n c ha ng e d . The y ie l d s of a g a s he a t p um p a r e
ho we ve r s ome w ha t l o w e r a nd t he c omp r e ss or ca nno t b e he r me t i c a ll y cl os e d , s o
t ha t t he re w i l l b e a l os s of co ol a nt ha v in g a n im p ac t on t he e nv i r on me n t .
M or e o ve r, t he re i s no ne ce ssa r y d e pe nd e n ce of f os sil e ne r g y s o ur c e s i f e l e c t ri ci t y
is us ed a s a n e ne r g y s our ce ; e le c t r i c it y ca n b e g e n e ra t e d in va ri ou s w a y s. B e sid e s
t he y i e l d a nd t he l os s of c ool a nt , t he r e is a n ot he r p os sib le so u r c e of e n vir o nm e nt a l
im pa c t i n t he us e p ha s e : th e la r g e s ca le us e of g r o und wa t e r a s a he a t s o ur ce m a y
r e s ult i n it c oo li ng d o w n. Pe op le u su a ll y t hi n k of he a t in g up w he n t he t he r m al l oa d
is me nti one d , bu t co ol in g co ul d a l s o f a ll u nd e r t hi s he a d i ng . T he p os sib l e
co n se q ue n ce s ha ve no t b ee n ma p p ed ye t a nd f o r t ha t re a so n t he us e of a not he r
so ur ce of he a t m a y be w is e r .

Wh il e o p t i mi z in g t he i nit i a l li fe s pa n, w e c a n co n sid e r a m od ula r b ui ld , so t ha t p a rt s

ca n b e r e p la ce d . B ut hi g h r e lia b i l it y a nd ot he r ma t t e r s t ha t st im ul a t e u se r
f r ie ndl i ne s s c on t ri b ut e t o a p ie ce of e q uip me nt not b e i n g d is po s ed of t oo e a r l y. F or
t ha t m at t e r , op ti ma l i s no t t he sa m e t hi n g a s a s l o ng a s po ss ib le ; if s om e t hi ng
ha s t o w or k f or a l o ng t i me t hi s pl a ce s a d di t i o na l re q u ir e m e nt s o n t he p r od u ct io n
a nd m a te r ia ls . T hi s ca n ha ve c o ns e q ue nc e s f or r e c yc li ng. M o re ov e r , t e c h no lo g y
ma y a d va nc e s o q ui c kl y t ha t t he d if f e r e nc e b e t w ee n t he e n vir o nm e nt a l i mp a ct of
a n ol de r ma c hi ne d ur i ng u se ca n b e ma n y t i me s h ig her t ha n t ha t of a ne w m a c hi ne
w it h t he sa m e f u nc t i o n, w hi c h e a si l y co mp e ns a t e s t he a dd it i ona l e n vi r o nm e nt a l
im pa c t of t he ot her t w o p ha se s. I n ot he r w o r d s, t he ma ch i ne is b e s t r e p l a c ed f r om
a n e n vi ro n me nta l p oi n t of v ie w .

A q ua l i ta t iv e l if e cy c le a p p r oa c h of a d e s i g n i s a go od w a y t o m a ke a n in ve n tor y of
w he r e t he b ig g e st im p r o ve m e nt s c a n b e ma d e r e g a rd i ng s ust a i na b i lit y a nd a l so
w hat t he mo st imp or ta nt de s ig n q ue s t i on s a r e . A nu mb e r of s u st a i n a b il it y i ss ue s
oc c ur out si de t he d e si gn f r a me wo r k a nd t h e r e f or e a r e not d e a l t w i t h i n t hi s
a p pr oa c h.

164
I t s ho ul d b e not e d t h a t a l if e cy c l e a na ly s i s f oc u ses e xc l usi v e l y o n t he
e n vi r onm e n t a l im p a c t. T he q ue st i o n i s w h e t h e r t he ot he r a sp e c t s of s us ta i na b i l it y
a r e s uf f i c ie nt l y d ea l t w i t h. I nt e r g e ne r a ti ona l ju st i ce i s i nd ir e c t l y d e a lt w it h a s t he
q ua l it y of t h e e nvi r o n me n t i n th e l o ng e r r un i s c o ns id e re d . T he i nt r ag e ne ra t i on a l
j ust i c e a l s o i s i nd i r e ct l y a d d r e s s e d t o t he e xt e nt t ha t e n v ir o nm e nt a l d a ma g e of t e n
is f or t he a c c ou nt of w e a ke r p a r ti e s i n so ci e t y, s o a l ow e r e n vir o nm e nt a l i mp a c t
he l p s t ha t g r oup in p a r t i c ul ar . H ow e ver , t h is i s q ui t e som et hi ng e l s e f r om g i vi ng
p r i ori t y t o t he e s s e nt i a l ne e d s of t he p oo re s t p e o pl e on t h e p l a ne t . Tha t i s no t s o
st r a ng e co n sid e r i n g i f w e r e me m b e r t ha t w e a r e d i s c us si ng t he i ntr od uct i on of
su st a ina b i li t y c ons i d er a t io n s i n t he d e s i g n p r oc e s s . O ut s i d e t ha t f r a me w o r k a l l
sor t s of s t e p s m us t b e t a ke n t o a c hie ve tr ue s ust a i na b i li t y. H ow e v er , l if e c y cle
a p pr oa c he s ha v e ha r d l y a n y b e a r i ng o n t hi s .

10 . 6 Th e r es p o ns i bi l i ty o f e n g i ne ers f or the en vi r onm e n t

We ha ve s ee n t ha t t e c h ni ca l c h oi ce s ha ve f a r-r e a c hi ng c on se q ue n c e s f or na t u re
a nd t he e nvi ro n me nt . T he y ca n c on t ri b ut e t o t h e r e a l i za t i o n of s us t a i na b le
d e v e l opm e nt , b ut a l s o t o u n su st a ina b i li t y . O n t h is ba si s, e ngi ne e r s ha ve s pe c i a l
r e sp ons i b i li ty. T h is r e s p ons i b i li t y c an b e e x pr e sse d b y t he d e ve l op m ent of sp ec ia l
e n vi r onm e n t a ll y f r ie n d ly a n d s us ta i na b l e t e c h ni q ue s. H ow e ve r, e ng ine er s c a n t a ke
co n sid e r a t i o ns of t he e n vi r o nm e nt a nd s us t a i na b il it y in s t a n da r d d e s i g n p r oc e sse s
t oo. T h is ca n b e r e a l i z e d b y s us t a i na b le d e s i g n, w h ic h ca n b e gi ve n s ha p e b y a
li f e cy c le a p pr oa c h. Tr ue s us t ai na b le d e s ig n me a n s di sc u ss in g t he bo u nda r ie s of t he
sy s te m . It ma y me a n t ha t y o u ha ve t o c ons i d e r a ra d ic a l de s ig n t o b or r ow t he
p hr a se f r om c ha p t e r 6.

T he r e s p o ns i b il i t y of e ng i ne e r s, h owe ve r , re a c he s be y o nd t he d e si gn of s ust a i nab l e

p r od uc t s. F o r a t e c hno l og y t o be a cc e p t e d i t i s so me t im e s ne c es sa r y f or c ha ng e s t o
b e ma d e a t a s oc ie t a l l ev e l . T hi s r e s p o ns ib il i t y lie s not o nl y w i t h t h e e ng i ne e rs , b ut
in p a r t i t d oe s. A m or e s ust a i na b l e so ci e t y i s n ot ne c e s sa ri ly s u st a i na b le . I n f a ct ,
t he r e is no g ua r a nte e t ha t t he st e ps t ha t a re t a ke n t o ma k e t e c hno log y mo r e
e n vi r onm e n t a ll y f r ie n d ly w i l l in d e e d r e s ul t i n a tr u ly m or e s u st a i na bl e s oc ie t y: a
so ci e t y t ha t m e e ts a d e f e ns ib le n oti on of t he B r u nd t l a nd d e fi ni t i on. I n ma n y ca se s
e ve n m o re r a d i ca l st e p s a r e ne ce s s ar y, s uc h a s t he c om pl e t e ce ss a t i o n of a ce rt a i n
a ct i v i t y or t e chn ol og y. The se mo r e ra d ica l st e ps do not a l w a y s l ie w it hi n t he
sp he r e of i nf l ue nc e of e ng i ne e r s. H ow e ve r , t he fa ct t ha t t h e r e s p o ns ib i lit y f or t he
r e a li z at i on of su st a ina bl e d e ve l op me nt i s la r g e l y in han d s of ot he r ac t or s i n s oc i e t y
is no r e a s o n t o b e a l oof a s a n e ng i ne e r. A m e a ni n gfu l s oc i e t al di s c us s i o n a b o ut
w hat i s w ise f r om t he p e rs pe ct i v e of s u st a i n a b il i t y a nd w ha t is t e c h ni ca l l y p os si b le
ca n onl y b e he l d if e ng i ne e r s a r e w il li ng t o c ont r ib ut e t he ir sp ec ia li ze d k no w le d ge .

165
R ef er en c es

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