Section-A

1. ____ means systematically quantifying the relative importance of risks and benefits to demonstrate the
net benefits of a process to a user.
Ans: Risk-Benefit Analysis
2. The objectives of Professional Ethics in Engineering are
Ans: All of the above (To understand the moral values that ought to guide the Engineering profession, to
resolve the moral issues in the profession, to justify the moral judgment concerning the profession)
3. Besides the tests, each engineering project is modified during execution, based on
Ans: The periodical feedback on the progress and the lessons from other sources
4. You are a person with a high level of ____ if you stand by your values even if others put pressure on you
to do something that is wrong or if they make fun of you.
Ans: Integrity
5. What is true about a professional?
Ans: All of the above (The professional has to have autonomy, he cannot be supervised by the client, he
should not subject to political control)
6. We use which among the following technique in business organizations and firms for protecting the IT
assets?
Ans: Ethical hacking
7. Resource Crunch, Opportunities, and Attitude relate to
Ans: Variety of moral issues
8. A thing is safe if its risks are judged to be within
Ans: Acceptable levels
9. According to Gilligan, ____ have a tendency to over-ride the importance of moral rules and convictions
while resolving moral dilemmas.
Ans: Male
10. In the ____ right conduct for an individual is regarded as whatever directly benefits oneself.
Ans: Pre-conventional level
11. What is an ethical dilemma?
Ans: Moral conflict between values
12. ____ is the concept that describes the beliefs of an individual or culture.
Ans: Values
13. Which of these is a factor that affects ethical and unethical behavior?
Ans: Ethical dilemma
14. The law of contract is different from the law of tort in which way?
Ans: It generally concerns a relationship between two parties only
15. Consent is defined as:
Ans: Two or more persons are said to consent when they agree upon the same thing in the same sense
16. Which one of the following elements is not necessary for a contract?
 Ans: Reasonable terms and conditions
17. An agreement enforceable by law is:
Ans: A contract
18. Environmental Protection Act belongs to
Ans: All of the above (Air pollution, Water pollution, Soil pollution)
19. What protects the intellectual property created by artists?
Ans: Copyright
20. Patent in India is valid for how many years?
Ans: 20 years
21. What does a trademark protect?
Ans: Logos, names and brands
22. Digital signatures are created and verified by using
Ans: Cryptography
23. Which one of the following is not an Intellectual Property Law?
Ans: Customs Act, 1962
24. Which of the following is not a kind of Intellectual Property Rights?
Ans: Digital Signatures
25. Which of the following is not an element of IT Act 2008?
Ans: Trademarks
26. Which of the following is not a part of Environmental Impact Assessment process?
Ans: Cost analysis
27. Which of the following is not protected by copyrights?
Ans: Trade secrets
28. Which of the following is not in Senses of Engineering Ethics?
Ans: Justifying personal issues
29. Which is not one of the three types of inquiry?
Ans: Informal
30. Moral dilemmas are not
Ans: Conflicting ideals and personal wishes
31. Moral autonomy is not
Ans: Passive adoption of the conventions of the society or profession
32. Identify the characteristic of Giligan’s Theory on moral development:
Ans: More of caring
33. Micro ethics deals with
Ans: Everyday problems
34. What principle is implied from the statement “Separate the people from the problem”:
 Ans: Resolving conflicts
35. Which of the following has moral reasons to support?
Ans: Respecting the rights of others
36. Which of the following is not true with respect to Titanic disaster?
Ans: Adequate Life boats
37. Which one of the following is not feature of risk acceptance?
Ans: Over confidence on safety of the product
38. ____ reduces the production costs and at the same time, the quality is achieved easily.
Ans: Standardization
39. Conscientious moral commitment means
Ans: Being sensitive to full range of moral values and responsibilities relevant to the prevailing situation
40. ____ continually the progress and gaining new knowledge are needed before, during, and after
execution of project.
Ans: Monitoring
41. At which level of Lawrence Kohlberg's moral reasoning, do children typically believe that people should
live up to the expectation of society and behave in "good" ways?
Ans: Conventional level
 Section-B (Important Questions)
Q1. Define Engineering Ethics?
A1. Engineering ethics is the internalized set of beliefs and values that an individual or group of engineers
hold as dear to their professional functioning. Engineering ethics looks at the decisions taken by
engineering professionals to judge whether the final product conforms to or satisfies all the major ethical
considerations and issues. Engineering ethics, in this sense, is a field of study where, from past
experiences and likely problems one identifies and lists the moral considerations and values that should
govern the engineering practice. It involves considering the moral and ethical implications of engineering
practices and technologies to ensure that they align with societal values, safety, environmental
responsibility, and the well-being of both present and future generations.
The key aspects of engineering ethics include:
• Professional Responsibility: Engineers have a responsibility to prioritize the safety and welfare of
the public, and they must act in a manner that upholds the trust and confidence placed in the
engineering profession.
• Ethical Decision-Making: Engineers often encounter complex situations where ethical
considerations come into play. They must make decisions that are morally sound, transparent, and
justifiable, considering the potential consequences of their actions.
• Integrity: Engineers are expected to act with honesty and integrity in all aspects of their work. This
includes accurately representing their qualifications, avoiding conflicts of interest, and reporting any
unethical behaviour they encounter.
• Safety: Safety is a paramount concern in engineering. Engineers must design and implement
systems, products, and processes with safety in mind, minimizing risks to users and the
environment.
• Environmental Responsibility: Engineers should consider the environmental impact of their
projects and strive to minimize harm to ecosystems and natural resources. Sustainability and
responsible resource management are important ethical considerations.

Q2. Differentiate between Moral and Ethics?

A2.

Moral Ethics
1) Moral is defined as “concerned with the 1) Ethics is defined as “the moral principles that
principles of right and wrong behaviour”. control or influence a person’s behaviour or a
system of a moral principles”.
2) Morality is derived from the Latin word moralitas 2) It is a branch of philosophy that studies evolution
meaning manner, customs or proper behaviour. of concepts of right and wrong behaviour.
3) Morals may differ from society to society. 3) Ethics are generally uniform.
4) It is the implementation of decisions based on 4) It is the process of decision making.
one’s conviction.
5) Morality can be influenced by factors such as 5) Ethics is often based on rationality, critical
religion, family upbringing, and personal thinking, and philosophical inquiry.
experiences.
6) It tends to be more personal and subjective, 6) It has a broader scope of application and can
influencing an individual's day-to-day decisions extend beyond individual behaviour to
and actions. encompass societal, professional, and
institutional standards.
Q3. Where and how do Moral Problems arise in Engineering?
A3. Moral Problems arise in Engineering via:
• Moral obligations of the engineer arise because he/she is a member of a professional body and the
body requires him/her to work as per the code of conduct and fulfil his/her ethical obligations.
• Conflicts of interest between the engineer and the employer, client, public, or other stakeholders.
• Respect for the rights and dignity of others, including colleagues, customers, users and affected
communities.
• Compliance with the codes of ethics and standards of conduct of the engineering profession and
relevant laws and regulations.
• Professional integrity and honesty in engineering practice, research, and education.

Q4. What are the Senses of Engineering Ethics?

A4. The two different senses of Engineering Ethics are:
• Normative sense: It refers to knowing moral values, finding accurate solutions to moral problems
and justifying moral judgements in engineering practices. It is the study of decisions, policies, and
values that are morally desirable in the engineering practice and research. It also includes using
codes of ethics and standards and applying them in their transactions by engineering.
• Descriptive sense: It refers to what specific individual or group of engineering believe and act,
without justifying their beliefs or actions. It helps researchers and practitioners understand the gap
between ethical ideals (normative ethics) and the practical realities of how decisions are made,
policies are implemented, and values are upheld in engineering. It involves empirical research,
observations, and analysis of the ethical behaviour and decision-making processes within the
engineering profession.

Q5. Describe the importance of ethics in engineering.

A5. Here are some of the reasons why ethics is important in engineering:
• To protect the public safety: Engineers have a responsibility to design and build safe products
and systems. This means considering all potential hazards and taking steps to mitigate them. For
example, engineers must ensure that bridges are strong enough to support the weight of traffic
• To be honest and trustworthy: Engineers must be honest and trustworthy in their dealings with
clients. This means being transparent about their work, and not making false or misleading
statements.
• To use their skills for good: Engineers have a responsibility to use their skills for good and to
avoid using them for harmful purposes. This means refusing to work on projects that they believe
are unethical or harmful, and speaking out against unethical practices.
• To uphold the integrity of the profession: Engineers have a responsibility to uphold the integrity
of the engineering profession. This means following the code of ethics for engineers, and setting a
good example for other engineers.

Q6. Explain Variety of Moral issues.

A6. There are a variety of moral issues that come up and have to be solved:
• Micro-ethical issues: These are moral dilemmas or ethical challenges that individuals encounter in
their day-to-day lives, whether in personal, professional, or social contexts. They are often small in
scale but can have significant consequences for the individuals involved. They often require
individuals to make decisions based on their personal values, principles, and ethical beliefs. The
 resolution may involve considering the potential consequences of actions, seeking guidance from
moral or ethical frameworks, and recognizing the impact of one's choices on others.
Ex- A person faces a micro-ethical issue when they discover a cashier has given them more change
than they are owed. Should they keep the extra money or return it, even if the cashier doesn't notice
the mistake?
• Macro-ethical issues: These are ethical challenges or dilemmas that extend beyond the individual
level and have a broader societal impact. They are often complex, multifaceted, and may involve
conflicting interests among different groups or stakeholders. They are typically addressed through
collective action, policymaking, and ethical frameworks that guide decision-making at societal
levels. Resolving these issues often involves public discourse, legislation, advocacy, and
collaboration among various stakeholders, including governments, organizations, and civil society.
Ex- Climate change is a macro-ethical issue with global consequences. It involves questions of
environmental ethics, resource management, and intergenerational justice. Addressing climate
change requires international cooperation and policy changes.

Q7. Differentiate between micro-ethics and macro-ethics.

A7.

Micro-ethics Macro-ethics
1) Micro-ethics, also known as personal ethics, 1) Macro-ethics, also referred to as societal ethics
focuses on the ethical principles and moral or public ethics, looks at the broader ethical
dilemmas that apply to individual people. considerations that pertain to societies and
institutions as a whole.
2) It is concerned with how individuals conduct 2) It deals with ethical issues that affect entire
themselves and make ethical decisions in their societies or groups, addressing questions about
personal and professional lives. justice, fairness, laws, policies, etc.
3) Micro-ethical concerns may include personal 3) Macro-ethical concerns may include social
honesty, integrity, truthfulness, confidentiality, justice, human rights and the ethical implications
trustworthiness, and the moral dilemmas of large-scale decisions like those made by
individuals face in their relationships and work corporations or governments.
environments.
4) Micro-ethical decisions typically involve choices 4) Macro-ethical decisions involve choices and
made by individuals in their roles as employees. policies that impact the well-being of a larger
group or society.
5) At the micro level, individuals have a personal 5) In macro-ethics, responsibility often lies with
responsibility to uphold ethical values and collective entities, such as governments or
principles in their actions and decisions. institutions, to ensure that their policies and
actions align with ethical principles.

Q8. What are the steps confronting Moral Dilemma?

A8. The steps confronting Moral Dilemma are:
• Formulate some cardinal ethical principles that you would like to follow, if you have not done so
already
• Collect all relevant facts of the case.
• Perform an ethical analysis of the given situation wherein you analyze the ethical factors that
predominate the problem and the ones that tend to conflict.
• While it may be difficult, prioritize the ethical factors in the order that you think should take.
• Having formulated your ideas, it may be desirable to discuss with some people close to you about
the case and the implications you think any decision or action would have.
 • Having received inputs from them, you can now formulate your plan of action, noting down all the
moral implications of the solution.

Q9. What is meant by normative inquiry?

A9. Normative inquiries are mostly helpful to identify the values which guide the individuals and groups in
taking a decision. These are meant for identifying and justifying some norms and standards of morally
desirable nature for guiding individuals as well as groups. In most of the cases, the normative questions
are given below:
• How do the obligations of engineers protect the public safety in given situations?
• When should an engineer have to alarm their employers on dangerous practices?
• Where are the laws and organizational procedures that affect engineering practice on moral issues?
• Where are the moral rights essential for engineers to fulfil their professional obligations?

Q10. Explain moral dilemma with a suitable case study.

A10. Moral dilemmas are problems with a moral bearing, either of individual or a community. Conflict of
interest situations or situations where the actions based on moral principles can also lead to harm result in
dilemmas. Conflict of moral principles, lack of clarity and difference of opinion on the right course of action
can lead to moral dilemmas. Considering all options and arriving at an acceptable solution is the difficult
task here.
Case study: An engineer is working on a project to design a new type of weapon system. The weapon
system is designed to be very powerful and effective, but it could also be used to kill innocent people. The
engineer is faced with a moral dilemma. On the one hand, they want to do their job and design a good
weapon system. On the other hand, they are concerned about the potential for the weapon system to be
used for harm.
To resolve this moral dilemma, the engineer should consider the following steps:
• Ethical Reflection: The engineer should engage in ethical reflection to carefully examine the
situation and identify the moral principles at stake. This involves a thoughtful consideration of the
potential consequences of their actions.
• Consultation: The engineer may seek guidance and input from colleagues, supervisors, and
ethical experts within their field. Discussing the dilemma with others can provide valuable
perspectives and insights.
• Ethical Codes and Regulations: The engineer should review any relevant ethical codes,
regulations, or industry standards that govern their profession. These codes may provide guidance
on how to navigate ethical dilemmas.
• Alternative Solutions: The engineer should explore alternative design solutions that might mitigate
the potential harm associated with the weapon system. This could involve incorporating safety
features or seeking ways to ensure the weapon is used responsibly.

Q11. Whistle blowers are necessary evils in an organization, Validate this statement.
A11. Whistleblowers are people who report wrongdoing within an organization, even if it means risking
their own job or reputation. They are often seen as "evil" because they can expose the organization to
negative publicity or financial loss. However, they are also "necessary" because they can help to prevent
or stop wrongdoing that could harm the organization, its employees, or the public.
Whistleblowers often play a crucial role in revealing unethical or illegal activities within organizations. And
they can also promote accountability and transparency within organizations by holding individuals or
entities responsible for their actions. In many countries, laws protect whistleblowers from retaliation,
ensuring their safety and job security when they report wrongdoing. These legal safeguards acknowledge
the importance of whistleblowers in uncovering misconduct.
Organizations should aim to create a culture that values ethical behaviour, transparency, and internal
reporting, reducing the need for external whistleblowing and avoiding the perception that whistleblowers
are "evils" within the organization.

Q12. Explain what is moral autonomy and how it requires an ability to tolerate while giving moral
judgement.
A12. Moral autonomy refers to an individual’s capacity to independently and rationally make more
judgement and decisions based on their own values, principles, and conscience. It involves the ability to
think critically about the ethical dilemmas, assess various perspectives, and arrive at conclusions. Moral
autonomy emphasizes the importance of self-governance and personal responsibility in making ethical
choices, rather than being solely influenced by external pressure or authority.
Tolerating while giving moral judgement in the context of moral autonomy, implies the ability to respect and
consider diverse viewpoints and values even when one disagrees with them. It involves recognizing that
different individuals may have differing moral perspectives shaped by their own experiences, cultures and
background. We should have respect for pluralism, open-mindedness, empathy, and cultural sensitivity.
We should avoid dogmatism.
Balancing diverse viewpoints in moral judgement can be tough. The outcome might not please everyone,
but exploring decisions transparently, highlighting fairness and impartiality can build trust despite
difference.

Q13. Briefly explain Kolberg’s Theory. What are limitations of Kohlberg’s theory?
A13. Kohlberg's theory is a theory of moral development that proposes that people go through six stages
of moral reasoning from childhood to adulthood. These stages are grouped into three levels: pre-
conventional, conventional, and post-conventional.
• Pre-conventional, Level 1, Stage 1
➢ Heteronomous orientation.
➢ The focus is on attempts to avoid breaking rules that are followed by punishment.
➢ One opts for obedience for its own sake and to avoid the physical consequences of an action on
individuals and property.
• Pre-conventional, Level 1, Stage 2
➢ Early emergence of moral reciprocity.
➢ Moral orientation focuses on the instrumental, pragmatic value of an action.
➢ Follows the rules or norms only when it is of.
➢ immediate interest to the self-concept of something being right is based on a fair sense of an
equal exchange, a deal.
➢ The concept of right is relative.
• Conventional, Level 2, Stage 1
➢ Shift in the moral perspective.
➢ Realization of need for norms and conventions to uphold order in society.
➢ Individual interests become secondary.
➢ Consciously becomes aware of shared thoughts, vision and agreements.
• Conventional level, Level 2, Stage 2
➢ There is a shift from what is expected in terms of local norms and role expectations to defining
what is right in a larger social context.
➢ Understanding of larger social context.
➢ Realization of social objectives and responsibilities.
 ➢ A system of laws and the need for everyone to respect them is considered important.
• Post-conventional, Level 3, Stage 1
➢ Social perspectives take deeper root.
➢ Decisions and actions based upon social norms and conventions.
➢ No support for uniform application of rules.

Some limitations of Kohlberg's theory are:

• It is based on a Western perspective that may not reflect the moral values and reasoning of other
cultures.
• It is biased toward men, as it mainly used male participants in its research and ignored the role of
emotions, relationships, and care in moral development.
• It assumes that moral development is linear and sequential, but some people may skip or regress in
stages depending on the situation or context.

Q14. Briefly explain Carol Gilligan’s theory.

A14. Carol Gilligan is a psychologist and feminist scholar known for her groundbreaking work on moral
development, particularly as it relates to gender differences. Gilligan's theory can be summarized as
follows:
• Stages of Moral Development: Similar to Kohlberg, Gilligan proposed a series of stages in moral
development. However, her stages are characterized by different moral orientations, particularly in
how individuals perceive and respond to ethical dilemmas.
• Pre-conventional Level: In this stage, individuals are focused on self-interest and survival. They
make decisions based on what benefits them personally and might not consider the broader impact
on others.
• Conventional Level - Stage of Care: Gilligan's most significant departure from Kohlberg's theory is
the recognition of a distinct moral orientation centred around care and relationships. At this stage,
individuals emphasize empathy, compassion, and nurturing. They prioritize the needs and well-
being of others and make moral decisions based on maintaining harmonious relationships.
• Conventional Level - Stage of Responsibility: In this stage, individuals recognize their own roles
and responsibilities within relationships. They seek to balance their needs and the needs of others,
striving to fulfil their obligations and commitments.
• Post-conventional Level: Gilligan's theory is not as developed in this area as Kohlberg's, but she
suggests that some individuals might move beyond the conventional stages to consider universal
ethical principles. However, she argues that an ethic of care remains important even in these
stages.

Q15. What is the difference between Kohlberg’s and Gilligan’s theory?

A15. Kohlberg’s and Gilligan’s theory can be differentiated on the basis of:
• Orientation: Kohlberg’s theory centers on justice and individual rights, while Gilligan’s theory
emphasizes care and the importance of relationships.
• Stages: Kohlberg’s theory has six stages organized into three levels, while Gilligan’s theory has
three stages focused on the development of care-oriented reasoning.
• Gender: Kohlberg’s original theory did not explicitly address gender differences but was criticized
for being biased toward males. Gilligan’s theory, on the other hand, was developed with a greater
sensitivity to gender differences in moral development.
 • Critique: Both theories have been critiqued. Kohlberg’s theory for its potential gender bias and its
narrow focus on justice, and Gilligan’s theory for its limited emphasis on justice-based moral
reasoning.
• Cultural and Contextual Considerations: Kohlberg's theory has been criticized for its Western
cultural bias, as it was primarily developed using research on participants from Western societies.
Gilligan's theory, however, acknowledges the importance of cultural and contextual factors in
shaping moral development.
• Focus on Different Dimensions of Morality: Kohlberg's theory primarily focuses on the cognitive
development of moral reasoning, with an emphasis on how individuals make ethical decisions.
Gilligan's theory extends beyond cognitive development to include emotional and relational
dimensions of morality.

Q16. Differentiate between Profession and Professionalism.

A16. Profession: It refers to a specific occupation or career that requires specialized knowledge, and
skills. They are characterized by a set of specialized skills, a code of ethics or conduct, and a commitment
to serving the interests of clients. They often involve providing expert advice in areas that require a high
level of expertise. Professions are often associated with professional organizations that set standards of
practice and establish ethical guidelines for their members. These associations help maintain the integrity
and professionalism of the field.
Ex- Law is a profession that requires many years of training and education.
Professionalism: It refers to the conduct, behaviour, and attitudes expected of individuals within a
particular profession. It includes attributes such as integrity, competence, ethics and respect for others. It
involves behaving in a manner that reflects positively on both the individual and the profession as a whole.
Professionalism is not limited to specific professions but is a set of principles that can be applied in various
fields. It is a broader concept that extends to how individuals conduct themselves in the workplace and in
their interactions with clients.
Ex- The doctor showed professionalism in her treatment of the patient.

Q17. Why Setting Goals in Life is necessary in developing professionalism?

A17. Goal Setting in Life is necessary in developing professionalism because:
• Developing Professionalism: Setting goals in life is essential for developing professionalism
because it provides direction, motivation, and a sense of purpose.
• Clarity and Focus: Setting clear goals help professionals identify what they want to achieve. It
provides a roadmap fare their career path, help us to stay focus on tasks that align with their
objective.
• Motivation: Having goals makes an individual motivated and focused to excel and achieve his/her
goal.
• Continuous improvement: Goals encourage continuous skill enhancement and knowledge
growth.
• Networking: Common goals foster networking and collaborate learning.

Q18. What is the need to view Engineering Projects as Experiments?

A18. The need to view engineering projects as experiments is to recognize the ethical and social
implications of engineering work Engineering projects involve designing, building, testing, and improving
systems or products that affect people and the environment. These projects are often complex, uncertain,
unpredictable, and may have unintended or unforeseen consequences. Therefore, engineers need to treat
their projects as experiments, which means they need to:
• Apply the scientific method and engineering design process to identify problems, formulate
hypotheses, collect data, analyze results, and draw conclusions.
• Follow the codes of ethics and standards of conduct of their profession and relevant laws and
regulations.
• Consider the potential benefits and harms of their projects for all stakeholders, including the public,
customers, users, employers, colleagues, and affected communities.
• Seek informed consent from the people who will be affected by their projects or participate in their
experiments.
• Disclose relevant information and risks to the stakeholders and the public.
• Monitor and evaluate the performance and impact of their projects or products, and take corrective
actions if needed. Learn from their mistakes and failures, and share their findings and experiences
with other engineers and the scientific community.

Q19. Describe and compare engineering experiments with standard experiments.

A19. Engineering is a very important profession having a direct influence on people's lives. The essence of
engineering is to physically realize a product from its conceptual stage for making it useful to the public.
Engineering, in a way, can be considered as social experimentation as there are many similarities between
a laboratory-based experiment and an engineering project. To perform their functions in the world of work,
engineers need to acquire many life skills in addition to the technical knowledge and skills in their field of
work.

Engineering as Social Experimentation – Similarities:

• Uncertainties: In materials used, design procedures, assumptions made and in production,
construction, fabrication, quality control procedures, etc.
• Outcomes: The product may not be made as per design, may not perform as per design, social
objectives may not be fulfilled and may not satisfy conflicting social objectives.
• Gaining Knowledge: Scientific experiments are done with a view to gaining new knowledge; while
engineering projects may not focus on creating new knowledge as much as in making products and
services, new knowledge is gained while designing and implementing engineering projects.

Differences:
• Experimental Control: Many scientific experiments use a control group to study the impact of a
new method or drug; engineering does not have such control groups and there is no control over
the user as to how he/she makes use of the product.
• Consent of People Affected: Many scientific experiments require the informed consent of people
before the experiment can be undertaken; in engineering, such a need has not been recognized so
far even though the project affects many people both in terms of benefits and harm.
• Generating New Knowledge: Scientific experiments have the prime objective of generating new
knowledge; in engineering, it is not the prime objective but new knowledge gained is a by-product;
the main objective of engineering products is to realize a product or service as per design and
benefitting the society.

Q20. Explain the term ‘learning from the past’ in engineering experimentation.
A20. ‘Learning from the past’ in engineering experimentation refers to the process of using past
experiences to improve the design and execution of future experiments. This can be done by identifying
and avoiding mistakes that were made in previous experiments.
There are many benefits to learning from the past in engineering experimentation. First, it can help to
improve the efficiency and effectiveness of experiments. By avoiding mistakes that were made in previous
experiments, engineers can save time and money. Secondly, it can help to improve the quality of
experimental data. By using new knowledge and technologies, engineers can collect more accurate and
reliable data. Then, it can help to improve the safety of experiments. By improving the overall experimental
process, engineers can reduce the risk of accidents and injuries.
There are a few ways to learn from the past in engineering experimentation. One way is to review the
results of previous experiments. This can help in identifying mistakes that were made and to learn from
those mistakes. Another way is to talk to other engineers who have experience in experimental design and
execution. This can help in getting new ideas and to learn from the experiences of others. Finally,
engineers can also attend conferences and workshops on engineering experimentation. This can help
them in staying up-to-date on the latest trends and technologies in experimental design and execution.
For example:
• If a previous experiment failed because the materials were not strong enough, the engineer can use
stronger materials in the next experiment.
• If a previous experiment was not accurate because the measurements were not precise, the
engineer can use more precise instruments in the next experiment.
• If a previous experiment was not safe because the procedures were not followed correctly, the
engineer can develop more rigorous procedures for the next experiment.

Q21. Explain the difference between an agreement and a contract giving an example of each.
A21. Agreement: It can be defined as an acceptance of an offer given by one party to another. Every
promise and set of promises that form any type of consideration for all the parties involved is called an
agreement. Here, promise refers to the acceptance of an offer or proposal. The agreement comes into
existence when an individual or an entity makes an offer or proposal to a second individual or entity, and
the latter accepts that offer with all the required conditions.
Agreement = Offer + Acceptance
Ex- A offers to sell his Car to B for ₹ 2,00,000. So, when B accepts the offer, it becomes an agreement.
Contract: It can be defined as an agreement that is enforced by law involving at least two parties, as such
one party is entitled with some right and the other with some obligation. An agreement is said to be a
contract when it is abided by the law. It means that legal obligations must be led by a contract.
Contract = Agreement (Offer + Acceptance) + Enforceable by Law
Ex- A multiplex sells a ticket on 1st January 2022 to A for a movie show. The Multiplex is under an
obligation to organize a movie show on the given date. In case, the Multiplex fails to fulfil its promise, A can
take legal action against the multiplex owners. Thus, A has a right against the Multiplex, and a
corresponding duty is imposed on the Multiplex.

Q22. List the essential elements of a legally valid contract.

A22. The essential elements of a legally valid contract are:
• All agreements are contracts if the if they are made with the free consent of the parties competent to
contract, object of contract is lawful, for a lawful consideration and are not declared void. All legal
requirements like contract in writing, registration of documents and signature of witnesses needs to
be complied with.
 • Competent to contract means the person(s) of legal maturity, of sound mind and is not disqualified
by any law.
• Sound mind means the person capable of understanding the contract and can form rational
judgments about its effect on his interests.
• Consent by two or more persons means that they agree upon something with the same
understanding on all its aspects.
• Free consent happens when it is free of any coercion, undue influence, fraud, misrepresentation, or
mistake.
• Coercion is committing any unlawful act forbidden by Indian penal laws.
• Undue influence (in entering a contract) happens when one of the parties hold such powers as to
dominate the decision of the other by apparent authority or the other party is of weal disposition.
• Fraud means suggesting something is true when it is not, concealing facts, making promises with
no intention of doing it or by doing anything fraudulent.
• Misrepresentation means positively asserting something as true when it is not, breach of duty to
gain some advantage and causing someone to make a mistake.
• An agreement arrived at by coercion is voidable; same is the case for fraud and misrepresentation.

Q23. Explain the concept of product safety with examples.

A23. Consumer is entitled to receive a safe product that does not cause any harm during use. Safety has
already been highlighted in the earlier discussion as well. An electrical product like an iron or washing
machine that gives an electrical shock to the user is an unsafe product. Similarly, many children’s toys
need to be so designed as to be safe for the type of use those children generally do. No toxic material
should be used in making the product. Even if the children bite or press the toy on their face, no harm
should result. Depending upon the type of product, many safety considerations should go into the design
of the product. Consumers can also ask for certification that ensures quality and safety. Many goods are
purchased for use over a long period of time. The product must be able to give reasonably good and safe
service over the expected use by the consumer.

Q24. Explain the statement: All contracts are agreements but all agreements are not contracts.
A24. The statement "All contracts are agreements, but all agreements are not contracts" highlights a
fundamental distinction in contract law. It implies that every contract is essentially an agreement, but not
every agreement qualifies as a legally enforceable contract. The difference between an agreement and a
contract lies in the presence or absence of certain essential elements required by the law for an agreement
to be legally binding. Let's explain this with an example of each:
A contract is a legally binding agreement between two or more parties that creates enforceable obligations.
It is a formalized agreement that meets all the legal requirements and conditions necessary for it to be
upheld in a court of law. For example, A agrees to sell his car to B for ₹ 2,00,000, and B agrees to pay A
the agreed-upon amount within 90 days. They draft a written contract that includes all the essential terms,
such as the offer, acceptance, consideration, and intention to create legal relations. Both parties sign the
contract. In this case, a contract has been formed, and if B fails to pay A within the specified time frame, A
can take legal action to enforce the contract and claim the owed amount.
An agreement is a broader term that encompasses any arrangement or understanding between two or
more parties. It does not necessarily have to meet all the legal requirements to be considered binding and
enforceable in a court of law. For example, Suppose A and B meet at a social gathering, and during their
conversation, A casually mentions that he is interested in selling his car for ₹ 2,00,000, and B expresses
interest in buying it. They shake hands to seal the deal but do not draft a formal written contract. This is an
agreement between them, as they have reached a mutual understanding. However, it may not be legally
enforceable as a contract because it lacks certain essential elements like a clear offer, acceptance, or the
intention to create a legally binding relationship. If B later decides not to buy the car, A may not have legal
grounds to force him to do so.
Q25. Explain the meaning of the term ‘Tort’ with examples.
A25. In the Oxford dictionary, you find the meaning of tort as “something wrong that somebody does to
somebody else that is not criminal but that can lead to action in a civil court”, Law of torts apply in cases
where a ‘civil wrong' has been committed by one person against another. Torts can encompass a wide
range of wrongful actions, and they are typically categorized into several types, including negligence,
intentional torts, strict liability, and defamation. Here are some examples of different types of torts:
• Negligence: It occurs when someone fails to exercise reasonable care, resulting in harm or injury
to another person or their property. To establish negligence, the plaintiff must demonstrate that the
defendant owed a duty of care, breached that duty, and caused harm as a result of the breach.
Ex- A driver who runs a red light and collides with another vehicle, injuring the occupants, may be
liable for a negligence tort. The injured party can seek compensation for medical expenses, property
damage, and pain and suffering.
• Intentional Torts: It occurs when a person intentionally engages in conduct that causes harm or
injury to another. Unlike negligence, where the harm is often the result of carelessness, intentional
torts involve actions taken with the intent to cause harm or with knowledge that harm is likely to
occur.
Ex- Assault and battery are classic examples of intentional torts. If one person physically attacks
another without justification or consent, they may be liable for intentional torts. The injured party can
seek damages for medical expenses and emotional distress.
• Strict Liability: Strict liability torts do not require proof of intent or negligence. Instead, they hold a
party liable for harm caused by certain inherently dangerous activities or products, regardless of
fault. The focus is on the activity or product's dangerous nature.
Ex- Product liability cases often involve strict liability. If a defective product, such as a faulty
automobile airbag, causes injuries, the manufacturer may be held strictly liable for the harm, even if
they were not negligent in producing the product.
• Defamation: It is an intentional tort involving false statements made by one party that harm the
reputation of another party. It can take the form of libel (written or printed defamation) or slander
(spoken defamation).
Ex- If someone spreads false and damaging rumours about a public figure, causing harm to their
reputation and career, the individual spreading the false information may be liable for defamation.

Q26. Discuss the importance of the environment for human survival.

A26. Professional ethics encompass the moral principles and values that guide individuals and
organizations in their professional conduct and decision-making. When considering the importance of the
environment for human survival within the framework of professional ethics, several critical points emerge:
• Interconnectedness and Responsibility: Professional ethics acknowledge the
interconnectedness between human survival and the environment. Ethical considerations
underscore our responsibility to protect and preserve the environment because it directly impacts
human well-being, health, and survival.
• Sustainability and Long-Term Perspective: Ethical professionals understand the significance of
environmental sustainability. They recognize that our actions today have long-term consequences
for future generations. Maintaining a healthy environment is crucial for ensuring a sustainable future
for humanity.
• Social Responsibility: Professional ethics emphasize the concept of social responsibility. This
extends beyond mere compliance with laws and regulations, urging individuals and organizations to
proactively contribute to the well-being of society, including environmental preservation.
 • Health and Well-being: A healthy environment is fundamental to human health and well-being.
Clean air, water, and ecosystems are vital for sustaining life. Ethical professionals recognize the
importance of preserving these elements for current and future generations' health.
• Economic Viability: Ethics in professions also acknowledge the economic impact of environmental
degradation. A deteriorating environment can lead to economic crises, affecting industries,
livelihoods, and overall societal stability. Ethical considerations include balancing economic growth
with environmental preservation.
• Ethical Decision-Making and Environmental Stewardship: Professionals are encouraged to
integrate ethical principles into their decision-making processes. When faced with choices that
impact the environment, ethical professionals consider the potential consequences, environmental
implications, and strive to make decisions that prioritize environmental sustainability.

Q27. List the steps involved in EIA of a project and explain what happens in each step.
A27. Environmental Impact Assessment (EIA) is a systematic process used to identify, predict, and
evaluate the potential environmental impacts of a proposed project or development. The goal is to inform
decision-makers and the public about the potential environmental consequences of a project before it is
approved or implemented. Here are the steps involved in the EIA process:
• Screening: It is the initial assessment to determine if an EIA is required for a particular project. It
involves identifying projects that are likely to have significant environmental impacts.
Ex- A proposed construction project in a sensitive ecological area triggers the need for a screening
to assess its potential environmental effects.
• Scoping: It defines the scope and boundaries of the EIA. It involves identifying the environmental
aspects that will be studied, the methodologies to be used, and the potential impacts to be
assessed.
Ex- For a new industrial facility, scoping may involve specifying that air quality, water usage, and
habitat disruption will be among the environmental aspects studied.
• Baseline Study: It involves collecting data on the existing environmental conditions in the project
area. This data serves as a reference point for assessing changes resulting from the project.
Ex- Before constructing a new highway, baseline studies might measure current air quality, noise
levels, and biodiversity in the project area.
• Environmental Impact Statement (EIS): It involves compiling and presenting the findings of the
EIA, including the predicted impacts, mitigation measures, and any alternatives considered.
Ex- The EIS for a new energy project would include detailed information on how noise levels will be
managed, the impact on local fauna, and the steps taken to minimize carbon emissions.
• Decision-Making: Decision-makers review the EIS, public feedback, and other relevant information
to make an informed decision about whether to approve the project.
Ex- A government agency considering a new infrastructure project would review the EIS before
deciding whether to grant the necessary permits.
• Monitoring and Enforcement: It involves implementing a system to monitor the actual
environmental impacts during and after project implementation and enforcing compliance with the
conditions set during the approval process.
Ex- Regularly monitoring air and water quality during the construction and operation of a
manufacturing plant and taking corrective actions if pollution levels exceed acceptable limits.

Q28. State the objectives of Environmental Protection Act, 1986.

A28. The Environmental Protection Act (EPA) of 1986 in India was enacted to address various
environmental concerns and ensure the protection and improvement of the environment. The objectives of
this Act encompass several critical aspects of environmental conservation and management:
• Protection and Improvement of Environmental Quality: The primary objective of the
Environmental Protection Act, 1986, is to safeguard and enhance the quality of the environment.
This includes protecting air, water, and soil quality, as well as preserving the overall ecological
balance. The act aims to prevent activities that could degrade the environment and contribute to
pollution.
• Regulation and Management of Hazardous Substances: The Act is designed to regulate and
manage hazardous substances to prevent their adverse effects on the environment and human
health. It provides a framework for the identification, handling, storage, transportation, and disposal
of substances that pose potential risks to the environment.
• Conservation of Natural Resources: Another objective of the Environmental Protection Act is the
conservation of natural resources. This involves sustainable and responsible use of resources such
as water, forests, and biodiversity to ensure their availability for future generations. The Act
promotes measures to prevent over-exploitation and depletion of natural resources.
• Prevention and Control of Environmental Pollution: The Act aims to prevent and control
environmental pollution in its various forms, including air pollution, water pollution, and soil pollution.
It provides the legal framework for regulating industrial emissions, effluents, and waste disposal to
minimize the impact on the environment and public health.
• Environmental Awareness and Public Participation: The Act recognizes the importance of
creating awareness about environmental issues and involving the public in environmental protection
efforts. It encourages public participation in decision-making processes related to environmental
management. This objective seeks to foster a sense of responsibility and stewardship among the
general population.

Q29. Write briefly about different types of pollution and the factors causing them.
A29. Pollution refers to the introduction of harmful substances or contaminants into the environment,
causing adverse effects on the natural ecosystem, human health, or other living organisms. There are
various types of pollution, each caused by specific factors:
• Air Pollution:
Factors: Air pollution results from the release of pollutants into the atmosphere. These pollutants
can be gases, particulate matter, or harmful chemicals emitted from vehicles, industries, burning of
fossil fuels, and agricultural activities.
Ex- Emissions from vehicles, industrial smokestacks, burning of fossil fuels (coal, oil, gas), and
agricultural practices like crop burning contribute to air pollution. These pollutants can lead to
respiratory diseases, smog formation, and climate change.
• Water Pollution:
Factors: Water pollution occurs when contaminants or pollutants enter water bodies such as rivers,
lakes, oceans, or groundwater. Factors include industrial waste, sewage discharge, agricultural
runoff, and improper disposal of chemicals.
Ex- Industrial effluents, untreated sewage, agricultural pesticides, and fertilizers are major
contributors to water pollution. This pollution can render water sources unfit for consumption, harm
aquatic life, and affect ecosystems.
• Soil or Land Pollution:
Factors: Land pollution results from the accumulation of solid waste, chemicals, and improper
disposal of various materials. Factors include dumping of waste, industrial activities, use of
pesticides, and landfills.
 Ex- Improper disposal of plastics, electronic waste (e-waste), pesticides, and industrial chemicals
contaminates soil. Land pollution can lead to soil degradation, reduced fertility, and pose risks to
human health when toxic substances leach into the ground.
• Noise Pollution:
Factors: Noise pollution occurs due to excessive or disturbing noise levels from sources like traffic,
industrial machinery, construction, and urbanization.
Ex- Traffic noise, loud industrial equipment, construction activities, and urban development in
densely populated areas contribute to noise pollution. Prolonged exposure to high noise levels can
cause hearing impairment, stress, and other health issues.
• Light Pollution:
Factors: Light pollution arises from excessive or misdirected artificial light. Factors include
urbanization, outdoor lighting, and excessive use of artificial lighting at night.
Ex- Glare from streetlights, commercial signage, and bright city lights disrupt natural night
environments and impact ecosystems. Light pollution affects wildlife behavior, disrupts sleep
patterns in humans, and affects astronomical observations.

Q30. List the functions of the Central Pollution Control Board.

A30. The Central Pollution Control Board (CPCB) in India is a statutory organization that functions under
the Ministry of Environment, Forests, and Climate Change. The functions of CPCB are:
• Formulation of Standards: CPCB is responsible for formulating and establishing standards for the
quality of air, water, and soil. These standards serve as benchmarks to regulate and control the
levels of pollutants, ensuring environmental quality and safeguarding public health.
• Monitoring and Assessment: CPCB conducts regular monitoring and assessment of
environmental parameters, including air and water quality, to evaluate the extent of pollution. This
involves the collection of data through monitoring stations and surveys to identify areas of concern
and assess the effectiveness of pollution control measures.
• Regulatory Oversight: CPCB exercises regulatory oversight by enforcing environmental laws and
regulations. It ensures that industries and other entities comply with prescribed standards and take
necessary measures to control pollution. The board may issue directives, guidelines, and permits to
regulate activities that impact the environment.
• Environmental Research and Development: CPCB engages in research and development
activities to enhance understanding of environmental issues. This includes studying the sources and
impacts of pollution, developing innovative pollution control technologies, and contributing to the
scientific knowledge base for effective environmental management.
• Capacity Building and Public Awareness: CPCB plays a role in building capacity by providing
training programs, workshops, and educational initiatives to enhance the capabilities of regulatory
authorities and stakeholders involved in environmental management. Additionally, the board works
to raise public awareness about environmental issues and the importance of pollution control.
• Coordination and Collaboration: CPCB facilitates coordination and collaboration among various
stakeholders involved in environmental protection. This includes coordination with state pollution
control boards, government agencies, industries, and non-governmental organizations to ensure a
concerted effort in addressing environmental challenges.

Q31. Briefly state the new provisions in the Consumer Protection Act, 2019.
A31. The Consumer Protection Act (CPA) of 2019 in India introduced several new provisions aimed at
strengthening consumer rights and ensuring more effective redressal of consumer grievances. Here are
some key provisions:
 • Establishment of Central Consumer Protection Authority (CCPA): The Act establishes CCPA as
a regulatory body to promote, protect, and enforce the rights of consumers. CCPA has the authority
to investigate, take autonomous action, and ensure compliance with consumer protection laws.
• Product Liability: The Act introduces the concept of product liability, holding manufacturers, sellers,
and service providers accountable for defective products or deficient services. It allows consumers
to seek compensation for injuries or damage caused by such products or services.
• Consumer Dispute Redressal Commissions: The Act redefines the structure of Consumer
Dispute Redressal Commissions, establishing a three-tier system – District, State, and National –
for adjudicating consumer disputes. This provides a more organized and efficient mechanism for
resolving consumer grievances.
• E-Commerce Regulations: The Act brings e-commerce transactions within its purview, imposing
responsibilities on e-commerce platforms to ensure the quality and safety of goods and services. It
introduces provisions for addressing issues related to counterfeit products, misleading
advertisements, and data protection in the e-commerce sector.
• Unfair Trade Practices and Misleading Advertisements: The Act prohibits unfair trade practices
and misleading advertisements. It empowers consumers to file complaints against false or
deceptive advertisements and practices. This provision aims to enhance consumer protection by
ensuring transparency and accuracy in marketing.
• Consumer Awareness and Education: The Act emphasizes the importance of consumer
awareness and education. It mandates the promotion of consumer rights and responsibilities
through awareness programs, making consumers more informed and empowered to make choices
that align with their interests.

Q32. Enlist some salient features of the Amendment Bill IT Act, 2008.
A32. The salient features of the Amendment Bill IT Act, 2008 are:
• Replacement of Digital Signature with Electronic Signature: The term 'digital signature' has
been replaced with 'electronic signature' in the Act to enhance its technology neutrality.
• Definition of Communication Device: A new section has been inserted to define 'communication
device.' It includes cell phones, personal digital assistants, or a combination of both, and any other
device used to communicate, send, or transmit text, video, audio, or images.
• Definition of Cyber Cafe: A new section has been added to define 'cyber cafe' as any facility from
where access to the internet is offered by any person in the ordinary course of business to the
members of the public.
• Introduction of Intermediary Definition: A new definition has been inserted for 'intermediary',
clarifying its role in the context of the Act.
• Section 10A on Electronic Contracts: A new section, 10A, has been inserted. It states that
contracts concluded electronically shall not be deemed unenforceable solely on the ground that an
electronic form or means was used.
• Amendment to Section 43 Regarding Damages: The damages of Rs. One Crore prescribed
under section 43 of the earlier Act of 2000 for damage to computer systems have been deleted. The
relevant parts of the section have been substituted with the words, 'liable to pay damages by way of
compensation to the person so affected'.

Q33. Define the term cyberspace and enlist the security concerns in cyberspace.
A33. Cyberspace refers to the virtual environment where digital communication, transactions, and
interactions occur. Security concerns in cyberspace include:
• Cybercrime: It refers to criminal activities conducted through digital means. This can include
hacking, identity theft, online fraud, and other illegal activities carried out in the cyberspace.
Cybercriminals exploit vulnerabilities in computer systems, networks, and online platforms to
commit crimes for financial gain or malicious purposes.
• Data Breaches: It occurs when unauthorized individuals or entities gain access to sensitive or
confidential information. This may include personal data, financial records, or intellectual property.
Data breaches can lead to the compromise of individual privacy, financial loss, and reputational
damage for organizations.
• Malware: Malware, short for malicious software, is a type of software designed to harm or exploit
computer systems. This includes viruses, worms, Trojans, ransomware, and spyware. Malware can
be distributed through infected websites, email attachments, or compromised software, aiming to
disrupt, damage, or gain unauthorized access to systems.
• Phishing: It is a deceptive practice where cyber attackers use fraudulent emails, messages, or
websites to trick individuals into revealing sensitive information such as login credentials, financial
details, or personal data. Phishing attacks often imitate legitimate entities to gain the trust of the
target.
• Distributed Denial of Service (DDoS): DDoS attacks involve overwhelming a target system,
network, or website with a flood of traffic, rendering it unavailable to users. Cybercriminals use
botnets or other means to generate a massive volume of requests, causing a service disruption.
DDoS attacks can be financially motivated or used as a diversion for other cybercrimes.
• Cyber espionage: It involves the use of digital methods to infiltrate computer systems and
networks for the purpose of gaining unauthorized access to sensitive information. These activities
may include unauthorized access to government databases, corporate intellectual property theft, or
spying on individuals and organizations to gather intelligence.

Q34. Define the term data and security issues concerned with it.
A34. Data refers to structured or unstructured information that holds value for organizations or individuals.
Security issues related to data include:
• Data Loss: It refers to the unintentional or accidental destruction, corruption, or loss of information.
This can occur due to hardware failures, software glitches, human errors, or natural disasters.
Effective data backup and recovery mechanisms are essential to mitigate the impact of data loss
incidents.
• Malware Attacks: Malware attacks, such as viruses, ransomware, and spyware, pose a significant
threat to data security. Malicious software can compromise the confidentiality, integrity, and
availability of data by infecting systems, encrypting files, or stealing sensitive information. Robust
cybersecurity measures, including antivirus software and regular system updates, are crucial for
preventing malware attacks.
• Insider Threats: It involves individuals within an organization who misuse their access and
privileges to intentionally or unintentionally harm the organization's data security. This can include
employees, contractors, or other trusted entities. Insider threats may result from negligence,
malicious intent, or social engineering. Implementing strict access controls and monitoring user
activities are vital for detecting and preventing insider threats.
• Lack of Encryption: It involves converting data into a secure form that can only be deciphered with
the appropriate decryption key. The lack of encryption exposes data to the risk of unauthorized
access during transmission or storage. Implementing encryption protocols for sensitive data helps
protect it from eavesdropping and unauthorized interception.
 • Inadequate Access Controls: It refers to insufficient measures in place to regulate who can
access, modify, or delete specific data. Weak access controls may result in unauthorized users
gaining access to sensitive information. Implementing strong authentication mechanisms, role-
based access controls, and regular access reviews are essential for maintaining data security.
• Ethical Concerns: It involves issues related to the responsible and ethical use of data. This
includes considerations such as user consent, transparent data practices, and adherence to privacy
regulations. Organizations must prioritize ethical considerations in data collection, processing, and
sharing to build trust with users and stakeholders.

Q35. State the objectives of Environmental Impact Assessment.

A35. The objectives of Environmental Impact Assessment (EIA) are to systematically evaluate the potential
environmental consequences of proposed projects. Key goals include:
• Predicting Impact: The primary objective of EIA is to predict the potential environmental impacts of
a proposed project or development. This involves assessing the likely consequences on air, water,
soil, biodiversity, and other components of the environment. By identifying and predicting impacts,
decision-makers can better understand the implications of the project.
• Informed Decision-making: EIA aims to provide decision-makers with comprehensive and reliable
information about the environmental effects of a proposed project. This information enables
decision-makers to make informed choices, considering the potential environmental consequences
alongside social and economic factors.
• Mitigation and Alternatives: EIA seeks to identify measures for mitigating adverse environmental
impacts and exploring alternative project designs or locations. This involves suggesting changes in
project plans, technology, or site selection to minimize negative effects and promote sustainable
development.
• Public Participation: EIA encourages public participation by involving local communities,
stakeholders, and the public in the decision-making process. It provides a platform for individuals to
express their concerns, opinions, and suggestions regarding the proposed project. Public input
contributes to a more transparent and inclusive decision-making process.
• Sustainable Development: EIA aims to contribute to sustainable development by ensuring that
development projects do not compromise the ability of future generations to meet their own needs.
This involves balancing economic, social, and environmental considerations to promote long-term
ecological integrity and human well-being.
• Ethical Responsibility: EIA recognizes the ethical responsibility of project proponents and
decision-makers to assess and minimize the environmental impacts of their actions. This involves
considering the rights of present and future generations, respecting biodiversity, and adhering to
ethical principles in environmental management.

Q36. State the provisions in the IT Act for authentication of electronic records.
A36. The provisions in the IT Act for authentication of electronic records are:
• Section 3 – Electronic Records: It recognizes electronic records as equivalent to paper
documents. It establishes the legal validity of electronic records, making them admissible as
evidence in legal proceedings.
• Section 5 – Legal Recognition of Digital Signatures: It provides legal recognition to digital
signatures. It acknowledges digital signatures as a valid method of authentication for electronic
records. Digital signatures are cryptographic techniques used to verify the origin and integrity of a
message or document.
 • Section 6 – Use of Electronic Records and Digital Signatures in Government: It emphasizes
the use of electronic records and digital signatures in governmental communications. It encourages
government agencies to accept, file, issue, and provide documents in electronic form.
• Section 7 – Retention of Electronic Records: It stipulates that any law that requires information to
be retained in writing can be satisfied if the information is stored in an electronic form, as long as it
remains accessible and can be printed when required.
• Section 10A – Electronic Contracts: It was inserted by an amendment in 2008. It clarifies that
contracts formed through electronic means shall not be deemed unenforceable solely because
electronic methods were used. This section recognizes the legality of contracts concluded
electronically.
• Section 11 – Attribution of Electronic Records: It deals with the attribution of electronic records.
It establishes that an electronic record is deemed to be attributed to the originator if it was sent by
the originator, whether directly or through an authorized intermediary. This is crucial in determining
the authenticity of electronic communications.
• Section 13 – Time and Place of Dispatch and Receipt of Electronic Records: It specifies the
rules regarding the time and place of dispatch and receipt of electronic records. It provides guidance
on when electronic records are considered to be sent and received.

Q37. What is meant by Intellectual Property?

A37. Intellectual property (IP) refers to creations of the mind—ideas, inventions, literary and artistic works,
designs, symbols, names, and images used in commerce. IP is protected by law through patents,
copyrights, trademarks, and trade secrets, which enable individuals or entities to earn recognition or
financial benefit from their inventions or creations. The purpose of IP protection is to encourage the
development of new ideas, products, and creative works by providing creators with exclusive rights to their
creations for a certain period.
The main types of intellectual property include:
• Patents: Protect inventions and new technological processes for a specific period, giving the
inventor the exclusive right to use, make, sell, or license the invention.
• Copyrights: Protect original works of authorship, such as literary, artistic, and musical works.
Copyright provides the creator with exclusive rights to reproduce, distribute, and display the work.
• Trademarks: Protect symbols, names, and slogans used to identify and distinguish goods or
services in the marketplace. Trademarks help consumers identify and choose products or services
based on brand recognition.
• Trade Secrets: Protect confidential business information, such as formulas, manufacturing
processes, and business methods, which provide a competitive advantage. Unlike other forms of
intellectual property, trade secrets are protected as long as they remain confidential.

Q38. List the differences between electronic and digital signatures.

A38.

Electronic signatures Digital signatures

1) Electronic signatures use various methods for 1) Digital signatures employ cryptographic
authentication, which can include a simple techniques to verify the authenticity of a
scanned image of a handwritten signature, a message or document. This involves the use of
typed name, or other electronic symbols a private key to sign and a corresponding public
indicating intent. key to verify the signature.
 2) Generally, electronic signatures may have a 2) Digital signatures provide a higher level of
lower level of security compared to digital security due to the use of cryptographic keys.
signatures. The level of security depends on the The private key, known only to the signer, adds
authentication method used, and it may vary. a layer of security that is challenging to replicate.
3) Verification of electronic signatures is often 3) Digital signatures are verified through the use of
based on the trustworthiness of the service public and private key pairs. The verification
provider or the method used. It may involve process ensures that the signature was created
comparing the signature against a known using the private key corresponding to the public
sample. key associated with the signer.
4) The legal recognition of electronic signatures 4) Digital signatures often enjoy broader legal
varies by jurisdiction. In many cases, they are recognition due to the advanced cryptographic
recognized as valid, especially when they meet methods used. Many countries have established
certain criteria, but the level of acceptance may legal frameworks that explicitly recognize the
differ. validity of digital signatures.
5) Electronic signatures are commonly used for a 5) Digital signatures are often employed in
variety of purposes, including online situations where a higher level of security,
agreements, consent forms, and basic integrity, and non-repudiation is crucial. This
document approvals. They are prevalent in includes contracts, legal documents, and
scenarios where a higher level of security is not transactions that demand a robust
necessarily required. authentication method.

Q39. List out the subject matters for patent protection and what inventions cannot be protected?
A39. The subject matters for patent protection are:
• Processes: It refers to methods or series of steps for producing a product or achieving a particular
result. This could include industrial processes, chemical processes, or methods for doing business.
• Machines: Machines are tangible, mechanical devices or apparatuses with specific functions. They
include any combination of mechanical parts or components.
• Manufactures: It refers to tangible items or articles that are made through a manufacturing
process. This category can include products created through various industrial or technical
methods.
• Compositions of Matter: It involves the combination or arrangement of different substances to
create a new and useful product. This includes chemical compounds, pharmaceutical compositions,
and other materials.
• New and Useful Improvements: It covers inventions that represent improvements or modifications
to existing processes, machines, manufactures, or compositions of matter. The improvement must
be non-obvious and provide a practical benefit.

The inventions not eligible for patent protection are:

• Laws of Nature: Natural phenomena, principles, or laws of nature are not eligible for patent
protection. Patents are intended to cover human-made inventions, and natural occurrences fall
outside this scope.
• Abstract Ideas: Abstract ideas, theories, or concepts without a practical application are not
patentable. The invention must have a tangible and specific utility.
• Physical Phenomena: Physical phenomena that occur naturally and are not the result of human
intervention are not eligible for patent protection. This includes natural occurrences such as gravity
or electromagnetism.
 • Inventions Offensive to Public Morality: Inventions that are contrary to public morality or
considered offensive are typically excluded from patent protection. This can vary based on cultural
and societal norms.
• Discoveries: Pure discoveries, such as the identification of a naturally occurring substance or
phenomenon, are generally not patentable. The focus is on inventions that involve human ingenuity
and creativity.
• Methods of Medical Treatment: Methods of medical treatment, including surgical procedures or
diagnostic methods applied to the human body, are often excluded from patent protection to prevent
hindrances to healthcare practices.

Q40. Enumerate the salient features of the Design Act, 2000.

A40. The salient features of the Design Act, 2000 are:
• Registration of Designs: The Design Act, 2000, provides for the registration of designs. Design
registration is a process where the visual appearance of an article is protected. This includes the
shape, configuration, ornamentation, or composition of lines or colours applied to any article.
• Scope of Protection: The Act aims to protect the visual design or aesthetic features of an article.
The scope of protection extends to the overall appearance, and the design should be novel and not
previously disclosed or published.
• Originality Requirement: To be eligible for registration, a design must be original, meaning it
should not have been previously published or used in any country before the filing date. The design
should also not be contrary to public order or morality.
• Duration of Protection: The duration of design protection is specified in the Act. Initially, the
registration is for ten years, extendable for another five years. After the expiry of the total term, the
design becomes part of the public domain, and others can use it freely.
• Infringement Proceedings: The Act outlines the procedures for initiating legal actions in case of
infringement of a registered design. The owner of the registered design can take legal action against
unauthorized use or imitation of the protected design.
• Exclusions: The Act provides exclusions from design protection for certain types of designs.
Designs that are not significantly distinguishable from known designs, or those that are contrary to
public order or morality, may not be eligible for registration.

Q41. Write a short note on Utility Models?

A41. A utility model is a form of intellectual property protection that is similar to a patent but generally
provides a more straightforward and faster registration process. These rights are designed to protect small
inventions, offering a shorter and less rigorous examination process compared to standard patents.
Here are some key features of utility models:
• Scope of Protection: Utility models typically protect new and useful innovations that may not meet
the full inventive step or non-obviousness requirements required for standard patents. They are
suitable for incremental improvements or modifications to existing technologies.
• Registration Process: The registration process for utility models is generally faster and less
complex than that for patents. This expedited process makes utility models an attractive option for
inventors seeking relatively quick protection for their innovations.
• Duration of Protection: Utility models offer a shorter duration of protection compared to patents.
The protection period varies by jurisdiction but is typically more limited than the standard 20-year
 term for patents. The shorter duration is in line with the incremental and practical nature of the
innovations they cover.
• Limitations: While utility models offer quicker and less stringent protection, they often come with
limitations. They may not provide the same level of enforceability or depth of protection as standard
patents, and they may be subject to a higher risk of being challenged or invalidated.
• Regional Variations: The availability and characteristics of utility models vary by jurisdiction. Not all
countries or regions offer utility model protection, and the rules and requirements can differ
significantly.
Some examples of utility model rights given by the United States are – such as engines or computers,
articles of manufacture such as brooms, candle holders, processes such as business processes, software
and compositions of matter such as pharmaceuticals.

(Less Important Questions)

Q42. Explain the three types of Inquiry?
A42. The three types of Inquiry are:
• Normative Inquiries: These inquiries are mostly helpful to identify the values which guide the
individuals and groups in taking a decision. These are meant for identifying and justifying some
norms and standards of morally desirable nature for guiding individuals as well as groups. In most
of the cases, the normative questions are given below:
➢ How do the obligations of engineers protect the public safety in given situations?
➢ When should an engineer have to alarm their employers on dangerous practices?
➢ Where are the laws and organizational procedures that affect engineering practice on moral
issues?
➢ Where are the moral rights essential for engineers to fulfil their professional obligations?
• Conceptual Inquiries: These inquiries are meant for describing the meaning of concepts,
principles, and issues related to Engineering Ethics. These inquiries also explain whether the
concepts and ideas are expressed by single word or by phrases. The following are some of the
questions of conceptual inquiries:
➢ What is the safety and how it is related to risk?
➢ What does it mean when codes of ethics say engineers should protect the safety, health and
welfare of the public?
➢ What is a 'bribe"?
➢ What is a profession' and 'professional'?
• Factual Descriptive Inquiries: These inquiries help to provide facts for understanding and finding
solutions to value-based issues. The engineer has to conduct factual inquiries by using scientific
techniques. These help to provide information regarding the business realities such as engineering
practice, history of engineering profession, the effectiveness of professional societies in imposing
moral conduct, the procedures to be adopted when assessing risks and psychological profiles of
engineers. The information about these facts provides understanding and background conditions
which create moral problems. These facts are also helpful in solving moral problems by using
alternative ways of solutions.
These types of inquiries are said to be complementary and interrelated. Suppose an engineer wants
to tell a wrong thing in an engineering practice to his superiors, he has to undergo all these inquiries
and prepare an analysis about the problem on the basis of moral values and issues attached to that
wrong thing. Then only he can convince his superior. Otherwise, his judgment may be neglected or
rejected by his superior.
Q43. Define the term Risk and Safety. How we an engineer assess the safety?
A43. Risk: It is the potential that something unwanted and harmful may occur. It is defined as the
probability of a specified level of hazardous consequences, being realized. Hence, Risk (R) is the product
of Probability (P) and Consequence (C), i.e., R = P * C.
Safety: In the definition stated by William W. Lawrence safety is defined, as a thing is safe if its risks are
acceptable. A thing is safe with respect to a given person or group, at a given time, if its risk is fully known,
if those risks would be judged acceptable, in light of settled value principles. In the view of objective, safety
is a matter of how people would find risks acceptable or unacceptable.
An engineer will assess the safety by performing the following tasks:
• The risks connected to a project or product must be identified.
• The purposes of the project or product must be identified and ranked in importance.
• Costs of reducing risks must be estimated.
• The costs must be weighed against both organizational goals and degrees of acceptability of risks
to clients and the public.
• The project or product must be tested and then either carried out or manufactured.

Q44. Give the criteria which ensure a safety design.

A44. Designing for safety is a critical aspect of various fields, including engineering, product design, and
construction. To ensure a safety design, several criteria and principles should be considered and
integrated into the design process. The key criteria to ensure a safety design are:
• Risk Assessment: Conduct a comprehensive risk assessment to identify potential hazards and
risks associated with the design. Consider both foreseeable and unforeseeable risks.
• Compliance with Regulations and Standards: Ensure that the design complies with relevant
safety regulations, codes, and industry standards. These standards often provide specific guidelines
and requirements for safety.
• Redundancy and Fail-Safe Mechanisms: Incorporate redundancy and fail-safe mechanisms into
the design to minimize the impact of system failures or malfunctions. This includes backup systems
or components that can take over in case of a primary system failure.
• Ergonomics and Human Factors: Consider ergonomic principles and human factors to design
products, equipment, and spaces that are user-friendly and reduce the risk of human error. Ensure
that user interfaces are intuitive and easy to understand.
• Material Selection: Choose materials that are appropriate for the intended use and that meet
safety and performance requirements. Consider factors like durability, toxicity, and flammability.
• Safety in Maintenance and Operation: Design products and systems with ease of maintenance
and safe operation in mind. Ensure that maintenance procedures are clear, and that access to
critical components is facilitated.

Q45. What are the factors affecting safety and risk?

A45. Safety and risk are influenced by a wide range of factors across various domains and industries.
Understanding these factors is essential for assessing and managing safety effectively. The key factors
that can affect safety and risk are:
• Human Factors:
➢ Human error: Mistakes, lapses in judgment, and cognitive biases can contribute to accidents
and errors.
➢ Fatigue: Fatigued workers are more prone to errors and accidents.
 ➢ Training and competence: The level of training and competence of individuals can impact
safety.
➢ Communication: Poor communication can lead to misunderstandings and errors.
• Environmental Factors:
➢ Weather conditions: Extreme weather, such as storms, heavy rainfall, or icy roads, can
increase the risk of accidents.
➢ Natural disasters: Earthquakes, floods, wildfires, and other natural disasters can pose
significant safety risks.
➢ Environmental hazards: Exposure to toxins, pollutants, and hazardous substances can harm
health and safety.
• Organizational Factors:
➢ Safety culture: The organization's values, attitudes, and practices regarding safety can greatly
influence risk.
➢ Leadership and management: Effective leadership and management can promote safety, while
poor leadership can undermine it.
➢ Resource allocation: Inadequate resources for safety measures can increase risk.

Q46. Define Risk-Benefit Analysis. Why is it conducted? What are the limitations of RBA?
A46. Risk-Benefit Analysis (RBA) is a systematic process used to evaluate the potential risks and benefits
associated with a particular decision, action, project, or policy. It is commonly employed in various fields,
including healthcare, environmental science, finance, and regulatory decision-making. Many large projects,
especially public works are undertaken based on risk-benefit analysis.
The key reasons for conducting RBA are:
• Identifying Risks and Benefits: RBA involves identifying and quantifying both the potential risks
and benefits associated with a decision or action. Risks are events or factors that may have adverse
consequences, while benefits are positive outcomes or advantages.
• Quantification: In many cases, RBA aims to quantify the risks and benefits in terms of their
likelihood, severity, and impact. This allows decision-makers to compare and prioritize them more
effectively.
• Evaluation: The analysis involves evaluating the risks and benefits based on specific criteria or
objectives. Decision-makers may assign weights or values to different outcomes to reflect their
relative importance.
• Comparison: RBA enables decision-makers to compare the expected benefits with the expected
risks. This comparison helps in assessing whether the potential benefits outweigh the potential risks
or vice versa.
• Informed Decision-Making: Ultimately, RBA provides decision-makers with valuable information to
make informed choices. It helps them understand the trade-offs and make decisions that maximize
benefits while minimizing risks.
The limitations of RBA are:
• Subjectivity: RBA often relies on subjective assessments of risks and benefits, which can introduce
bias and variation in the results. Different analysts may assign different values to the same risks and
benefits.
 • Incomplete Information: Conducting an RBA requires accurate and complete data on risks and
benefits, which may not always be available. Incomplete or inaccurate data can lead to unreliable
conclusions.
• Difficulty in Assigning Values: Assigning values to intangible factors, such as human lives or
environmental quality, can be challenging and controversial. Different stakeholders may have
varying opinions on how to assign values.
• Uncertainty: RBA deals with future events and predictions, and as such, it inherently involves
uncertainty. It's challenging to accurately predict the likelihood and magnitude of future risks and
benefits.
• Ethical Concerns: RBA may raise ethical concerns when it involves assessing risks and benefits
that impact people's health, safety, or well-being. Balancing competing ethical principles can be
difficult.

Q47. Explain two types of risk.

A47. The two types of risk are:
• Safety risk: Safety risk refers to the potential for harm or injury to individuals, property, or the
environment due to hazards or dangers associated with a specific activity, process, or situation. It
encompasses risks related to physical well-being and safety. These risks often involve factors such
as accidents, injuries, health hazards, and damage to assets or the environment. These risks can
arise in various contexts, including workplace safety, product safety, transportation safety, and
public safety.
Ex- Engineers can manage safety risk by following safety procedures, using safe materials, and
conducting safety tests. They can also work with other engineers and scientists to identify and
mitigate hazards.
• Social risk: Social risk refers to the potential for harm or adverse consequences to an individual's
or organization's reputation, relationships, or social standing due to actions, decisions, or
behaviours that may be perceived negatively by society, stakeholders, or the public. These risks are
often intangible and can result from factors such as ethical lapses, public relations crises, legal
disputes, controversies, or public backlash. These risks can affect an individual's or organization's
credibility, trustworthiness, and public image.
Ex- Engineers can manage social risk by considering the potential impacts of their work on society,
consulting with experts, and being transparent about their work. They can also work to ensure that
their work is used for good and not for harm.

Q48. What are the drawbacks in the definition of Lawrence?

A48. The drawbacks in the definition of Lawrence are:
• Underestimation of risks:
➢ Overconfidence: Underestimating risks often occurs when individuals or organizations are
overly confident in their abilities or the situation. They might believe that they are immune to
negative outcomes or that their skills and strategies can mitigate any potential harm. This
overconfidence can lead to poor decision-making, as it neglects the possibility of adverse
events.
➢ Incomplete Information: Sometimes, underestimating risks happens when there is a lack of
comprehensive information. Decision-makers might not have access to all the relevant data, or
they might not be aware of all the potential risks associated with a particular course of action.
This incomplete information can result in a skewed perception of risk.
 ➢ Biased Perception: Cognitive biases, such as optimism bias or confirmation bias, can also
contribute to the underestimation of risks. People tend to focus on information that supports their
preconceived notions or desired outcomes, ignoring or downplaying information that suggests
otherwise. This bias can lead to a distorted view of potential risks.
➢ Overlooking Rare Events: Underestimation can also occur when individuals or organizations
disregard rare or low-probability events, assuming they are unlikely to happen. However, in
complex systems or uncertain environments, rare events can still have significant impacts when
they do occur.
• Overestimation of risks:
➢ Fear and Anxiety: Overestimating risks can stem from excessive fear or anxiety about potential
negative outcomes. This may lead to a reluctance to take necessary risks or make decisions that
could lead to positive outcomes. In business and personal life, an excessive focus on potential
risks can hinder progress and innovation.
➢ Loss Aversion: People tend to be more sensitive to potential losses than gains. Overestimating
risks can be a result of loss aversion, where individuals or organizations place too much
emphasis on avoiding losses, even when the potential gains outweigh the potential downsides.
This can lead to missed opportunities.
➢ Paralysis by Analysis: When risks are overestimated, it can lead to a state of "analysis
paralysis," where individuals or organizations become so preoccupied with identifying and
mitigating risks that they struggle to make decisions or take action. This can impede progress
and hinder competitiveness.
➢ Resource Allocation: Overestimating risks can also lead to the misallocation of resources.
Organizations may allocate excessive resources to risk mitigation, which could have been better
used for growth, development, or innovation.

Q49. Give the categories of Risk?

A49. The categories of Risk are:
• Low consequence, Low probability (which can be ignored): Risks falling into this category have
both a low consequence and a low probability of occurring. In other words, they are unlikely to
happen, and even if they do, they will have minimal impact or harm. They are typically considered
negligible and can often be ignored. Resources and efforts are usually not allocated to mitigate or
manage these risks because the cost of doing so may outweigh the potential benefits.
Ex- In a software development project, a minor bug that has a very low chance of occurring and
would have minimal impact on the overall functionality of the software could fall into this category.
• Low consequence, High probability: Risks in this category have a high probability of occurring
but would result in low consequences or minor impacts if they do happen. They are frequent but
generally not very damaging. While the individual risk events may not be severe, the cumulative
impact of frequent occurrences can still be significant. It is essential to acknowledge and monitor
these risks, but extensive risk mitigation efforts may not be warranted. Instead, strategies may focus
on contingency planning or process improvements to reduce the likelihood of recurrence.
Ex- In a retail business, a high probability risk could be the occurrence of minor inventory shortages
due to supply chain disruptions. While this may happen frequently, it may not significantly affect
overall operations.
• High consequence, Low probability: Risks in this category have the potential to result in severe
consequences or significant damage, but they have a low likelihood of occurring. They are often
referred to as "black swan" events because they are rare but can have catastrophic effects. These
risks are challenging to predict and prepare for due to their infrequency. However, organizations
must identify and assess them. Mitigation strategies may include developing robust contingency
 plans, insurance coverage, and scenario planning to minimize the impact if such an event does
occur.
Ex- A company operating in an earthquake-prone area faces a low probability of experiencing a
major earthquake. While the likelihood is low, the consequences, such as property damage and
business interruption, would be significant.
• High consequence, High probability: Risks in this category have both a high probability of
occurring and the potential for severe consequences or substantial damage. They are a significant
concern and require active risk management. These risks demand immediate attention and
proactive mitigation efforts. Strategies may include risk avoidance (if possible), risk reduction
through preventive measures, risk transfer (e.g., through insurance), and robust contingency
planning. Continuous monitoring and rapid response plans are also crucial.
Ex- In the context of cybersecurity, a data breach has a high probability of occurring due to the
prevalence of cyber threats. If a breach does happen, it can result in significant financial losses,
reputation damage, and legal consequences, making it a high consequence, high probability risk.

Q50. What are the factors that affect Risk Acceptability?

A50. The factors affecting Risk Acceptability are:
• Voluntarism and control: Voluntarism refers to the degree of choice or control an individual or
group has in accepting or engaging with a particular risk. When people have a choice or feel in
control of a risky situation, they may be more willing to accept the risk. When individuals or
organizations have a high level of control over a risk, they may find it more acceptable because they
believe they can influence the outcome or mitigate the negative consequences. On the other hand,
risks that are imposed without choice or control may be less acceptable and may lead to resistance
or opposition.
Ex- In the context of personal health, a person might choose to participate in a risky sport like
skydiving because they have control over the decision and feel that they can manage the risks
involved. In contrast, being exposed to environmental pollution without the ability to control or avoid
it may be less acceptable.
• Effect of information on risk assessment: The availability and quality of information about a risk
can significantly influence its acceptability. When individuals or organizations have access to
accurate and comprehensive information about a risk, they can make more informed decisions
about whether to accept it. Insufficient or misleading information can lead to misjudgement of risk
and may affect acceptability. Clear and transparent communication of risk-related information can
help people better understand the risks they face and make rational decisions.
Ex- In the financial sector, investors are more likely to accept investment risks when they have
access to detailed information about the performance, risks, and financial health of a company.
Lacking this information might make the risk less acceptable.
• Job related pressures: Job-related pressures and demands can influence an individual's or
organization's willingness to accept certain risks. In some cases, employees or organizations may
feel compelled to accept risks to meet job requirements, deadlines, or performance expectations.
When job-related pressures are high, people may be more inclined to accept risks even if they
would not do so under normal circumstances. This can lead to risky behaviour or decision-making
that might not align with safety or best practices.
Ex- In the construction industry, workers might accept certain risks, such as working at heights
without adequate safety measures, due to tight project schedules and pressures to meet deadlines.
• Magnitude and proximity of the people facing risk: The number of people exposed to a risk and
their proximity to the risk source can affect the acceptability of that risk. Risks that impact a larger
number of people or are closer to individuals and communities may be perceived as less
acceptable. Risks that have a significant impact on a small group of people or are perceived as
distant may be more acceptable than risks that affect a large population or are closer to home.
Proximity and magnitude influence public perception and societal acceptance of risks.
 Ex- The construction of a hazardous chemical plant in a densely populated urban area is likely to
face greater public opposition and be less acceptable compared to the same plant being located in
a remote, sparsely populated region.

Q51. What is the knowledge required to assess risks?

A51. The knowledge required to assess risks are:
• Data in design: Assessing risks begins with having access to relevant data, especially when
designing a product, system, or process. This data can include information about the components,
materials, operating conditions, and historical performance. Data is the foundation for risk
assessment because it helps identify potential hazards and vulnerabilities. Without comprehensive
and accurate data, it's challenging to evaluate risks effectively. Data can be obtained through
research, data collection, and information from previous similar projects or experiences.
• Uncertainties in design: Designing any system or project involves dealing with uncertainties.
Uncertainties can arise from various sources, such as incomplete information, variability in materials
or conditions, or future changes that cannot be predicted with certainty. Recognizing and addressing
uncertainties is essential in risk assessment. It involves understanding what is not known and
assessing how these unknowns can impact the project or system. Techniques like sensitivity
analysis and scenario planning can help in assessing and managing uncertainties.
• Testing for safety: It involves conducting experiments, simulations, or assessments to evaluate the
safety of a product, process, or system. Safety testing aims to identify potential risks and hazards
before they become actual problems. Safety testing is a critical part of risk assessment because it
provides empirical evidence of how a system or product behaves under various conditions. It helps
in verifying whether safety measures are effective and whether the design meets safety standards
and requirements.
• Analytical testing: It involves the use of various scientific and analytical methods to evaluate the
properties, quality, and safety of materials, components, or processes. This can include chemical
analysis, stress testing, and performance analysis. Analytical testing provides objective data and
insights into the characteristics and behaviour of materials and components. It helps in identifying
potential weaknesses, defects, or issues that could pose risks in the final product or process.
• Risk-benefit analysis: It is a structured approach to evaluating the trade-offs between the risks and
benefits of a particular decision, action, or investment. It involves quantifying and comparing the
potential positive outcomes (benefits) with the potential negative outcomes (risks). Risk-benefit
analysis is crucial for making informed decisions when facing multiple options or strategies. It helps
assess whether the potential benefits of a particular course of action outweigh the associated risks.
This analysis is often used in industries like healthcare, finance, and environmental management to
guide decision-making.

Q52. What are the analytical methods?

A52. The analytical methods are:
• Scenario analysis: It is a method used to assess risks by creating and analysing various
hypothetical scenarios that could impact a system, project, or organization. These scenarios
typically involve different combinations of events, conditions, or variables. It helps in understanding
the range of potential outcomes and their likelihoods. By considering different scenarios, decision-
makers can develop strategies to mitigate risks and prepare for various future situations. It is often
used in financial risk assessment, strategic planning, and disaster preparedness.
Ex- In the context of financial risk, scenario analysis may involve creating scenarios for different
economic conditions, such as recession, inflation, or market volatility, to assess how these
scenarios would affect an investment portfolio.
 • Failure modes & effect analysis (FMEA): It is a systematic method for identifying and evaluating
potential failure modes within a system, process, or product. It assesses the effects of these failure
modes on system performance, safety, and reliability. FMEA helps in proactively identifying and
prioritizing failure modes that could lead to adverse consequences. By ranking these failure modes
based on their severity, likelihood, and detectability, organizations can focus their efforts on
mitigating the most critical risks. It is commonly used in engineering, manufacturing, and healthcare
industries.
Ex- In automotive manufacturing, FMEA can be used to assess potential failure modes in critical
components like brakes, engines, or airbags. By identifying and addressing these failure modes,
manufacturers can improve the safety and reliability of their vehicles.
• Fault tree analysis (FTA): It is a method used to model and analyse the causes and consequences
of specific undesirable events (often called "top events"). It uses a graphical representation of logic
gates to show how various failures or events can lead to the occurrence of the top event. FTA is
valuable for understanding the complex relationships between different failure modes and their
contributions to a specific event. It allows for a systematic investigation of the causes and helps in
identifying critical failure paths that need mitigation. It is commonly used in safety-critical industries
such as nuclear power and aerospace.
Ex- In nuclear power plant safety, FTA can be applied to assess the various failure modes that could
lead to a core meltdown and the associated consequences. By analysing the fault tree, safety
measures can be put in place to prevent or mitigate these failures.
• Event tree analysis: It is a method used to model and analyse the possible outcomes and
sequences of events that may follow a specific initiating event or condition. It is often used to assess
the consequences of accidents or incidents. It helps in visualizing the possible sequences of events
that may result from an initial event, allowing organizations to evaluate the likelihood and severity of
different outcomes. This method is valuable for understanding accident scenarios and planning
emergency response measures.
Ex- In aviation safety, Event Tree Analysis can be used to assess the potential outcomes following
an aircraft engine failure during flight. It considers various responses, such as pilot actions, system
failures, and environmental conditions, and evaluates their consequences.

Q53. What are the three conditions referred to as safe exit?

A53. The three conditions referred to as safe exit are:
• Assure when a product fails it will fail safely: It focuses on ensuring that when a product or
system experiences a failure, it should do so in a way that minimizes harm to users, bystanders,
and the environment. In other words, a failure should not lead to catastrophic or dangerous
consequences. Designing products or systems with fail-safety in mind is essential to prevent
accidents or injuries caused by unexpected failures. It involves engineering safeguards and
redundancy mechanisms to mitigate the impact of failures.
Ex- In the automotive industry, if a vehicle experiences brake failure, it is designed to fail safely by
allowing the driver to use the emergency brake (parking brake) as a backup. This ensures that the
vehicle can still be brought to a stop, minimizing the risk of a collision.
• Assure that the product can be abandoned safely: It focuses on ensuring that users can safely
exit or abandon a product or system in case of an emergency or failure. It involves designing exit
mechanisms and procedures that are easy to use and effective in emergency situations. In
situations where a product or system becomes unsafe or non-functional, providing a means for
users to quickly and safely exit is critical for their well-being. This condition is particularly important
for products such as buildings, vehicles, and aircraft.
Ex- In commercial airplanes, the design includes clearly marked emergency exits, evacuation
slides, and emergency lighting to assist passengers in safely evacuating the aircraft in the event of
an emergency landing or evacuation.
 • Assure that the user can safely escape the product: It emphasizes that users should have the
means and knowledge to safely escape from a product or system when necessary. It goes beyond
the physical design and includes user training and education on emergency procedures. Users
need to be informed about what to do in case of emergencies and have access to the necessary
equipment or tools to facilitate a safe escape. This condition helps ensure that users can react
appropriately when faced with unexpected situations.
Ex- In the context of a submarine, crew members are trained in emergency procedures, including
how to safely exit the vessel in the event of a malfunction or damage. They are provided with life-
saving equipment and escape routes.

Q54. Are the engineers responsible to educate the public for safe operation of the equipment? How?
A54. Yes, as per the engineers are concerned with, they should have their duty as to protect for the safety
and well-being of the general public. The engineers can fulfil this responsibility by:
• User Manuals and Documentation:
➢ Creation: Engineers should collaborate with technical writers and instructional designers to
create user-friendly manuals, guides, and documentation that accompany their products. These
materials should provide clear and concise instructions for safe operation, maintenance, and
troubleshooting.
➢ Accessibility: Ensure that user manuals and safety instructions are readily accessible to the
end-users. This might include providing printed materials with the product, offering digital
versions on the company's website, or making them available through mobile apps.
• Product Labelling and Warnings:
➢ Clear Labelling: Engineers should work with product designers to incorporate clear and intuitive
labels on the equipment itself. Labels should indicate potential hazards, safety precautions, and
instructions for use.
➢ Warnings: If there are specific risks associated with the equipment's operation, engineers
should ensure that warning labels are prominently displayed. These labels should communicate
the nature of the risks and provide guidance on how to avoid them.
• Training Programs:
➢ Develop Training Programs: Engineers can work with their organizations or clients to develop
training programs or workshops for end-users. These programs can be conducted in person,
online, or through interactive modules to teach users how to safely operate the equipment.
➢ Training Materials: Engineers can contribute to the creation of training materials, including
presentations, videos, and interactive simulations, to facilitate user education.
• Online Resources and Support:
➢ Online Guides: Engineers can collaborate with web developers to create online resources, such
as FAQs, troubleshooting guides, and video tutorials, that users can access for additional
support.
➢ Customer Support: Engineers can establish channels for users to reach out for assistance or
clarifications. This could include customer support hotlines, email inquiries, or online chat
services.
• Feedback Mechanism:
➢ Collect Feedback: Engineers should encourage users to provide feedback on their experiences
with the equipment. This can help identify any usability or safety issues that need to be
addressed.
 ➢ Iterative Improvements: Based on user feedback, engineers can work on iterative
improvements to the equipment, user manuals, or training materials to enhance safety and
usability.

Q55. Define a Disaster?

A55. Disasters are serious disruptions to the functioning of a community that exceed its capacity to cope
using its own resources. Disasters can be caused by natural, man-made and technological hazards, as
well as various factors that influence the exposure and vulnerability of a community.
Examples of natural hazards include droughts, earthquakes, cyclones, landslides, tsunami, etc.
Examples of man-made hazards include terrorism, war, criminality, civil disorder, etc.
Key characteristics of a disaster include:
• Severity: Disasters often involve a high level of severity, leading to substantial damage, loss of life,
or widespread destruction. The severity can vary from localized incidents to large-scale events
affecting entire regions or even countries.
• Unpredictability: While some natural disasters can be forecast to some extent (e.g., hurricanes),
the exact timing, magnitude, and impact of many disasters are often unpredictable, making
preparedness and response critical.
• Impact: Disasters can have a profound impact on human lives, property, infrastructure, the
environment, and the economy. They may result in injuries, fatalities, displacement of populations,
and long-term social and economic consequences.
• Response and Recovery: After a disaster occurs, there is typically an immediate response phase
focused on saving lives, providing emergency aid, and stabilizing the situation. Subsequently, a
longer-term recovery phase focuses on rebuilding communities and infrastructure and addressing
the physical, psychological, and social impacts of the disaster.
• Multidimensional Effects: Disasters can have complex and interconnected effects, including
physical, psychological, economic, and environmental consequences. They often require a
coordinated and multifaceted response from various sectors, including government agencies,
humanitarian organizations, and community efforts.

Q56. Discuss the concept of Safety.

A56. Engineering products are designed and manufactured with the aim of serving the public safely and
without any risk. In spite of careful design and giving allowance for any unforeseen failures, our machines
and control systems malfunction because of unexpected circumstances. Sometimes they fail and cause
accidents. As a result, “safety” is not there and the “risk” becomes inevitable. Nuclear Power Plant
accidents at Three Miles Island and Chernobyl tell us about the complexity in engineering systems and the
need for safe exits.
The Concept of Safety: Absolute safety is neither attainable nor affordable. Yet for our discussion, let us
discuss what we mean by “safety”. “Safety” means the various risks a person judges to be acceptable.
According to William W. Lawrence, “A thing is safe, if its risks are judged to be acceptable”.

Q57. Discuss the concept of Risk.

A57. A risk is a thing that exposes us to unacceptable danger or hazard. It is the potential that something
unwanted and harmful may occur. We take a risk when we undertake something or use a product that is
unsafe.
Risk, like harm covers many different types of unwanted happenings. In technology, it includes dangers of
bodily harm, of economic loss, or of environmental degradation. These are caused by delayed job
completion, faulty products or systems or environmentally harmful solutions to technological problems.
Natural hazards continued to threaten human population. Floods, storms, heavy snowfall, earthquakes
affected our population and cause a greater damage to the technological networks for water, energy and
food. Here a word should be said about disasters. A disaster takes place when a serious accident happens
with a state of unpreparedness. Titanic collision with an iceberg happened to be a disaster because
emergency preparedness was inadequate. There were only a few life boats. The warning about iceberg
was not heeded. The severity of the risk is judged by its nature and possible consequences.

Q58. Explain briefly about assessment of safety and risk.

A58. The assessment of safety and risk is a systematic process used to evaluate and manage potential
hazards, threats, and adverse events in various domains, including engineering, healthcare, finance, and
environmental planning. Here is a brief overview of the assessment of safety and risk:
• Identification of Hazards and Risks: The first step in risk assessment is to identify potential
hazards, risks, or adverse events that could occur in a given context. This involves a thorough
examination of the system, process, or environment in question to pinpoint areas of concern.
• Risk Analysis: Risk analysis involves evaluating the likelihood (probability) and severity
(consequences) of identified hazards or risks. This step may use quantitative or qualitative methods,
depending on the nature of the assessment.
• Risk Assessment: Risk assessment combines the results of hazard identification and risk analysis
to determine the overall level of risk associated with a specific scenario or system. This often results
in a risk matrix or risk rating that categorizes risks as low, moderate, or high.
• Risk Mitigation and Control: Once risks are identified and assessed, the next step is to develop
strategies for risk mitigation and control. This may involve implementing preventive measures,
safety protocols, redundancies, or emergency response plans to reduce the likelihood and impact of
adverse events.
• Monitoring and Review: Continuous monitoring and review of the risk assessment process are
essential to ensure that risk levels remain acceptable over time. Regular updates may be necessary
as conditions change or new information becomes available.
• Risk Communication: Effective communication of risks to relevant stakeholders, including
decision-makers, the public, and affected parties, is crucial. Transparency and clear communication
help stakeholders make informed decisions and take appropriate actions.

Q59. Discuss various methods of reducing risks.

A59. Reducing risks is a crucial aspect of risk management in various fields, including business, finance,
healthcare, and engineering. Below are various methods and strategies that can be employed to effectively
reduce risks:
• Risk Avoidance: It involves eliminating or completely avoiding activities, products, or situations that
carry significant risks. It is the most straightforward way to reduce risk because it removes the
potential for harm altogether.
Ex- A company may decide to avoid entering a highly competitive and risky market and instead
focus on less competitive but more stable markets to reduce the risk of market competition and
potential losses.
• Risk Mitigation: It involves taking proactive measures to reduce the impact or likelihood of a risk.
This approach aims to lessen the severity of potential consequences if a risk event were to occur.
 Ex- A construction company may implement safety measures, such as providing personal protective
equipment and conducting regular safety training, to reduce the risk of accidents and injuries on
construction sites.
• Risk Transfer: It involves shifting some or all of the risk to another party, typically through insurance
or contractual agreements. This method is commonly used to protect against financial losses.
Ex- A business might purchase liability insurance to transfer the financial risk associated with
potential lawsuits to an insurance company. If a lawsuit arises, the insurance company covers the
legal costs and any awarded damages, reducing the financial impact on the business.
• Risk Diversification: It involves spreading investments or exposures across a variety of assets,
markets, or projects to reduce the impact of a potential loss in one area. It is a common strategy in
finance and investment.
Ex- An investor may diversify their portfolio by investing in a mix of stocks, bonds, real estate, and
other assets. If one investment underperforms or experiences a loss, the overall impact on the
portfolio is reduced because of diversification.
• Contingency Planning: It involves developing a plan of action to respond effectively to unforeseen
events or risks if they occur. It includes identifying potential risks, defining response strategies, and
preparing resources and personnel.
Ex- An IT department may have a contingency plan for data breaches. In the event of a breach, the
plan outlines steps to secure data, inform stakeholders, and restore systems to minimize damage.

Q60. Explain with examples the methods of improved safety.

A60. Here are some examples of the methods of improved safety:
• The “magnetic door catch” introduced on refrigerators. This prevents death by suffocation of
children trapped in them. The catch provided to the door makes possible, door to be opened from
the inside without major effort. This is also cheaper compared to old type of latches.
• The “Dead man-handle” used by the engineer (engine-driver) to control train’s speed. The train is
accelerated only as long as some pressure is applied on the handle. If the engine driver reduces the
pressure on the handle, the speed of the train also comes down. When the pressure is zero, the
train automatically stops.
• A car “safety belt” is a simple attachment on the door ensures that the belt automatically goes into
the position whenever one enters the car.
• Anti-Lock Braking System (ABS) in vehicles is a safety feature in modern vehicles that prevents the
wheels from locking up during hard braking, thereby helping drivers maintain steering control. When
a driver applies the brakes in an emergency situation, ABS modulates brake pressure on individual
wheels to prevent skidding.
• Automatic Fire Sprinkler Systems are installed in buildings to detect and extinguish fires
automatically. These systems consist of heat-sensitive sprinkler heads connected to a water supply.
When a fire heats the air around a sprinkler head to a certain temperature, that sprinkler head
activates, releasing water to suppress the fire.

Q61. Explain the different types of employers’ authority that are to be respected by the Engineers.
A61. The different types of employers’ authority respected by the Engineers are:
• Institutional Authority: It refers to the authority vested in an organization or institution, such as a
company, government agency, or professional association. Engineers are expected to respect and
adhere to the rules, policies, and regulations set by their employer or the governing institution.
Institutional authority provides the framework for how engineering projects are conducted and how
ethical and professional standards are maintained. Adherence to institutional authority ensures
consistency, accountability, and legal compliance in engineering practices.
 Ex- Engineers working for a government agency must follow the laws, regulations, and procedures
established by that agency when designing and constructing infrastructure projects. This includes
adhering to environmental regulations, safety standards, and project management protocols.
• Expert Authority: It is based on an individual's or a team's specialized knowledge, skills, and
experience in a particular field of engineering. Engineers are expected to respect the authority of
experts who possess in-depth expertise and competence in specific areas. Expert authority is
essential for ensuring that engineering projects are carried out with a high level of technical
proficiency. Engineers should recognize and defer to the expertise of colleagues or consultants who
have a deeper understanding of certain aspects of a project.
Ex- In the field of structural engineering, a junior engineer may defer to the expert authority of a
senior structural engineer with decades of experience when making critical decisions about the
design and safety of a building.
• Power Authority: It is related to the hierarchical structure within an organization. It involves the
authority granted to individuals based on their position or role within the company. Engineers are
expected to respect the authority of their superiors and those with managerial responsibilities.
Power authority helps maintain order and efficient decision-making within an organization. It
ensures that decisions are made by individuals with the appropriate responsibilities and that
projects are executed in alignment with the organization's goals.
Ex- An engineering manager has power authority over a team of engineers. The manager is
responsible for making project-related decisions, assigning tasks, and ensuring that projects meet
deadlines and quality standards. Engineers are expected to follow the manager's directions and
decisions.

Q62. Discuss the concept of Collective Bargaining.

A62. Employees (workers) form an association, called “union”, in order to protect their rights. Union, as a
faithful agent of employees, is to safeguard their interests and rights. When the management refuses to
fulfil their legitimate rights, employees resort to strike. At this stage, the representative from both sides
(employer and employee), meet to discuss the various issues. They ultimately reach a compromising
solution, acceptable to both sides. This is known as “Collective Bargaining”. Here are some key points to
this concept:
• Negotiation Process: Collective Bargaining typically follows a structured negotiation process. The
management and union representatives come together to discuss a wide range of employment-
related matters, including wages, benefits, working conditions, job security, and dispute resolution
procedures.
• Bargaining Agreements: The outcome of Collective Bargaining is often documented in a legally
binding agreement known as a collective bargaining agreement (CBA) or labour contract. This
agreement outlines the terms and conditions of employment for a specified period, often covering
issues such as wages, hours of work, grievance procedures, and employee rights.
• Union Representation: Collective Bargaining is conducted on behalf of employees by their chosen
labour union or employee representatives. These representatives advocate for the interests and
concerns of workers and negotiate with management to achieve favourable outcomes for their
members.
• Strikes and Lockouts: While Collective Bargaining is a means of reaching mutually acceptable
agreements, it can also involve tactics like strikes by employees or lockouts by employers if
negotiations break down. Strikes are a last resort and can disrupt operations, so parties generally
seek to avoid them through successful bargaining.
 Section-B (Case Studies)
1. 1973: Ford Pinto: Fuel System Design.
A1. Overview of the Incident: The Ford Pinto, introduced in 1971, gained notoriety due to a design flaw in
its fuel system that made it susceptible to fires in rear-end collisions. The issue revolved around the
location of the fuel tank, which had a tendency to rupture and leak fuel upon impact.

Causes and Factors Involved:

• Design Decision: The Pinto's fuel tank was positioned between the rear axle and the rear bumper,
making it vulnerable to damage in rear-end collisions.
• Cost-Benefit Analysis: It was conducted by Ford that weighed the expense of redesigning the fuel
system against potential legal costs associated with injury and death claims. The decision not to
implement a safer design was driven by economic considerations.
• Safety Testing Concerns: There were reports that safety testing for the Pinto was inadequate, and
the concerns raised by engineers about the fuel system's vulnerability were not given sufficient
consideration.

Impact and Aftermath:

• Accidents and Injuries: Several accidents occurred where rear-end collisions led to fuel tank
ruptures, resulting in fires. In some cases, occupants suffered severe injuries and fatalities.
• Public Outcry: The revelations about the Pinto's safety issues led to a public outcry, tarnishing
Ford's reputation and raising questions about corporate ethics and responsibility.
• Legal Battles: Ford faced numerous lawsuits related to injuries and deaths caused by Pinto fires.
The company eventually settled many of these cases out of court.

Safety Reforms:
• Improved Safety Standards: The incident prompted a reevaluation of automotive safety standards.
It contributed to the development and enhancement of crash-testing procedures and safety
regulations.
• Corporate Accountability: The incident highlighted the need for corporate accountability in
ensuring the safety of consumer products. It spurred discussions about the ethical responsibilities of
companies in manufacturing and marketing.

Lessons Learned:
• Ethical Decision-Making: The case underscored the importance of ethical decision-making in
business, emphasizing that economic considerations should not compromise consumer safety.
• Prioritizing Safety: The incident reinforced the principle that the safety of consumers should be
paramount in product design and manufacturing, even if it entails additional costs.
• Corporate Transparency: The incident highlighted the significance of corporate transparency and
the disclosure of safety concerns. Concealing known risks can have severe consequences for both
companies and consumers.

2. 1986: Chernobyl: Nuclear Power Plant Disaster.

A2. Overview of the Incident: The Chernobyl nuclear disaster, which occurred on April 26, 1986, at the
Chernobyl Nuclear Power Plant in Pripyat, Ukraine, is considered one of the most catastrophic nuclear
accidents in history. It resulted in a significant release of radioactive materials into the atmosphere,
affecting a wide area and causing long-lasting environmental and health consequences.

Causes and Factors Involved:

• Flawed Reactor Design: The RBMK reactor used at Chernobyl had a design flaw that made it
susceptible to a positive void coefficient, where an increase in steam (void) could lead to an
increase in reactor power, potentially causing uncontrollable reactions.
• Safety Violations and Testing Procedure: During a late-night safety test, operators violated safety
protocols and disabled key safety systems. The reactor was pushed to very low power levels,
aggravating the instability in the reactor core.
• Inadequate Training: The personnel involved in the test had insufficient training and understanding
of the reactor's complex design. Miscommunications and misunderstandings among the operators
played a crucial role in the disaster.

Impact and Aftermath:

• Immediate Health Consequences: Two plant workers died in the immediate aftermath of the
explosion. The release of radioactive materials led to acute radiation sickness among emergency
responders and plant workers.
• Evacuation and Contamination: The nearby town of Pripyat was evacuated, and a large exclusion
zone was established. The release of radioactive iodine and cesium contaminated the environment,
leading to long-term health issues and environmental damage.
• Global Impact: The radioactive plume spread across Europe, affecting regions as far as
Scandinavia. The incident raised awareness about the transboundary consequences of nuclear
accidents.

Safety Reforms:
• Reactor Design Improvements: Following the disaster, improvements were made to the design of
RBMK reactors, addressing critical flaws and enhancing safety features.
• Enhanced Safety Protocols: These were implemented at nuclear power plants worldwide.
Lessons from Chernobyl contributed to a global reassessment of nuclear safety standards.

Lessons Learned:
• Human Factors and Training: The disaster highlighted the critical importance of adequate training,
communication, and a strong safety culture among nuclear plant operators.
• Transparency and Accountability: The lack of transparency and accountability in the Soviet
nuclear industry was exposed. The disaster underscored the importance of open communication
and accountability in managing nuclear facilities.
• Global Cooperation: The international response to the disaster emphasized the need for global
cooperation in addressing nuclear accidents and managing their consequences.
• Balancing Energy Needs and Safety: Chernobyl prompted a reevaluation of the balance between
meeting energy needs and ensuring the safety of nuclear power. It raised awareness about the
potential risks associated with certain reactor designs.
3. 1984: Bhopal Accident (India): Chemical Plant.
A3. Overview of the Incident: The Bhopal gas tragedy occurred on the night of December 2-3, 1984, at the
Union Carbide India Limited (UCIL) pesticide plant in Bhopal, India. A toxic gas leak of methyl isocyanate
(MIC), along with other hazardous chemicals, led to one of the world's worst industrial disasters.

Causes and Factors Involved:

• Unsafe Storage and Handling: The tragedy was primarily caused by the accidental release of a
large amount of MIC stored in tank 610. Water entered the tank, triggering a reaction that caused
the release of toxic gases.
• Inadequate Safety Measures: Several safety measures, including refrigeration units and flare
systems, were either malfunctioning or inactive. There were inadequate safety protocols and
emergency preparedness to handle such a disaster.
• Maintenance Issues: The plant suffered from maintenance issues, and safety equipment, including
gas scrubbers, were either poorly designed or not functioning correctly.
• Lack of Information: Workers and nearby residents were not adequately informed about the nature
of the chemicals being used at the plant, and there was a lack of public awareness about safety
measures.

Impact and Aftermath:

• Casualties and Injuries: The immediate impact of the gas leak was devastating. Thousands of
people died within days, and estimates of long-term health consequences, including respiratory and
neurological disorders, continue to this day.
• Environmental Damage: The gas leak resulted in environmental contamination, affecting soil and
water in the surrounding areas. The site of the plant remains a concern for environmental and
health hazards.
• Legal Proceedings: Legal battles ensued, leading to a settlement between Union Carbide
Corporation and the Indian government in 1989. However, there were criticisms that the settlement
amount was inadequate, and the incident raised questions about corporate responsibility.

Safety Reforms:
• Industrial Safety Regulations: The tragedy prompted the Indian government to strengthen
industrial safety regulations. New laws and guidelines were introduced to improve safety standards
and emergency preparedness in chemical industries.
• Liability and Compensation: The incident highlighted the need for clear liability norms and
compensation mechanisms for victims of industrial disasters. Legal frameworks were revisited to
address issues of corporate responsibility and accountability.

Lessons Learned:
• Corporate Responsibility: The disaster underscored the importance of corporate responsibility in
ensuring the safety of communities surrounding industrial facilities. It prompted a global discourse
on the ethical responsibilities of corporations in operating hazardous industries.
 • Community Engagement: The incident highlighted the importance of involving local communities
in decision-making processes related to hazardous industries. Community awareness and
preparedness became integral to industrial safety considerations.
• Emergency Response: The inadequacy of emergency response mechanisms was a glaring issue.
Lessons from Bhopal emphasized the need for robust emergency planning and response
capabilities in industries dealing with hazardous substances.
• Public Disclosure: The lack of information and transparency surrounding the chemicals used in the
Bhopal plant raised concerns. The incident emphasized the importance of public disclosure and
transparency in handling hazardous materials.

4. 1987: Herald of Free Enterprise (Zeebrugge, Be).

A4. Overview of the Incident: On March 6, 1987, the Herald of Free Enterprise, a roll-on/roll-off ferry,
capsized just outside the harbour of Zeebrugge, Belgium. The ferry was en route to Dover, England, when
the tragedy occurred. The incident resulted in a significant loss of life and raised serious concerns about
safety protocols in the maritime industry.

Causes and Factors Involved:

• Bow Doors Left Open: The primary cause of the disaster was the failure to close the bow doors of
the ferry before departure. Water entered the car deck through the open doors, leading to instability
and ultimately causing the vessel to capsize.
• Lack of Safety Culture: There was a lack of a safety culture within the shipping company.
Procedures for closing the bow doors were not followed, and crew members were not adequately
trained for emergency situations.
• Ineffective Communication: Communication failures between the crew members and the bridge
contributed to the oversight of the open bow doors. The critical information did not reach decision-
makers in time to avert the disaster.
• Insufficient Crew Oversight: The crew did not perform a thorough check of the vessel's status
before departure. This lack of oversight allowed the ferry to sail with the bow doors open, a critical
safety violation.

Impact and Aftermath:

• Loss of Lives: The capsizing resulted in the loss of 193 lives. Many passengers and crew
members were trapped inside the ferry as it quickly became partially submerged.
• Legal Proceedings: The incident led to criminal and civil legal proceedings. The shipping company
faced charges related to negligence and safety violations. Individuals were held accountable for
their roles in the oversight.
• Safety Reforms: The disaster prompted significant reforms in the maritime industry. Safety
regulations and protocols for roll-on/roll-off ferries were revised to prevent similar incidents.

Safety Reforms:
• Improved Safety Procedures: Safety procedures for closing and securing bow doors were
overhauled. Clear guidelines were established to ensure that all necessary safety measures were
taken before a vessel's departure.
 • Training and Awareness: Training programs for crew members were enhanced to emphasize the
importance of safety checks and effective communication. Crews were educated on emergency
response protocols.

Lessons Learned:
• Safety is Paramount: The disaster reinforced the fundamental principle that safety must be the top
priority in the maritime industry. It highlighted the devastating consequences of overlooking safety
protocols.
• Effective Communication: The incident underscored the critical importance of effective
communication within a maritime crew. Clear and timely communication can prevent catastrophic
mistakes.
• Regulatory Oversight: The disaster prompted authorities to reevaluate and strengthen regulatory
oversight in the maritime sector. Stringent safety standards and regular inspections became integral
to preventing future accidents.
• Corporate Responsibility: Companies operating in the maritime industry learned the importance of
corporate responsibility. The disaster highlighted the need for robust safety cultures and
accountability at all levels of the organization.

5. 1998: ICE Train Accident in Eschede (Germany).

A5. Overview of the Incident: On June 3, 1998, a high-speed Intercity Express (ICE) train derailed near
Eschede, Germany. The train, traveling at approximately 125 mph (200 km/h), experienced a catastrophic
failure of a wheel, leading to a series of events that resulted in a devastating crash.

Causes and Factors Involved:

• Wheel Fatigue and Failure: It was the primary cause of the accident. The wheel, which had a
hidden crack, disintegrated, causing the train to lose control and derail.
• Crash with Bridge: After derailing, the train collided with a bridge, causing a section of the bridge
to collapse. Debris from the bridge further damaged the train and its cars.
• Inadequate Maintenance: Investigations revealed that the wheel with the hidden crack had not
been properly inspected during routine maintenance. Inadequate maintenance procedures and
oversights contributed to the failure.
• Design Flaw: The design of the train's wheel bearings was also found to be a contributing factor.
The design did not sufficiently prevent the disintegration of a wheel in the event of a crack.

Impact and Aftermath:

• Loss of Lives: The accident resulted in the loss of 101 lives, making it the deadliest high-speed rail
accident in history up to that point.
• Injuries and Destruction: Many passengers were injured, and the train cars suffered extensive
damage. The collision with the bridge caused significant structural damage to the train.
• Emergency Response: It was rapid and extensive. Rescue operations were challenging due to the
severity of the wreckage and the number of casualties.

Safety Reforms:
 • Wheel Inspection and Maintenance: The accident prompted a comprehensive review of wheel
inspection and maintenance procedures for high-speed trains. Stricter maintenance standards and
regular inspections were implemented to detect hidden defects.
• Improved Wheel Designs: Design improvements were made to high-speed train wheels to
enhance their resistance to fatigue and reduce the likelihood of catastrophic failures.
• Structural Enhancement: It was implemented in high-speed train components to minimize the risk
of catastrophic damage in the event of a wheel failure.

Lessons Learned:
• Importance of Maintenance: The accident highlighted the critical importance of meticulous and
thorough maintenance practices for high-speed trains. Regular inspections became integral to
preventing catastrophic failures.
• Design Considerations: The incident underscored the necessity of robust design considerations
for critical components such as wheels. Design flaws can have severe consequences, and
subsequent improvements focused on preventing similar failures.
• Emergency Preparedness: The effective response to the accident emphasized the need for
comprehensive emergency preparedness and response plans for high-speed rail accidents.
• Global Impact: The incident had a global impact on high-speed rail safety. Lessons learned from
the accident influenced safety standards and practices in high-speed rail systems worldwide.

6. 2000: Concorde Crash (Paris).

A6. Overview of the Incident: On July 25, 2000, an Air France Concorde flight, en route from Paris to New
York, crashed shortly after take-off from Charles de Gaulle Airport in Paris. The crash resulted in the
deaths of all 109 people on board and four individuals on the ground. It was a pivotal event in the history of
aviation.

Causes and Factors Involved:

• Runway Debris: The crash was triggered by a piece of metal on the runway that fell from a
Continental Airlines DC-10 that took off just before the Concorde. The metal strip punctured one of
the Concorde's tires.
• Tire Burst and Engine Damage: The debris caused a tire burst on the Concorde, leading to rubber
fragments being propelled into the fuel tanks. The impact caused a shockwave that damaged the
left-wing fuel tanks and engines.
• Fuel Ignition: The damaged engines and fuel tanks resulted in a fuel leak and subsequent ignition.
A fire engulfed the left-wing, leading to the loss of control of the aircraft.

Impact and Aftermath:

• Fatalities and Injuries: All 109 passengers and crew members on board the flight perished, along
with four individuals on the ground. The crash resulted in tragic loss of life and significant injuries.
• Grounding of the Concorde Fleet: In the aftermath of the crash, all Concorde flights were
temporarily grounded. The fleet faced extensive inspections and modifications before resuming
service.
 • Legal Proceedings: Investigations led to legal proceedings. Continental Airlines and several
individuals were held partially responsible for the incident. Continental Airlines was found guilty of
involuntary manslaughter.

Safety Reforms:
• Design Modifications: The Concorde fleet underwent design modifications to improve fuel tank
safety and prevent similar incidents. Changes were made to reduce the risk of debris impact
causing catastrophic failures.
• Improved Runway Foreign Object Debris (FOD) Detection: Enhanced measures were
introduced for FOD detection on runways to prevent debris-related incidents. Airports implemented
stricter protocols for debris removal.

Lessons Learned:
• Debris Impact Risks: The crash highlighted the severe consequences of debris impact on aircraft.
The incident emphasized the need for vigilance in detecting and removing foreign objects from
runways.
• Fuel Tank Safety: The vulnerability of fuel tanks to shockwaves and ignition became a focus. The
aviation industry recognized the importance of improving fuel tank safety features to minimize the
risk of post-impact fires.
• Global Cooperation: The crash prompted global collaboration to enhance aviation safety
standards. Lessons learned from the incident influenced the development of international
regulations and protocols.
• Legal Accountability: It emphasized the importance of holding entities accountable for safety
lapses. The verdict against Continental Airlines underscored the responsibility of airlines in ensuring
the safety of their operations.

7. 1997: Uphaar Cinema Tragedy.

A7. Overview of the Incident: On June 13, 1997, a tragic fire occurred at Uphaar Cinema, a popular
cinema in New Delhi, India, during the screening of the film "Border." The fire resulted in the deaths of 59
people and left several others injured. The incident brought attention to serious lapses in safety standards
and emergency preparedness in public spaces.

Causes and Factors Involved:

• Fire in Transformer Room: The fire originated in the cinema's transformer room due to an
electrical fault. The initial source of the fire was not immediately detected.
• Blocked Exits and Inadequate Escape Routes: It hindered the rapid evacuation of patrons. The
stairwell leading to the exit was congested, and some doors were locked.
• Lack of Safety Measures: The cinema lacked essential safety measures such as fire alarms,
proper emergency lighting, and fire extinguishers. The absence of a functional public announcement
system further contributed to the chaos during the incident.
• Delayed Response: The response from the cinema staff and emergency services was delayed,
exacerbating the impact of the fire. Lack of coordination and communication further hindered the
evacuation process.
Impact and Aftermath:
• Loss of Lives and Injuries: The tragedy resulted in the loss of 59 lives, and many others sustained
injuries. Families were devastated, and the incident had a profound impact on the local community.
• Legal Proceedings: It led to investigations and charges against the owners and managers of the
cinema for negligence and violations of safety regulations.
• Public Outcry: The tragedy sparked public outrage and led to widespread discussions about the
lax enforcement of safety standards in public buildings and cinemas across the country.

Safety Reforms:
• Stringent Safety Regulations: In the aftermath of the tragedy, there was a push for more stringent
safety regulations for public spaces. The incident prompted a reevaluation and strengthening of fire
safety norms and building codes.
• Public Awareness Campaigns: Public awareness campaigns were initiated to educate individuals
about the importance of fire safety, emergency preparedness, and the need to adhere to safety
regulations in public venues.

Lessons Learned:
• Enforcement of Safety Standards: The tragedy underscored the critical need for strict
enforcement of safety standards in public buildings, including cinemas and theatres.
• Emergency Preparedness: The incident highlighted the importance of effective emergency
preparedness, including clear evacuation plans, unobstructed exit routes, and proper training for
staff in handling emergency situations.
• Accountability and Legal Actions: The legal actions and convictions against the cinema owners
emphasized the need for accountability in cases of negligence that result in loss of life.
• Public Vigilance: The tragedy emphasized the role of public vigilance in holding establishments
accountable for adhering to safety regulations. It encouraged individuals to be aware of safety
measures and report violations.

8. 2006: Maglev Train Accident in Lathen (Germany).

A8. Overview of the Incident: On September 22, 2006, a Transrapid maglev train collided head-on with a
maintenance vehicle at the Emsland Test Facility near Lathen, Germany. The train was carrying 29 people,
including 25 passengers. The collision resulted in the deaths of 23 people and injured 11 others. It was the
first fatal accident involving a maglev train.

Causes and Factors Involved:

• Human error: The maintenance vehicle was parked on the wrong track due to a miscommunication
between the train crew and the maintenance workers.
• Inadequate safety procedures: There were no clear procedures in place for ensuring that the
maintenance vehicle was properly secured on the track.
• Lack of communication: It was inadequate between the train crew and the maintenance workers.

Impact and Aftermath:

 • Loss of Life and Injuries: The accident resulted in the tragic loss of 23 lives and injured 11 others.
• First Fatal Maglev Accident: This incident marked the first fatal accident involving a maglev train,
raising concerns about their safety and hindering further development.
• Safety Reforms and Delays: The accident prompted a series of safety reforms and delays in the
construction of planned maglev projects.
• Financial Impact on Transrapid: The Transrapid consortium, responsible for developing maglev
technology, faced financial setbacks due to the accident and the resulting delays.

Safety Reforms:
• Enhanced Maintenance Procedures: New safety procedures were implemented to ensure the
proper placement and securing of maintenance vehicles on tracks.
• Improved Communication System: It was established between train crews and maintenance
workers to prevent miscommunication and potential hazards.
• Establishment of Safety Oversight: This was created to monitor and regulate safety standards
within the maglev industry.

Lessons Learned:
• Safety Priority in Transportation Development: The importance of safety must be paramount in
the development and operation of innovative transportation technologies.
• Clear and Effective Safety Procedures: These are essential to prevent accidents and ensure the
safety of passengers and workers.
• Effective Communication Channels: It is crucial between train crews and maintenance personnel
to maintain situational awareness and prevent mishaps.
• Strong Safety Oversight Mechanism: It is essential to enforce safety standards, conduct regular
audits, and address potential risks proactively.

9. 1986: Challenger Space Shuttle Disaster.

A9. Overview of the Incident: On January 28, 1986, the NASA Space Shuttle Challenger broke apart 73
seconds into its flight, leading to the tragic deaths of all seven crew members. The incident marked a
devastating failure in the history of space exploration.

Causes and Factors Involved:

• O-Ring Failure: The primary cause was the failure of an O-ring seal in the right Solid Rocket
Booster (SRB). The O-ring did not properly seal a joint, allowing hot gases to escape during liftoff.
• Cold Weather Impact: The Challenger launch occurred on an unusually cold morning, with
temperatures well below freezing. The cold weather compromised the flexibility of the O-rings,
reducing their effectiveness.
• Lack of Communication: Engineers at Morton Thiokol, the contractor responsible for the SRBs,
were aware of the potential risks of launching in cold weather but did not communicate their
concerns effectively to NASA management.
 • Pressure to Launch: There was significant pressure to proceed with the launch due to political and
scheduling considerations. NASA managers overruled the objections of engineers, leading to the
fatal decision to launch.

Impact and Aftermath:

• Loss of Crew: The disaster resulted in the loss of seven crew members, including Christa
McAuliffe, who was a civilian school teacher selected for the Teacher in Space Project.
• Grounding of Shuttle Fleet: The entire Space Shuttle fleet was grounded for over two years as
investigations and redesigns took place to address the flaws that led to the disaster.
• Investigations and Reports: The Rogers Commission was formed to investigate the incident. The
commission's report highlighted the technical and organizational failures that contributed to the
tragedy.

Safety Reforms:
• Redesign of SRBs: It was done to improve their safety, including changes to the joint design and
increased insulation to prevent the O-ring failure in low temperatures.
• Enhanced Communication: The disaster prompted a reevaluation of communication processes
within NASA and its contractors. Efforts were made to ensure that safety concerns from engineers
were given appropriate attention and consideration.

Lessons Learned:
• Importance of Safety Culture: The disaster highlighted the importance of fostering a safety-first
culture within organizations involved in complex and high-risk endeavours.
• Ethical Decision-Making: The incident underscored the need for ethical decision-making in high-
stakes situations. Balancing technical concerns with external pressures requires a commitment to
prioritizing safety over other considerations.
• Thorough Technical Evaluation: The disaster reinforced the necessity of conducting thorough
technical evaluations and adhering to established safety protocols, especially in the aerospace
industry.
• Organizational Learning: The disaster became a pivotal moment for organizational learning within
NASA. It prompted changes in procedures, communication, and decision-making processes to
prevent similar incidents in the future.

10. 1981: The Hyatt Regency Hotel Walkway Disaster.

A10. Overview of the Incident: On July 17, 1981, a catastrophic structural failure occurred at the Hyatt
Regency Hotel in Kansas City, Missouri, resulting in the collapse of two interconnected walkways during a
tea dance. The incident led to significant loss of life and injuries.

Causes and Factors Involved:

• Design Flaw in Walkway Support System: This was the primary cause of the disaster. The
original design called for a single set of rods to support both the second and fourth-floor walkways.
This design significantly compromised the load-bearing capacity.
 • Modification of Design: During construction, the design was modified, and the load-carrying
system was changed to a double-rod design. However, the change was not adequately
communicated to the construction team, leading to a misunderstanding and a failure to recognize
the potential consequences.
• Failure to Verify Engineering Calculations: The engineers responsible for the modification failed
to conduct thorough calculations and assessments to verify the safety and integrity of the new
design. The revised design did not account for the increased load during a crowded event.

Impact and Aftermath:

• Loss of Lives and Injuries: The collapse resulted in the deaths of 114 people and injuries to over
200 others. The victims included both hotel guests and individuals attending the tea dance.
• Legal Consequences: The incident led to numerous lawsuits, with multiple parties facing legal
actions, including the engineering and construction firms involved in the project.

Safety Reforms:
• Revised Engineering Standards: The disaster prompted a reassessment of engineering
standards and practices. The importance of thorough engineering calculations and the need for
clear communication during design modifications were emphasized.
• Enhanced Construction Oversight: It was implemented by the construction industry to ensure
that any modifications to the original design are properly communicated, verified, and adhered to
during the construction phase.

Lessons Learned:
• Communication in Design Changes: Its importance was highlighted by the incident. Clear
communication between design, construction, and engineering teams is essential to avoid
misunderstandings and ensure the safety of structures.
• Verification of Design Modifications: Thorough verification and validation of any design
modifications or changes are crucial. Engineering calculations and assessments should be
meticulously conducted to confirm the structural integrity and safety of altered designs.
• Responsibility in Construction Oversight: Construction oversight plays a vital role in ensuring
that the construction aligns with the approved design. The incident emphasized the responsibility of
construction teams to raise concerns and seek clarification on any modifications that may impact
structural safety.
• Human Factors in Engineering: The disaster underscored the significance of considering human
factors in engineering, such as the potential for increased loads during events. Engineers must
account for all foreseeable scenarios that might affect the structural integrity of a building.

11. 1979: Three Mile Island.

A11. Overview of the Incident: On March 28, 1979, the Three Mile Island (TMI) nuclear power plant in
Pennsylvania, USA, experienced a partial reactor meltdown, marking the most serious accident in the
history of the American commercial nuclear power generating industry.

Causes and Factors Involved:

 • Coolant Loss and Partial Meltdown: The incident was initiated by a loss of coolant in the reactor's
primary cooling system, leading to a partial meltdown of the reactor core. A mechanical failure in a
valve caused the coolant to escape.
• Instrumentation Failure: Instrumentation failures and operator errors contributed to a delayed
recognition of the severity of the situation. Misleading readings and inadequate alarms hindered the
operators' ability to assess and respond effectively.
• Communication Breakdown: There was a breakdown in communication between the plant
operators and the utility company's headquarters. Misinformation and a lack of clear communication
exacerbated the challenges in managing the crisis.

Impact and Aftermath:

• No Direct Injuries or Deaths: Fortunately, there were no direct injuries or deaths resulting from
radiation exposure. However, the incident had significant implications for public perception and the
nuclear power industry.
• Release of Radioactive Gases: These into the environment, but the extent of the environmental
impact was limited, and the release did not reach levels that would cause immediate harm.
• Public Fear and Opposition: The incident contributed to public fear and opposition to nuclear
power. It raised concerns about the safety of nuclear facilities and their potential impact on nearby
communities.

Safety Reforms:
• Improved Emergency Response Planning: The accident prompted a reevaluation and
improvement of emergency response planning for nuclear power plants. Enhanced communication
protocols and procedures for informing the public were established.
• Enhanced Operator Training: The incident led to improvements in operator training programs,
focusing on better preparing operators to respond effectively to unexpected and challenging
situations.
• Nuclear Regulatory Changes: The Nuclear Regulatory Commission (NRC) implemented changes
in regulations and oversight, including stricter licensing requirements and increased scrutiny of
nuclear plant operations.

Lessons Learned:
• Importance of Communication: The incident emphasized the critical importance of effective
communication during a nuclear crisis. Clear and accurate information is essential for both plant
operators and the public to make informed decisions.
• Human Factors in Safety: It became a central consideration. The incident highlighted the need for
operators to receive comprehensive training in managing unexpected events and understanding the
limitations of plant instrumentation.
• Public Perception and Trust: The accident underscored the significance of public perception and
trust in the nuclear industry. Rebuilding public trust and confidence required transparent
communication and a commitment to safety.
• Regulatory Vigilance: The regulatory changes that followed the incident demonstrated the need for
continuous vigilance in regulatory oversight of nuclear power plants. Stringent regulations and
regular assessments contribute to ongoing safety improvements.
12. 1912: The Titanic Disaster.
A12. Overview of the Incident: On April 15, 1912, the RMS Titanic, a British passenger liner, famously
known as the "unsinkable ship," struck an iceberg and sank during its maiden voyage from Southampton
to New York. The tragedy resulted in one of the deadliest maritime disasters in history.

Causes and Factors Involved:

• Collision with an Iceberg: The primary cause of the disaster was the ship's collision with an
iceberg in the North Atlantic. The collision caused a series of openings in the ship's hull, leading to
flooding of several compartments.
• Insufficient Lifeboats: The ship was equipped with lifeboats, but they were not sufficient to
accommodate all passengers and crew on board. Regulations at the time did not require ships to
carry enough lifeboats for everyone.
• High Speed in Icy Waters: The ship was traveling at a high speed in waters known to have
icebergs. Despite receiving iceberg warnings, the ship maintained a significant speed, reducing the
time available for evasive manoeuvres.
• Limited Visibility: The night of the collision was moonless, and the lack of binoculars for the
lookout crew may have contributed to limited visibility, making it challenging to detect the iceberg in
time.

Impact and Aftermath:

• Loss of Lives: The sinking of the ship resulted in the loss of over 1,500 lives, including passengers
and crew. The majority of the casualties were due to a lack of lifeboats and inadequate evacuation
procedures.
• International Outcry: The disaster triggered international outrage and grief. The loss of lives,
including prominent figures, brought attention to the need for improved safety measures in maritime
travel.

Safety Reforms:
• International Ice Patrol: It was established, following the disaster, to monitor and report on iceberg
locations in the North Atlantic. This initiative aimed to enhance the safety of transatlantic travel.
• SOLAS Convention: The International Convention for the Safety of Life at Sea (SOLAS) was
established in 1914 as a direct response to the Titanic sinking. SOLAS introduced comprehensive
safety measures for ships, including lifeboat requirements and safety drills.
• Radio Communication Protocols: The disaster highlighted the importance of effective
communication at sea. Improved radio communication protocols were introduced to ensure that
distress signals were promptly received and acted upon.

Lessons Learned:
• Priority on Safety over Luxury: The disaster emphasized the importance of prioritizing safety over
luxury in maritime design. Subsequent ships focused on enhanced safety features, including more
lifeboats and improved evacuation procedures.
 • International Collaboration for Safety: The international response to the disaster highlighted the
need for collaborative efforts to establish and enforce safety standards in maritime travel. This led to
the development of global conventions like SOLAS.
• Enhanced Navigation Protocols: Navigational practices were reconsidered, with an increased
emphasis on precautions in icy waters. Ships were advised to take additional measures to avoid
collisions with icebergs and other obstacles.
• Continuous Training and Drills: The need for continuous training and drills for both crew and
passengers became evident. This includes regular lifeboat drills and ensuring that everyone on
board is familiar with emergency procedures.

13. 2011: Fukushima Nuclear Power Plant.

A13. Overview of the Incident: On March 11, 2011, a massive earthquake and subsequent tsunami struck
Japan, leading to a catastrophic failure at the Fukushima Daiichi Nuclear Power Plant. The incident
became one of the most severe nuclear accidents in history.

Causes and Factors Involved:

• Natural Disaster: The primary cause was the Tohoku earthquake, a magnitude 9.0-9.1 earthquake,
which triggered a powerful tsunami. The tsunami inundated the Fukushima Daiichi Power Plant,
causing widespread damage and leading to the failure of critical systems.
• Loss of Power Supply: The tsunami disabled the power supply and backup generators,
compromising the ability to cool the reactor cores. Without adequate cooling, the reactors
overheated, resulting in meltdowns.
• Inadequate Tsunami Preparedness: The plant's design did not adequately account for the height
of the tsunami that resulted from the earthquake. The protective seawall was not tall enough to
prevent the inundation of crucial facilities.

Impact and Aftermath:

• Release of Radioactive Materials: The overheating of the reactor cores led to the release of
radioactive materials into the atmosphere and the nearby ocean. The severity of the release raised
concerns about the long-term environmental impact.
• Evacuation and Displacement: A significant area around the Fukushima Daiichi Power Plant was
evacuated, leading to the displacement of thousands of residents. The evacuation zone remained
restricted for an extended period, impacting the lives of those affected.
• Health Concerns: There were concerns about the potential health effects of radiation exposure,
both immediate and long-term. Monitoring and managing the health of the affected population
became a critical aspect of the aftermath.

Safety Reforms:
• Global Nuclear Safety Review: The disaster prompted a global review of nuclear safety standards
and practices. International organizations and individual countries assessed their nuclear facilities to
identify vulnerabilities and improve safety measures.
• Enhanced Tsunami Preparedness: Nuclear facilities worldwide, particularly those located in
seismically active regions, implemented enhanced tsunami preparedness measures. This included
reassessment of protective infrastructure and emergency response plans.
 • Strengthened Regulatory Oversight: Many countries reevaluated their regulatory frameworks for
nuclear power plants, aiming to strengthen oversight and ensure that facilities were resilient against
both natural disasters and human-induced incidents.

Lessons Learned:
• Importance of Integrated Safety: The disaster underscored the need for integrated safety
measures that consider both natural and man-made hazards. Future nuclear facilities needed to be
designed with a comprehensive understanding of potential risks.
• Emergency Preparedness and Response: Its importance was highlighted by the incident.
Ensuring the availability of backup systems and effective communication during emergencies
became a priority.
• Transparency and Communication: The case emphasized the importance of transparency and
clear communication with the public during nuclear incidents. Open and honest communication
helps build trust and allows for better management of public concerns.
• International Collaboration: The global response to the disaster demonstrated the need for
international collaboration in addressing nuclear safety. Countries shared information and
collaborated on implementing lessons learned to enhance the safety of nuclear facilities worldwide.
 Professional Ethics, 2nd Edition

R. Subramanian

© All rights reserved. Oxford University

Press 2017
 Chapter 1

Basic concepts

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 OBJECTIVES
▪ Define basic terms related to morality and ethics.
▪ Appreciate the importance of ethics to individuals,
organizations, and society.
▪ List and explain some of the governing factors of an
individual’s ethics.
▪ Comprehend how ethical behavior is influenced by
context.
▪ Value the importance of ethical behavior.
▪ Define and explain the concepts of life skills and
emotional intelligence.

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 TERMINOLOGY
MORAL
Moral is defined as :
“concerned with the principles of right and wrong behaviour” or
“a lesson that can be derived from a story or experience”
Morality
Morality is derived from the Latin word moralitas, meaning
manner, customs, or proper behavior.

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 TERMINOLOGY
Morality can be defined as

▪ ‘Principles
governing right and wrong and good and
bad behavior.’
▪ ‘The degree to which something is right or wrong,
good, or bad, and so on.’
▪ ‘A system of moral principles followed by a particular
group of people.’

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 TERMINOLOGY
Morality can be classified into :

▪ Descriptive morality
- in its simplest form, refers to a
moral code of conduct formulated by a group of
people.

▪ Normative morality
- denotes a code of conduct, but it
specifies the conditions under which it is valid and
considered acceptable by all rational people.

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 TERMINOLOGY

Morality & Ethics

Ethics is a branch of philosophy that studies the ethical

codes required for moral behavior, and is considered
identical to morality.

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 ETHICS
▪ Ethics is defined as ‘the moral principles that control
or influence a person’s behavior or a system of moral
principles or rules of behavior’.
▪ A branch of philosophy, or specifically moral
philosophy, that studies the evolution of concepts
such as right and wrong behavior.

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 Classification of Ethics
▪ Meta Ethics - deals with the origin of ethical principles that govern
the specification of right and wrong behavior. A major issue of debate
in this category is whether ethical principles are eternal truths that
evolve from a spiritual world or whether they are simply created by
humans.
▪ Descriptive Ethics It refers to the study of moral beliefs of people.
It is a field of empirical research into what people or societies
consider right or wrong.
▪ Normative Ethics is concerned with arriving at a set of moral
conduct rules against which behaviors are judged.

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 Classification of Ethics

▪ Applied Ethics primarily denotes the study of ethically

controversial issues, such as imposition of death penalty and
cloning. Applied ethics, thus, can be classified further into a
large number of categories such as bioethics, computer
ethics, and medical ethics.

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 VALUES
▪ VALUES are defined as ‘beliefs about what is right and wrong
and what is important in life’.
▪ In this sense, values are closely related to morality and ethics.

▪ Individuals hold certain values for their personal behavior.

Societal values are those that are accepted by a majority of
individuals, whereas universal values are adhered to by the
whole world.

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 SPIRITUALITY
▪ SPIRITUALITY is defined as ‘concerned with the human spirit,
rather than the body or physical things’; ‘concerned with religion’.
▪ The word spirituality means ‘the quality of being concerned with
religion or the human spirit’. Spirituality is believed to concern
matters that are not physical, temporal, or worldly. In common
parlance, it is said to refer to matters concerning the soul.

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 STAKE HOLDERS IN MORAL ISSUES
▪ Individuals make up organizations and the society. The morality
individuals is more important in the holistic view of things.

▪ There exist numerous moral codes, etiquettes, legal directions,

and religious edicts. The fact that the existence of all these does
not ensure ethical behavior of citizens shows that individual
perceptions and convictions matter considerably.

▪ Individuals thus form the major stakeholders in ensuring a just and

morally correct society

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 STAKE HOLDERS IN MORAL ISSUES
▪ Organizations They denote entities that employ groups of
people such as a company, an office, or an institution.

▪ Many organizations lay emphasis on certain codes of ethical

conduct while others do not.

▪ Often, organizations do not have any control over an individual’s

conduct outside its premises.

▪ Organizations should lay out its ethical codes and inform or train
employees to adhere to good conduct, not only within the
organization and works related to the organization, but also
outside.

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 STAKE HOLDERS IN MORAL ISSUES
▪ Society Individuals and organizations form part of the society.
Appropriate behavior in societal conduct evolves over time.

▪ It denotes a dynamic system of code of conduct that changes

with time.

▪ The current moral conduct codes have a big influence on our

behavior.

▪ As societies are formed by large groups of people, each

individual may not subscribe to all that the code of conduct
prescribes.

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 GOVERNING EDICTS

‘Ethics is a way of living one’s life in pursuit of excellence.

Ethics is not just a private matter. It has its private and public
sides—but it cannot be just personal.’
[Dr Damien Grace]

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 PERSONAL ETHICS
✔ Refrain from causing harm to others by your actions. Sometimes,
the ethical codes refer to least harm actions.

✔ Our attempt must be to ensure that we do not harm the interests

of others by our behavior.

✔ Be benevolent or do good to others and the society on the whole.

✔ Show concern for the well-being of others.

✔ Respect individual freedom and accept that others have

autonomy in their thinking and behavior, hence, refrain from
imposing your will on others.

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 GOVERNING EDICTS
Religious Edicts
✔ Religion plays an important role in our lives.

✔ Religion has an influence in the way we behave.

✔ All religions formulate some form of code of conduct for its

followers.

✔ Individuals are expected to follow the code of conduct.

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 GOVERNING EDICTS
Social Edicts

✔ Evolve over a period of time by consent of majority.

✔ They are also dynamic and change with time.

✔ Conflicts arise if some do not accept the majority view.

✔ They may also conflict with the law of the land.

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 GOVERNING EDICTS
Constitutional Edicts

✔ Constitution provides some rights and responsibilities to

individuals.

✔ The laws created under its umbrella also provide guidelines for
correct behavior.

✔ Conflicts with social/religious edicts.

✔ Constitution needs to be considered supreme and people educated

about the laws to follow them.

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 UNIVERSALITY AND CONTEXT
✔ Some ethical principles are universal.

✔ Norms for behavior are contextual.

✔ They vary widely with communities and cultures.

✔ Globalization has brought this into focus.

✔ People from different backgrounds work together.

✔ People also work in different social and cultural settings.

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 PERSONAL ETHICS
✔ Ensure that justice is meted to all.

✔ Respect the law willingly and voluntarily. Many ills in the society
are caused by ignorance and lack of respect for the laws of the
land.

✔ Adopt and practice values such as honesty, integrity,

trustworthiness, and truthfulness.

✔ Do not be an opportunist and take unfair advantage of a situation.

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 PERSONAL ETHICS
✔ Practice non-violence and end discords through peaceful means
as violent means only accentuate the divide.

✔ Provide service to the poor, which includes any disadvantaged

individual.

✔ Sadhu Vaswani, for instance, has emphasized, ‘Service of the

poor is the worship of God’.

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 PROFESSIONAL ETHICS
✔ Openness is a desirable virtue in professionals, Transparency in
all actions must be the motto.

✔ You should be impartial while dealing with people and in your

actions. An impartial judgment is a very desirable attribute in
professionals.

✔ Be objective so that you are not influenced by any personal bias

while taking decisions.

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 PROFESSIONAL ETHICS
✔ Maintain confidentiality of the information available to you as a
professional (or as decided by the organization) for the sake of
organizational growth.

✔ Carry out the work allotted by the organization diligently, which

includes care as well as conscientiousness while performing your
work.

✔ Make professional judgments impartially, showing your innate

sense of responsibility.
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 PROFESSIONAL ETHICS
✔ Be loyal to your organization and develop a sense of
belongingness with the organization. Many people take pride in
being part of their organization and care for the organization
above their own well-being.

✔ Avoid situations that might lead to conflicts. This may not

always be possible as your personal ethical beliefs may
sometimes lead to conflicts.

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 ETHICAL DILEMMA
Ethical dilemma is a situation where a decision is very
difficult to take or a decision taken becomes controversial.
Some dilemmas are:

▪ Death penalty
▪ Euthanasia
▪ Cloning
▪ Surrogacy
▪ Genetic research

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 LIFE SKILLS
MSG HAMSAH & SK ABDULLAH

✔ Basic/Fundamental skills using numbers and technology.

✔ People-related skills such as communication and teamwork.
✔ Personal skills and attributes such as being responsible or
resourceful.
✔ Conceptual/Thinking skills such as collecting and organizing
information.
✔ Skills related to the business world including enterprise skills,
innovation skills, and so on.
✔ Skills related to the community such as civic or citizenship skills.

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 LIFE SKILLS
MAYER REPORT (AUSTRALIA)

✔ Collecting, analyzing, and organizing information refers to the

capacity to locate information, sift and sort the information in
order to select what is required and present it in a useful way, and
evaluate both the information itself and the sources and methods
used to obtain it.

✔ Communication of ideas and information can be effectively done

using a whole range of spoken, written, graphic, and other
non-verbal means of expression.

✔ Planning and organizing activities denotes the ability to plan and

organize one’s own work activities, making good use of time and
resources, sorting out priorities, and monitoring performance.

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 LIFE SKILLS
MAYER REPORT (Australia)

✔ Working with others and in teams, both on a one-to-one basis and in groups,
includes understanding and responding to the needs of others and working
effectively as a member of a team to achieve a shared goal.

✔ Using mathematical ideas and techniques such as number and space, and
estimation and approximation, respectively, for practical purposes.

✔ Solving problems in purposeful ways, both in situations where the problem and
the desired solution are clearly evident and in situations requiring critical
thinking and a creative approach to achieve an outcome.

✔ Using technology combining the physical and sensory skills needed to operate
equipment with the understanding of scientific and technological principles
needed to explore and adapt systems.
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 LIFE SKILLS(Australia)
Personal Attributes

✔ Loyalty
✔ Commitment
✔ Honesty and integrity
✔ Enthusiasm
✔ Reliability
✔ Personal Presentation
✔ Common Sense
✔ Positive self-esteem
✔ Sense of humor
✔ Balance attitude towards work & home
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 LIFE SKILLS (Australia)
Communication

✔ Listening and understanding

✔ Speaking clearly and directly
✔ Writing to the needs of the audience
✔ Negotiating responsively
✔ Reading independently
✔ Empathizing

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 LIFE SKILLS (Australia)
Communication

✔ Using numeracy effectively

✔ Understanding the needs of internal and external
customers
✔ Persuading effectively
✔ Establishing and using networks
✔ Being assertive
✔ Sharing information
✔ Speaking and writing in languages other than English

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 LIFE SKILLS (Australia)
Teamwork skills

✔ Working with people of different ages, gender, race, religion, or

political affinities.

✔ Working as an individual and as a part of a team.

✔ Knowing how to define a role as a team member.

✔ Applying teamwork skills to a range of situations, such as future

planning, crisis problem solving, and so on.

✔ Identifying the strengths of team members.

✔ Coaching, mentoring, and giving feedback.

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 LIFE SKILLS (Australia)
Problem solving

✔ Developing creative and innovative solutions

✔ Framing practical solutions

✔ Showing independence and initiative in identifying problems and solving them.

✔ Solving problems as a part of the team.

✔ Applying a range of strategies to problem solving.

✔ Using mathematics including budgeting and financial management to solve problems.

✔ Applying problem-solving strategies across a range of areas.

✔ Testing assumptions taking the context of data and circumstances into account.

✔ Resolving customer concerns in relation to complex project issues

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 LIFE SKILLS (Australia)
Innovative and Enterprise Skills

✔ Adapting to new situations

✔ Developing a strategic, creative, and long-term vision
✔ Being creative
✔ Identifying opportunities not obvious to others
✔ Translating ideas into action
✔ Generating a range of options
✔ Initiating innovative solutions

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 LIFE SKILLS (Australia)
Planning & Organizing
✔ Managing time and priorities—setting timelines, coordinating tasks for self
and with others
✔ Being resourceful
✔ Taking initiative and making decisions
✔ Adapting resource allocations to cope with contingencies
✔ Establishing clear project goals and deliverables
✔ Allocating people and other resources to tasks

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 LIFE SKILLS (Australia)
Planning & Organizing

✔ Planning the use of resources, including time management.

✔ Participating in continuous improvement and planning
processes
✔ Developing a vision and a proactive plan to accompany it.
✔ Predicting by weighing up risks, evaluating alternatives, and
applying the evaluation criteria.
✔ Collecting, analyzing, and organizing information.
✔ Understanding basic business systems and their relationships

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 LIFE SKILLS (Australia)
Self-management Skills

✔ Having a personal vision and goal

✔ Evaluating and monitoring one’s own performance
✔ Having knowledge and confidence in one’s own ideas and
vision
✔ Articulating individual ideas and vision
✔ Taking responsibility

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 LIFE SKILLS (Australia)
Learning Skills

✔ Managing individual learning

✔ Contributing to the learning community at the workplace
✔ Using a range of mediums to learn—mentoring, peer support,
networking, information technology (IT) courses, and so on
✔ Applying learning to ‘technical’ issues (for example, learning
about products) and ‘people’ issues (for example, interpersonal
and cultural aspects of work)
✔ Having enthusiasm for ongoing learning
✔ Willing to learn in any setting—on and off the job
✔ Open to new ideas and techniques
✔ Prepared to invest time and effort in learning new skills
✔ Acknowledging the need to learn in order to accommodate
change
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 LIFE SKILLS (Australia)

Technology Skills
✔ Having a range of basic IT skills
✔ Applying IT as a management tool
✔ Using IT to organize data
✔ Being willing to learn new IT skills
✔ Having the occupational health and safety knowledge to
apply technology
✔ Having the appropriate physical capacity

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 LIFE SKILLS (BRITISH)
Employability Skills
A set of attributes, skills, and knowledge that all labor market
participants should possess to ensure they have the capability
of being effective in the workplace—to the benefit of
themselves, their employer, and the wider economy’
[“Future Fit” – A report by the confederation of British Industries]

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 LIFE SKILLS (BRITISH)
Self-Management
This refers to readiness to accept responsibility, exhibit
flexibility, resilience, motivation, appropriate assertiveness, and
time management skills, and readiness to improve individual
performance based on feedback / reflective learning.

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 LIFE SKILLS (BRITISH)

Teamwork
This includes respecting others, cooperating, negotiating /
persuading, contributing to discussions and building
awareness about interdependence with others.

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 LIFE SKILLS (BRITISH)

Business & Customer Awareness

This refers to the basic understanding of the key drivers for
business success including the importance of innovation and
taking calculated risks, and the need to provide customer
satisfaction and building customer loyalty.

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 LIFE SKILLS (BRITISH)
Problem Solving
This involves analyzing facts and situations and applying creative
thinking to develop appropriate solutions.

Communication & Literacy

This encompasses application of literacy, ability to produce clear,
structured written work, and oral literacy, including listening and
questioning.

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 LIFE SKILLS (BRITISH)
Application of Numeracy
This includes manipulation of numbers, general mathematical
awareness, and its application in practical contexts (e.g.,
measuring, weighing, estimating, and applying formulae).

Application of Information Technology

This refers to basic IT skills, including familiarity with word
processing, spreadsheets, file management, and use of
internet search engines. Underpinning all these, there must be
a positive attitude—a ‘can do’ approach with a drive to make
things happen, and an entrepreneurial ability to bring
innovation, creativity, collaboration, and risk taking into the
picture.

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 FUNDAMENTAL SKILLS
Communicate

✔ Read and understand information presented in a variety of

forms (e.g., words, graphs, charts, diagrams).
✔ Write and speak in a manner that others pay attention to and
can understand.
✔ Listen and ask questions to understand and appreciate the
points of view of others.
✔ Share information using a range of information and
communication technologies (e.g., voice, e-mail, computers).
✔ Use relevant scientific, technological, and mathematical
knowledge and skills to explain or clarify ideas.

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 FUNDAMENTAL SKILLS
Manage Information
✔ Locate, gather, and organize information using appropriate technology and
information systems.
✔ Access, analyze, and apply knowledge and skills from various disciplines (e.g.,
the arts, languages, science, technology, mathematics, social sciences, and the
humanities).

Use Numbers
✔ Decide what needs to be measured or calculated.
✔ Observe and record data using appropriate methods, tools, and technology.
✔ Make estimates and verify calculations.

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 FUNDAMENTAL SKILLS
Think & Solve Problems

✔ Assess situations and identify problems.

✔ Seek different points of view and evaluate them based on facts.
✔ Recognize the human, interpersonal, technical, scientific, and
mathematical dimensions of a problem.
✔ Identify the root cause of a problem.
✔ Be creative and innovative in exploring possible solutions.
✔ Readily use science, technology, and mathematics as ways to think,
gain, and share knowledge, solve problems, and make decisions.
✔ Evaluate solutions to make recommendations or decisions.
✔ Implement solutions.
✔ Check if a solution works, and act on opportunities for improvement.

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PERSONAL MANAGEMENT SKILLS
Demonstrate Positive Attitudes & Behaviors
✔ Feel good about yourself and be confident.
✔ Deal with people, problems, and situations with
honesty, integrity, and personal ethics.
✔ Recognize your own and other people’s good efforts.
✔ Take care of your personal health.
✔ Show interest, initiative, and effort.

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PERSONAL MANAGEMENT SKILLS
Be Responsible

✔ Set goals and priorities balancing work and personal

life.
✔ Plan and manage time, money, and other resources to
achieve goals.
✔ Assess, weigh, and manage risk.
✔ Be accountable for your actions and the actions of your
group.
✔ Be socially responsible and contribute to your
community.

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PERSONAL MANAGEMENT SKILLS
Be Adaptable
✔ Work independently or as a part of a team.
✔ Carry out multiple tasks or projects.
✔ Be innovative and resourceful, identifying and
suggesting alternatives.
✔ Ways to achieve goals and get the job done.
✔ Be open and respond constructively to change.
✔ Learn from your mistakes and accept feedback.
✔ Cope up with uncertainty.

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PERSONAL MANAGEMENT SKILLS
Learn Continuously
✔ Be willing to continuously learn and grow.
✔ Assess personal strengths and areas for development.
✔ Set your own learning goals.
✔ Identify and access learning sources and opportunities.
✔ Plan for and achieve your learning goals.

Work Safely
✔ Be aware of personal and group health and safety practices &
procedures.
✔ Act in accordance with these.
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 TEAMWORK SKILLS
Work with Others

✔ Understand and work within the dynamics of a group.

✔ Ensure that a team’s purpose and objectives are clear.
✔ Be flexible, respectful and open to the thoughts, opinions, and
contributions of others in a group.
✔ Recognize and respect people’s diversity, individual differences, and
perspectives.
✔ Accept and provide feedback in a constructive and considerate
manner.
✔ Contribute to a team by sharing information and expertise.
✔ Lead or support when appropriate, motivating a group for high
performance.
✔ Understand the role of conflict in a group to reach solutions.
✔ Manage and resolve conflict when appropriate.

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 TEAMWORK SKILLS
Participate in Projects & Tasks

✔ Plan, design, or carry out a project or task from start to finish with
well-defined objectives and outcomes.
✔ Develop a plan, seek feedback, test, revise, and implement.
✔ Work to agreed quality standards and specifications.
✔ Select and use appropriate tools and technology for a task or
project.
✔ Adapt to changing requirements and information.
✔ Monitor the success of a project or task continuously and identify
ways to improve.

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 WHY LIFE SKILLS?
✔ The demands of today’s workplace call for these sets of skills.
✔ The work force must have the ability to be more interactive and work as
a team, competitive in spirit, and ready to face challenges.
✔ Innovation and creativity are the key skills to face future challenges.
✔ Social skills are important for a satisfactory personal and professional
life.
✔ Personal attributes are key responsibilities of professionals.
✔ The business today is essentially trans-territorial and trans-continental.
Most of these skills become imperative when one has to work in a
multi-cultural setting and interact with people from all over the world.

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EMOTIONAL
INTELLIGENCE

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 SALOVEY-MAYER MODEL
Definition:

“Emotional intelligence is the ability to monitor

one’s own and others feelings and emotions, to
discriminate among them and to use this
information to guide one’s thinking and action.”
[Salovey -Mayer]

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 SALOVEY-MAYER MODEL
ABILITY-BASED MODEL

Perceiving Emotions
The ability to detect and decipher emotions in faces,
pictures, voices, and cultural artifacts- including the ability
to identify one’s own emotions. Perceiving emotions
represents a basic aspect of emotional intelligence, as it
makes all other processing of emotional information
possible.

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 SALOVEY-MAYER MODEL
Using Emotions
The ability to harness emotions to facilitate various
cognitive activities, such as thinking and problem
solving. The emotionally intelligent person can
capitalize fully upon his or her changing moods in
order to best fit the task at hand.

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 SALOVEY-MAYER MODEL
Understanding Emotions
The ability to comprehend emotional language and to
appreciate complicated relationships among
emotions. For example, understanding emotions
encompasses the ability to be sensitive to slight
variations between emotions, and the ability to
recognize and describe how emotions evolve over
time.

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 SALOVEY-MAYER MODEL

Managing Emotions
The ability to regulate emotions in both ourselves
and in others. Therefore, the emotionally intelligent
person can harness emotions, even negative ones,
and manage them to achieve intended goals.

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 DANIEL GOLEMAN MODEL
COMPETENCY-BASED MODEL

Self-Awareness
The ability to read one's emotions and recognize their impact
while using gut feelings to guide decisions.

Self-Management
It involves controlling one's emotions and impulses and
adapting to changing circumstances.

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 DANIEL GOLEMAN MODEL
Social Awareness
The ability to sense, understand, and react to other's
emotions while comprehending social networks.

Relationship Management
The ability to inspire, influence, and develop others while
managing conflict.

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 THOUGHTS ON ETHICS

BUDDHIST THOUGHTS

Abstinence from
✔ Hurting/killing any living creature;
✔ Stealing others’ property;
✔ Wrong and excessive indulgence in sensual
pleasures;
✔ Telling lies; &
✔ Taking intoxicants;

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 THOUGHTS ON ETHICS

SWAMI VIVEKANANDA
✔ He advocated monism, meaning that the whole world is one.
It is in this concept that lies the explanation for ethics,
morality, and spirituality.
✔ Ethics is only the means to an end. One should be clear about
the end and that alone clarifies the meaning of ethics.
✔ The basic principle of ethics is the Vedantic idea that you are
the infinite.
✔ The feeling of oneness represented by ‘I am the universe’ is at
the Centre of all ethical thinking and results in doing good to
others.

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 THOUGHTS ON ETHICS

SWAMI VIVEKANANDA
✔ While your senses say ‘myself first’, ethics says ‘I am last’.
✔ When the means are right, the results must come; attention to
means, therefore, is the secret of success in life.
✔ Utilitarianism and ethical codes based on it are for a particular
time only.
✔ Ethical codes based on spirituality relate us to the infinite and
embrace the society as well.
✔ Work for lessening misery as that is the only way you can
attain happiness.

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 THOUGHTS ON ETHICS
Mahatma Gandhi
✔ Sympathize with every human being as that will help you
practice the highest form of ethics.
✔ A moral act should come from within, from your own free will.
✔ The means must be good; impure means result in impure end.
✔ External actions must be performed with mental purity and in
✔ selfless spirit.
✔ The highest form of morality is altruism.
✔ True economics never militates against the highest ethical
standards.
✔ Life should become progressively simpler and we should
become more self-restrained.

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 THOUGHTS ON ETHICS

Rabindranath Tagore
✔ The spiritual aspect of man represents sympathy and love while
the moral side represents unselfishness and control over desires.
They should be taken together and not separated ever.
✔ A moral life is one where a man goes from a life of desire to a life
of purpose by building his character.
✔ We achieve perfection in life by perpetually giving up.
✔ A moral rhythm must be maintained in all creations to save
them from destruction.
✔ Man’s greed exaggerates the lust for sensual pleasures. This
breaks the harmony in life and we lose true values.

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 THOUGHTS ON ETHICS

Socrates
Paradoxes
✔ No one desires evil.
✔ No one errs or does wrong willingly or
knowingly.
✔ Virtue—all virtue—is knowledge.
✔ Virtue is sufficient for happiness.

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 THOUGHTS ON ETHICS

Socrates
✔ The only good is knowledge and the only evil is ignorance.
✔ Having the fewest wants I am nearest to the Gods.
✔ There is nothing stable in human affairs; avoid undue
elation in prosperity and undue depression in adversity.
✔ The only true wisdom is in knowing that you know nothing.
✔ To find yourself, think for yourself.
✔ I cannot teach anybody anything; I can only make them
think.
✔ Education is the kindling of a flame and not the filling of a
vessel.

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 THOUGHTS ON ETHICS

Socrates
✔ If you don’t get what you want, you suffer; if you get what
you don’t want, you suffer; even when you get exactly what
you want, you still suffer because you can’t hold on to it
forever. Your mind is your predicament. It wants to be free of
change, free of pain, free of the obligations of life and death.
But change is law and no amount of pretending will alter that
reality.
✔ I am not an Athenian or Greek but a citizen of the world.
✔ Contentment is natural wealth, luxury is artificial poverty.

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 THOUGHTS ON ETHICS

Socrates
✔ Employ your time in improving yourself by other men’s
writings so that you shall come easily by what others
have labored hard for.
✔ From the deepest desires often come the deadliest
hate.
✔ The secret of happiness, you see, is not found in seeking
more, but in developing the capacity to enjoy less.
✔ Think not those faithful who praise all thy words and
actions; but those who kindly reprove thy faults.

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 THOUGHTS ON ETHICS
Confucius
✔ Personal and government morality
✔ Correctness of social relationships
✔ Justice and sincerity
✔ Family loyalty, ancestor worship, and respect for
elders
✔ Superiority of personal exemplification over explicit
rules of behavior

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 THOUGHTS ON ETHICS
Confucius
✔ Self cultivation
✔ Emulation of moral exemplars
✔ Attainment of skilled judgment rather than the knowledge
of rules
✔ Doing proper things at the proper time
✔ Maintaining existing norms to perpetuate an ethical social
fabric
✔ Violating rules in order to get ethical good

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 VALUE EDUCATION
Objectives

✔ Create an awareness and appreciation of the right values to be

imbibed for a peaceful and harmonious co-existence.
✔ Appreciate the importance of values in personal and professional
life.
✔ Develop a personal value system that guides one through life.
✔ Develop a passion for right values in life.
✔ Have the conviction and capacity to influence others to follow
the right values.

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 VALUE EDUCATION
Importance

✔ It guides us in living our life well. When we live our life well, it not
only helps us but also helps others as well.
✔ It helps us find true happiness and peace in life that cannot be
acquired from material wealth.
✔ It helps us make others happy. Making others happy is as
important as finding happiness for oneself. It also helps us deal
with people and events in the best possible way. Values help us
face challenges in the most ethical way.
✔ It helps us achieve our goals in an ethical manner. Every one of
us has objectives, aspirations, and ambitions.
✔ It guides us to set appropriate goals in life. Once we have set our
goals, values guide us in using appropriate means to achieve
those goals.

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 DIMENSIONS OF ETHICS

✔ Engineering ethics deals with ethical aspects of the engineering

profession.
✔ Bioethics deals with issues such as cloning, DNA mapping, and
so on.
✔ Medical ethics is concerned with issues such as euthanasia
(mercy killing) that relate to the medical profession.
✔ Environmental ethics deals with the management of the
ecosystem that is vital to human existence.
✔ Media ethics including newspapers, television, and multimedia
information technology, refers to issues of privacy, sting
operations, and so on.

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 SETTING GOAL IN LIFE
AREAS
✔ Acquiring knowledge and skills
✔ Career options that must be looked into
✔ Mental health
✔ Marriage and family
✔ Social life

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 SETTING GOALS IN LIFE
✔ List the goals as positive statements.
✔ Be precise and accurate in your writing.
✔ Write down the goals on paper for later reconsideration and
modification.
✔ Keep a time frame in mind while setting goals.
✔ Prioritize your goals.
✔ The goals must be specific in the sense that they are
measurable for achievement.

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 SETTING GOALS IN LIFE
✔ Set realistic goals to avoid disappointments.
✔ Plan for small operational goals.
✔ Goals must be performance-based and not outcome-based as
you have more
✔ control on performance.
✔ Ensure that the goals are relevant to your profession and your
life.

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 SUMMARY

✔ Basic terminology related to morality and ethics

✔ Stakeholders
✔ Governing Edicts
✔ Personal and Professional Ethics
✔ Life Skills
✔ Thoughts on Ethics
✔ Value Education
✔ Setting Goals in Life

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• A promise to his friend that he will meet him on the
evening of a particular day, but unfortunately on
the same day his brother has met with an accident
and he has to take him to hospital

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 Professional Ethics, 2nd Edition

R. Subramanian

© All rights reserved. Oxford University

Press 2017
 Chapter 2

Profession &
Professionalism

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 OBJECTIVES

✔ Define and illustrate the terms profession, professional, and

professionalism

✔ Describe the distinguishing features of a professional

✔ List and explain the role and objectives of professional

organizations

✔ Understand the roles and responsibilities of a professional

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 TERMINOLOGY

Profession
A type of job that requires special training or skill, especially
one that needs a high level of education such as medical, legal, or
teaching.

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 TERMINOLOGY

Professional
Someone connected with a job that needs special training or
skill, especially one that needs a high level of education, and
does this as a paid job rather than as a hobby. Having special
education and training Producing high quality of work.

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 FEATURES OF PROFESSIONAL
✔ A professional does a job that requires him/her to possess a large
body of academic knowledge with practical training.

✔ He / She possesses academic knowledge obtained generally

through formalized training from a university or higher level
academic institution.

✔ He / She enjoys a certain amount of autonomy in the workplace

even if doing a salaried job. He / She does a job requiring him/her
to exercise independent thinking and judgment in the work being
done.

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 FEATURES OF PROFESSIONAL
✔ He / She has the authority to take decisions and does that with
great honesty and integrity.

✔ He / She does a professional job, meaning the quality of work

done by him/ her is high.

✔ He / She is able to utilize the natural and harnessed/ acquired

talent to do jobs that cannot be done by others or even by
machines.

✔ He /S he shows a high level of ethical conduct in the profession.

This is a hallmark feature of a professional and is the reason why
ethics is important for a professional.

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 FEATURES OF PROFESSIONAL
✔ He / She works in an area that is self-regulatory to some extent,
that is, there is centralized training and evaluation of new persons
entering the profession.

✔ He / She is controlled by a professional organization related to that

field in terms of registration to practice the profession, code of
conduct, and so forth.

✔ He / She generally enjoys a high status and is highly rewarded in

terms of money earned by practicing the profession.

✔ He / She generally possesses knowledge and skills that the

common man is ignorant of. One danger to be avoided in practicing
a profession is the temptation to exploit this ignorance and take
undue advantage of it as in the case of a doctor or a lawyer.

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 PROFESSIONALISM

Professionalism

The high standard that you expect from a person who is well
trained in a particular job requiring great skill or ability.

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 PROFESSIONALISM - CRITERIA
Professional Training
A basic requirement for professionalism is that the person has
appropriate education and training to perform tasks related to the
profession. Without such training, a person will not be able to perform
tasks at the high quality expected of a professional.

Being an Intellectual
An intellectual is a person who has the ability to think, analyze
situations, understand the pros and cons, and act in a logical way.
This ability is essential for right decision-making, logically
arriving at a conclusion, and explaining a particular course of
action.

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 PROFESSIONALISM - CRITERIA
Autonomy in Function
A professional, by virtue of the special training that he / she has
received, is in a job that requires professional decision-making. He
/ She needs to have autonomy that enables him/her to think
professionally about a situation and take a logical decision.

Professional Judgment
Independence in judgment thus becomes a major requirement for
showing professionalism. A professional’s ability to collect and
analyze information and make decisions purely on the merit of the
case, considering all technical or other details, is a hallmark of
professionalism.

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PROFESSIONALISM - CRITERIA

Mindset for Service

All professional services produce public good. An abundant
sense of service to the public is essential in a professional’s
job. The mindset for producing high quality products and
services, providing the best care to clients, etc., should come
from within.

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 PROFESSIONALISM - CRITERIA
Commitment
A professional must be committed to his/her profession and
the duties he/she performs. Such commitment will ensure that
he/she does all tasks with devotion and integrity, resulting in a
professional job of high quality.

Pride in the Profession

One of the criteria for professionalism in the job is to be proud
of the profession one is practicing. This pride is not arrogance,
but a sense of being one with the job and feeling happy that
one is practicing such a profession.

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PROFESSIONALISM CHARACTERISTICS

Expertise in terms of Knowledge & Skills

Professionalism can only come from people having expertise in
terms of both knowledge and skills in the profession. This is
ensured through the high level of education and special
training that a person gets before entering the profession.

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PROFESSIONALISM CHARACTERISTICS

General Orientation toward Public or Community Interest

All professions have a common theme of public service in their
ambit. Medical profession, legal profession, and engineering
profession in a variety of public services are examples of public
utility of professions. The professional must get an orientation
towards public service during his/her education and training.

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PROFESSIONALISM CHARACTERISTICS

Self-regulation in Work
Professionalism calls for self-regulation by the person doing
any job. He / She does not need supervision and control in
doing his/her job professionally. Professionalism requires the
professionals to regulate and control their work themselves
without being supervised.

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 PROFESSIONALISM CHARACTERISTICS

High Level of Ethics

A professional can be left to do his/her job professionally
because of the high level of ethics possessed by the person.
Ethical functioning is a basic requirement of professionalism.
As professional functions are performed with freedom and
self-regulation, ethics becomes a regulatory factor in true
professional functioning.

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PROFESSIONALISM CHARACTERISTICS

High Level of Rewards

A professional commands a greater pay package and perks
because of the high level of education and special training
undergone. It is not only the remuneration that is high; he/she
also has a high status in the society. More than this,
professionalism requires that professional functions be
performed with commitment and integrity irrespective of the
monetary rewards. That is the spirit in which a true professional
functions.

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 RESPONSIBILITIES

Advancement of Knowledge
A professional must be involved in the advancement of
knowledge in the profession. Innovation must be a hallmark of a
professional’s functions. Whatever one may be doing, attempts
for improvement must be made.

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 RESPONSIBILITIES

Publication of Information
One should not only attempt to advance one’s knowledge
domain in the profession but also publicize and inform others
about such developments. This is also a responsibility of a
professional.

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 RESPONSIBILITIES

Maintenance of Associations of Professionals to Advance the Goals

of the Profession
This is a basic requirement of professional activities.
A professional should necessarily become a member of
professional bodies and contribute to their objectives.

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 RESPONSIBILITIES
Promotion of Well-being of Co-Professionals
Professionals, individually or through their associations, must
ensure the well-being of the members of their profession. It is
essentially done through the membership of the professional
association. These associations are duty-bound to protect the
interests of the members.

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 RESPONSIBILITIES
Development & Maintenance of Standards
In a profession and its practice, one should abide by the code of
conduct developed by professional bodies. In addition,
professionalism requires that a professional sets his / her own
standards for his / her functions and adheres to those
standards. They may be ethical or other standards.

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 RESPONSIBILITIES

Control of Access to the Profession

Controlling access to the profession is the

responsibility of the professional bodies comprising
professionals. This is done through registration and
conducting examinations to evaluate the
individuals seeking entry to the profession.

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 RESPONSIBILITIES
Maintenance of a Clean Image of the Profession

Again, individuals and professional bodies are responsible for

this. The image of the professional is very important as it is
mostly related to public service in some way. Professionals and
professional bodies need to control professional practices by
ensuring that ethical conduct and professional practice are
beyond any kind of questions.

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 PROFESSIONAL COMPETENCIES

Mastery of Theoretical Knowledge

A professional must have thorough knowledge of all aspects of
the profession. With experience, the professional can fine-tune
his / her knowledge and skill sets to do a better job. Such
knowledge and its enhancement are required to show
professionalism.

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PROFESSIONAL COMPETENCIES
Capacity to Solve Problems
Problem-solving is a higher level function and is
required by professionals to maintain both
professional and human relations. Professionalism
requires a professional to have the ability to solve a
problem by logically analyzing the problem, finding
solutions, and selecting the most viable and
economical solution to the problem at hand.

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PROFESSIONAL COMPETENCIES
Application of Theoretical Knowledge in Practice
A professional should not only possess theoretical knowledge
but also the skills to apply this knowledge in practice.
Professionalism gets expression only through practical
application.

Ability to Create Knowledge

While practicing a profession, a professional meets with new
situations or problems that require solutions. In finding
solutions, he/she has the ability to create new knowledge and
utilize it.

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PROFESSIONAL COMPETENCIES
Commitment to Continuous Learning & Enthusiasm to Practice
This is a basic need for professionals. They must have the will to
learn continuously and yearn for new knowledge. This will be
shown by their enthusiasm in practicing the profession.
Professionals should not remain like frogs in the well but should
come forward to innovate.

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 EXPECTATIONS
Relationship with Clients
A professional has to deal with many clients during his/her
professional activities. He / She develops a special
relationship with clients who are beneficiaries of the services
and has to show utmost honesty and integrity in dealing with
them in a professional manner.

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 EXPECTATIONS
Keep Professional Interest Above Self
A hallmark of professionalism is the ability of a person to keep
professional interests above self-interest. True
professionalism can be expressed as a passion for professional
activities.

Be Involved in all Aspects of the Profession

Professionals should be involved in a variety of activities
contributing to the promotion of the profession. This can be
research, publishing, membership of professional societies,
attending seminars, and so forth.

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 EXPECTATIONS
Publicize What the Profession does & What it is
While failure and misconduct will automatically get wide
publicity, a clean and true image of the profession also needs
highlighting. Professional associations and professionals must
take the responsibility of doing this. This will not only ensure that
the public has a clear perception about the profession, but also
their cooperation in reporting failures and success stories.

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 SUPPORT
Promote Ethical Behavior
One of the hallmarks of professionalism is ethical behavior.
Professionals not only have a responsibility to behave
ethically, but also to shoulder the onus of promoting ethics
in the profession. All decisions must be based upon
professional and ethical standards. Apart from any
organizational code, the professional must develop his/her
own code of behavior based upon one’s understanding of
ethical principles. He / She must also articulate the
importance of ethical behavior through various means
available to him/her.

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 SUPPORT
Promote Environment for Public Acceptance of the Profession
The public perception of what the profession is and what it does
is very important. Professionalism requires that professionals
promote a clean image of the profession in the public’s mind.
Professional associations have a great role to play in doing this.
The profession must be looked upon as utilitarian and a public
service to the people.

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 SUPPORT
Define & Enforce Penalties for Professional Misconduct
This is a role to be played by professional associations. Any
misconduct on the part of members of the profession should be
taken seriously and penalties must be given out without much
delay for ensuring a clean image of the profession.

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 PROFESSIONAL ASSOCIATIONS
OBJECTIVES

✔ Promote and advance the profession by bringing together professionals practicing the
profession under one umbrella

✔ Promote advancement of knowledge in the profession by providing funds and

encouraging research in various areas of the profession

✔ Provide a forum for exchange of information and views on various aspects affecting the
practice of the profession

✔ Develop a code of conduct for professionals practicing the profession to maintain the
dignity and honor of the profession

✔ Prevent unethical conduct by professionals by enforcing the code of conduct and

providing suitable penalties

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 PROFESSIONAL ASSOCIATIONS
OBJECTIVES

✔ Publicize the aspects of the profession by informing the public about what the profession
is and highlighting the services rendered to the society

✔ Take care of the profession and professionals by advancing the cause of the profession
through various media

✔ Publish journals and organize seminars and conferences to achieve the objectives

✔ Develop criteria and conduct tests and examinations to control new entrants to the
profession

✔ Arrange funds for promoting activities related to the profession

✔ Discuss ethical dilemmas that crop up in the practice of the profession and find
acceptable solutions to the issues

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 OBJECTIVES
INDIAN MEDICAL ASSOCIATION

✔ Promoting and advancing medical and all related sciences

✔ Improving the public health and medical education in India
✔ Maintaining the honor and dignity of the medical profession

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 OBJECTIVES
INSTITUTION OF ENGINEERS, INDIA

✔ To promote and advance the science, practice and business of Engineering in all its
branches (hereinafter referred to as ‘Engineering’) in India.

✔ To establish, subsidize, promote, form and maintain local Associations of members

belonging to the Institution and others engaged or interested in Engineering so as to
assure to each individual member as far as may be possible equal opportunity to enjoy the
rights and privileges of the Institution.

✔ To diffuse among its members information on all matters affecting Engineering and to
encourage, assist and extend knowledge and information connected therewith by
establishment and promotion of lectures, discussions or correspondence; by the holding
of conferences; by the publication of papers, periodicals or journals, books, circulars and
maps or other literary undertaking; by encouraging research work; or by the formation of
a library or libraries and collection of models, designs, drawings, and other articles of
interest in connection with Engineering or otherwise howsoever.

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 OBJECTIVES
INSTITUTION OF ENGINEERS INDIA

✔ To promote the study of Engineering with a view to disseminate

the information obtained for facilitating the scientific and
economic development of Engineering in India.

✔ To establish, acquire, carry on, control or advise with regard to

colleges, schools or other educational establishments where
students and apprentices may obtain a sound education and
training in Engineering on such terms as may be settled by the
Institution.

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 OBJECTIVES
INSTITUTION OF ENGINEERS INDIA

✔ To encourage, regulate and elevate the technical and general knowledge of

persons engaged in or about to engage in Engineering or in any employment
manual or otherwise in connection therewith and with a view thereto to provide
for the holding of classes and to test by examination or otherwise the
competence of such persons and to institute and establish professorships,
studentships, scholarships, rewards and other benefactions and to grant
certificates of competency whether under any Act of the Government India or
Local Governments regulating the conduct and qualifications of Engineers or
otherwise howsoever.

✔ To give the Government of India, the Local Governments and Municipalities and
other public bodies and others, facilities for conferring with and ascertaining the
views of Engineers as regards matters directly or indirectly affecting Engineering
and to confer with the said Governments, Municipalities and other public bodies
and others in regard to all matters affecting Engineering.

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 OBJECTIVES
INSTITUTION OF ENGINEERS INDIA

✔ To encourage inventions and investigate and make known

their nature and merits.
✔ To arrange and promote the adoption of equitable forms of
contracts and other documents used in Engineering and to
encourage the settlement of disputes by arbitration and to act
as or nominate arbitrators and umpires on such terms and in
such cases as may seem expedient.
✔ To promote efficiency and just and honorable dealing and to
suppress malpractice in engineering.
✔ To do all such other acts and things as are incidental or
conducive to the attainment of the above objects or any of
them.

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 OBJECTIVES
AMERICAN SOCIETY OF CIVIL ENGINEERS

✔ To facilitate the advancement of technology to enhance quality,

knowledge, competitiveness, sustainability, and environmental
stewardship.
✔ To encourage and provide the tools for lifelong learning to aid our
members’ continued growth throughout their careers.
✔ To promote professionalism and the profession throughout society
to enhance the stature of civil engineers and to influence public
policy.
✔ To develop and support civil engineer leaders to broaden our
members’ perspectives, enhance their career growth, and promote
the public interest

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 OBJECTIVES
AMERICAL SOCIETY OF CIVIL ENGINEERS

✔ To advocate infrastructure an environmental stewardship to

protect public health and safety and improve the quality of
life.

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 OBJECTIVES
BAR COUNCIL OF INDIA

✔ To uphold the Constitution of India, and the representative, free

and democratic form of Government and to uphold and promote
the rule of law.
✔ To promote the science of jurisprudence and to encourage and
conduct research and investigations in legal and allied fields.
✔ To promote reform in the administration of justice and law and its
healthy development according to the social, economic and other
needs of the people.
✔ To promote uniformity of legislation and of judicial decisions
throughout the country.

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 OBJECTIVES
BAR COUNCIL OF INDIA

✔ To uphold the honor, the dignity and the independence of the Bar
and the profession of law.

✔ To assist the Bar in upholding its rights and dignity in its relations
with the executive and the judiciary.

✔ To apply the knowledge and experience in the field of law to the

promotion of the public good.

✔ To promote unity and solidarity among the members of the Bar

throughout India.

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 OBJECTIVES
AMERICAN SOCIETY OF ENGINEERING EDUCATION

✔ Enhance services to its members.

✔ Work with educational institutions and industry to improve engineering
education and promote faculty development.
✔ Facilitate productive collaborations among industry, academia, and
government.
✔ Increase the participation and success of underrepresented groups in the
engineering profession. Enhance services to its members.
✔ Work with educational institutions and industry to improve engineering
education and promote faculty development.
✔ Facilitate productive collaborations among industry, academia, and
government.
✔ Increase the participation and success of underrepresented groups in the
engineering profession.

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 OBJECTIVES
AMERICAL SOCIETY FOR ENGINEERING EDUCATION

✔ Promote the value of the engineering profession to society.

✔ Increase membership in ASEE in order to more completely serve
the engineering and engineering technology enterprise.
✔ Facilitate international cooperation in matters pertaining to
engineering education.

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 ROLES
PERSONAL ROLE

Professionals can improve the quality of their and others’ lives by

being conscious of the professional spirit in their personal life.
They can bring in an aura of enrichment by following
professionalism in their personal lives. The personal role is also
important for their professional image. The expectations from the
two roles may be different but the underlying spirit in playing
those roles should be the same.

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 ROLES
PROFESSIONAL ROLE

This could be in terms of one’s responsibilities as a professional

or in terms of the different roles one plays in the practice of
one’s profession, such as a leader, a colleague, a subordinate,
and many others.

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 ROLES
SOCIAL ROLE

A professional is not only a member of his/her professional association

but also lives in a community and hence is also a member of a society
and community. The professional must play his/her role as a member
of the community. Social roles include interacting with other members
of the community, contributing to the welfare of the community in
which he/she lives, and also solving the problems of the community if
they are related to his/her chosen profession. His / Her knowledge,
skills, and special training will enable him/her to play a useful social
role.

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 ROLES
ETHICAL ROLE

Many ethical issues not related to the profession arise in

everyday life. A professional must promote ethical behavior
among the people or community in which he/she lives. He / She
has a greater responsibility as he/she enjoys a higher status in
society due to his/her education, special training, and higher
rewards earned. He / She thus has a responsibility to play a
mentor’s role in ethical matters.

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 ROLES
MODEL HUMAN ROLE

In order to effectively play the aforementioned roles, a professional

has to play the role of a model human being. Professionals are not
icons or heroes. Very few, such as a world class surgeon, a brilliant
lawyer, or a renowned engineer, get to be in the limelight. Still, in
the small world surrounding oneself, one must behave with
impeccable standards that will showcase him/her as a model
human being.

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 PROFESSIONAL RISKS
✔ Professional risks or hazards are a part of professional
life. Sometimes the outcome may not be very serious,
but sometimes, it can be. However, if the risk arises
because of unprofessional conduct, the professional is to
be blamed. One has to follow the path of honesty and
integrity and leave the rest to destiny.

✔ High expectations from the professional can be one

reason for such risks.

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 PROFESSIONAL ACCOUNTABILITY

✔ Accountability is a concept used in ethics to denote an organization’s or

individual’s liability to shoulder the responsibility of their actions,
explain the reason or justification for those actions, and take the blame
in case something goes wrong. The word accountable can be defined as
being responsible for one’s own decisions or actions and being able to
justify them when asked.

✔ Accountability is greater in the case of professionals because they enjoy

autonomy in actions and decision-making. Their right (or responsibility)
of independent judgment entails accountability. The freedom you enjoy
in taking decisions and executing actions comes with a price. The more
freedom you have, the more accountable you have to be.

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 PROFESSIONAL SUCCESS
MEASURES OF SUCCESS

✔ A professional has knowledge and skills that he/she keeps

updating with time through reading, practicing, innovating, etc.
✔ He / She does a professional job all the time irrespective of his/her
grievances or complaints.
✔ He / She strictly follows a code of conduct and does not waver
from his/her ethical standards.
✔ He / She is attached to the profession and feels proud of being
part of it.

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 PROFESSIONAL SUCCESS
MEASURES OF SUCCESS

✔ He / She dedicates his/her knowledge and skills to the service

of the society.
✔ He / She keeps professional responsibilities above his/her
self-interests.
✔ He / She has earned enough in terms of money and respect in
practicing the profession.

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 AMBITIONS
✔ Good to have ambitions in life and belief that one can achieve
anything.
✔ Keep ambitions at a level so that success can be achieved to some
extent.
✔ Very high ambitions can lead to frustration.

✔ Develop a positive attitude.

✔ Ambitions can be realized only through hard work.

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 SATISFACTION
✔ Remain satisfied in the present state without loosing sight of your
ambitions.

✔ Satisfaction has a tendency to dull the initiative and drive.

✔ Remaining satisfied in the present keeping the drive and initiative

is the art of life.

✔ Do not remain frustrated for failures and do not be passive and

docile with satisfaction.

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 ETHICS & PROFESSION
✔ Make your own value system and understand it well. The important
point about values is that you have found it out yourself and you
own it and follow it. The ideas, constructs, or beliefs that you hold
dear to your heart must be well organized in your mind.

✔ Develop a positive attitude. Neither failures nor setbacks in life

should destabilize you. Learn from mistakes, and firmly believe that
there is light at the end of the tunnel.

✔ Develop a high emotional intelligence score. This will help you

understand others better and work together with peers, superiors,
and subordinates.

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 ETHICS & PROFESSION
✔ Know your professional association, its objectives, and code of
conduct well. This will help you behave ethically and take the right
decisions and actions.
✔ Ethics is not just a personal matter. This has to be in tune with the
accepted norms of the organization, society, and government
regulations.
✔ Make your own standards of success. Success should not be
evaluated in terms of the salary you earn or the material wealth you
create for yourself.
✔ When you behave ethically, you develop moral strength. This will
stand by you in difficult times, and you can easily get over such
difficult times.

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 IMAGE OF PROFESSION
✔ Take pride in being part of the profession

✔ Make efforts to enhance the image of the profession

✔ Good work and ethical behavior do not generally get highlighted

and accept it.

✔ Image of profession brings recognition and financial support.

✔ High quality of work and ethical functioning enhances the image of

the profession.

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 SUMMARY
✔ Profession, professional, professionalism
✔ Features of professionals
✔ Criteria, characteristics, responsibilities, competencies,
expectations and support
✔ Professional Associations
✔ Roles of a professional
✔ Ethics and Profession
✔ Image of Profession

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 Professional Ethics, 2nd Edition

R. Subramanian

© All rights reserved. Oxford University

Press 2017
 Chapter 3

Ethical Theories

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 OBJECTIVES
✔ List and explain the basic ethical principles.
✔ Explain the moral development theories of Kohlberg, Turien, &
Gilligan.
✔ Classify ethical theories and explain the concepts involved in
utilitarianism and rights and duty theories.
✔ Explain the uses of ethical theories with examples.

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 ETHICAL PRINCIPLES
1. BENEFICENCE
The beneficence principle states that our decisions
and actions must be taken ensuring that it does good
to others. One consciously looks for and avoids harm
to others. Your concern for the welfare of others is a
cardinal ethical principle.
 ETHICAL PRINCIPLES
2. LEAST HARM

A decision taken or action implemented based on

ethical principles is essentially for the good of the
society. An action may, while causing good, also harm
some people. This principle urges you to take a very
considerate decision so that any such harm is minimal.

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 ETHICAL PRINCIPLES
3 . AUTONOMY/RESPECT FOR OTHERS

✔ Respect the rights of others.

✔ Do not impose your view on others.
✔ People have a right to hold to their value system.
✔ Respecting rights of others will prevent many conflict
situations.

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 ETHICAL PRINCIPLES
4. NON-VIOLENCE OR PEACE
✔ It is a universal principle.
✔ Dictated by all religions.
✔ Peace is what every one aspires for.
✔ Resolve conflicts by peaceful means.
✔ Violence in society is a sign of ethical vacuum.

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 ETHICAL PRINCIPLES
5. JUSTICE

✔ Our decisions and actions must be fair to everyone

concerned.
✔ Principle of fairness or justice is at the core of ethical
actions.
✔ Conflicting situations must be analyzed and justified
before deciding an action on the principle of fairness.

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 ETHICAL PRINCIPLES
6. TRUTHFULNESS

✔ Truthfulness is considered a universal value.

✔ Truth prevails at the end.
✔ Mahatma Gandhi embodied this principle as Satyagraha.
✔ As an ethical principle, it exhorts us to take decisions and act
based on truth and follow this value while reacting to
situations.

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MORAL DEVELOPMENT THEORIES

1. Piaget’s Theory
2. Kohlberg’s Theory
3. Domain Theory
4. Gilligan’s Theory

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JEAN PIAGET

Born in Switzerland
9th Aug 1896 to 17th Sep 1980
Developmental psychologist &
Epistemologist
Known for theory of cognitive development
 PIAGET’S THEORY
JEAN PIAGET (1896 – 1980)

▪ One of the first psychologists to study moral development in

children.
▪ He hypothesized that children learn moral values by interacting
with the environment.
▪ Heteronomous stage of moral development.
▪ Egocentrism among children.
▪ He developed a two-stage theory.

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 PIAGET’S THEORY
1. MORALITY OF CONSTRAINT (Typical 6 year olds)

✔ Point of View The child has a single, absolute, moral perspective

(he/she believes that a particular behavior is right or wrong and that
everyone sees it the same way).

✔ Rules The child sees rules as sacred and unchangeable or ‘carved in

stone’.

✔ Intention The child is under the impression that the extent of guilt is
determined by the amount of damage done by an act and not by the
motivation behind the action.

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 PIAGET’S THEORY
MORALITY OF CONSTRAINT (Typical 6 year olds)
✔ Punishment The child tends to define moral wrong in terms of what is
forbidden or punishable. He/She expects severe punishment in case of
wrongdoing. The child feels that punishment itself defines the
wrongness of the act. An act is perceived to be bad if it leads to
punishment.

✔ Respect for Authority The child thinks that peer aggression must be
punished by an external authority. The external authority is normally a
parent. The child has a tendency to run to one of the parents for
protection or justice. Unilateral respect leads to a feeling of obligation to
conform to standards and rules set by adults.

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 PIAGET’S THEORY
MORALITY OF CONSTRAINT (Typical 6 year olds)

✔ Concept of justice The child thinks he/she should obey laws

because they are established by those in authority. The rule is in
effect because an authoritative figure—mother, father, or
teacher—has set the rule. The child confuses moral laws with
physical laws and believes that any physical accident or
misfortune that occurs after a misdeed is a punishment willed by
God or some other supernatural force.

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 PIAGET’S THEORY

MORALITY OF COOPERATION (Typical 12 year olds)

✔ Point of View The child is aware of the differing viewpoints
regarding rules. Children put themselves in the place of others.
They are not absolute in their judgments but know that more
than one point of view is possible.

✔ Rules The child understands that rules are made by people and
can be altered by people. Children consider themselves just as
capable of changing rules as anyone else.

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 PIAGET’S THEORY
MORALITY OF COOPERATION (Typical 12 year olds)
✔ Intention The child judges actions by intentions and not by
consequences. He/She knows that the wrongdoer’s intention will
be considered while evaluating guilt.

✔ Punishment The child expects milder punishment. He/She is of

the view that punishment must compensate the victim and help
the culprit recognize why the act is wrong, thus leading to reform.
Punishment should involve restitution or suffering the same fate
as the victim of someone’s wrongdoing. Peer aggression should
be punished by retaliatory behavior by the victim.

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 PIAGET’S THEORY

MORALITY OF COOPERATION (Typical 12 year olds)

✔ Respect for Authority Mutual respect for authority and peers
allows children to value their own opinions and judge other
people realistically. Children should obey rules because of mutual
concern for the rights of others.

✔ Concept of Justice The child does not confuse natural misfortune

with punishment.

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 PIAGET’S THEORY
Guide to Moral Education
✔ Emphasis on discovery learning
✔ Not to impose moral values in children
✔ Provide opportunities for problem solving and cooperative
decision making
✔ Learn from experience and make common rules based on
fairness.

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LAWRENCE KOHLBERG
✔ 25th October, 1927 -19th January, 1987.
✔ Nationality – American.
✔ Worked as Professor at the University of
Chicago and at the Graduate School of
Education at Harvard University.
 KOHLBERG’S THEORY
Lawrence Kohlberg (1969) extended & improved on Piaget’s theory :

✔ Children form different ways thinking through experiences and

form ideas about justice, rights, equality, and human welfare
✔ Moral maturity takes more time
✔ Developed a moral reasoning theory and classified it into three
levels and six stages.

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 KOHLBERG’S THEORY
LEVELS STAGES ESSENTIAL FEATURES

Pre-conventional 1 Obedience and punishment

2 oriented
Individualism and exchange
Conventional 1 Good interpersonal relationships
2 Maintaining social order

Post-conventional 1 Social contract and individual rights

2 Universal Principles
 KOHLBERG’S THEORY
Pre-conventional, Level 1, Stage 1

✔ Heteronomous orientation
✔ The focus is on attempts to avoid breaking rules that are
followed by punishment
✔ One opts for obedience for its own sake and to avoid the
physical consequences of an action on individuals and
property.

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 KOHLBERG’S THEORY
Pre-conventional, Level 1, stage 2
✔ Early emergence of moral reciprocity
✔ Moral orientation focuses on the instrumental, pragmatic
value of an action.
✔ Follows the rules or norms only when it is of
✔ immediate interest to the self
✔ Concept of something being right is based on a fair sense of
an equal exchange, a deal
✔ The concept of right is relative

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 KOHLBERG’S THEORY
Conventional, Level 2

✔ Shift in the moral perspective.

✔ Realization of need for norms and conventions to uphold
order in society.
✔ Individual interests become secondary.
✔ Consciously becomes aware of shared thoughts, vision and
agreements.

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 KOHLBERG’S THEORY
Conventional Level 2, Stage 1

✔ Maintaining good relationships.

✔ Being loyal, honest, grateful, and respecting others.
✔ Limited to family and close relations or local community.
✔ Morality in a generalized social system is yet to evolve.

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 KOHLBERG’S THEORY
Conventional level, Level 2, stage 2

✔ There is a shift from what is expected in terms of local norms

and role expectations to defining what is right in a larger
social context.
✔ Understanding of larger social context.
✔ Realization of social objectives and responsibilities.
✔ A system of laws and the need for everyone to respect them
is considered important.

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 KOHLBERG’S THEORY

Post-conventional, Level 3, stage 1

✔ Social perspectives take deeper root.

✔ Decisions and actions based upon social norms and
conventions.
✔ No support for uniform application of rules.

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 KOHLBERG’S THEORY
Post-conventional, Level 3, stage 2

✔ Transformation of the individual from a local domain to a

universal domain.
✔ Individuals develop a much wider perspective and imbibe
ethical principles that can be said to be universal.
✔ Moral judgment calls for reasoning based on the ethical
fairness.
✔ Develops an understanding that the elements of ethics, such
as regard for life and human welfare, transcend particular
cultures and geographical boundaries.

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 MORAL EDUCATION
✔ Kohlberg was critical of traditional moral education based
on ‘a bag of virtues’.
✔ Teachers inculcate such virtues and values and let the
students practice and experience.
✔ No guiding principles to define the set of values.
✔ Moral education depends upon the social, cultural and
personal beliefs of teacher.
✔ Gave rise to the concept of ethical relativity.

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 MORAL EDUCATION
✔ To account for ethical relativity, suggested method is
value-clarification.
✔ Students made to realize that there is no unique solution or
universal answers to ethical problems.
✔ Need to be tolerant towards divergent views.

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 MORAL EDUCATION
Alternative Approach

✔ Teachers not to impose a set of values.

✔ Inform students about divergent views and the reasons.
✔ Act as a moderator during discussion by students.
✔ Teacher may also give his/her views and suggestions.

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 MORAL EDUCATION
Kohlberg’s Approach to Moral Education

✔ Moral development is not gaining more knowledge but a

qualitative change in thinking.
✔ As the student faces new situations, there is conflict with prior
understanding.
✔ Student is forced to rethink and make adjustments and
rearrange moral reasoning.

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 MORAL EDUCATION
Kohlberg’s Approach to Moral Education

✔ This adjustment is called moral equilibration.

✔ Development occurs during moral equilibration stage.
✔ Problems posed to students should force students to think
about contradictions.
✔ This enables them to rethink and make adjustments in moral
reasoning.

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 DOMAIN THEORY

✔ Elliot Turiel
✔ American psychologist
✔ Ph.D from Yale University
✔ Colleague of Lawrence Kohlberg
✔ Worked at the University of California
✔ Moral reasoning theory
 DOMAIN THEORY
✔ Further research on Kohlberg’s stage theory revealed
anomalies in stage sequence and goals.
✔ Attempts to make small, cosmetic changes in stage goals did
not succeed.
✔ Need felt for comprehensive review of stage sequences and
their goals.
✔ Substantial adjustments in the theory was needed to remove
anomalies.
✔ This led to the Domain theory.

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 DOMAIN THEORY
✔ Elliot Turiel and his team evolved the Domain theory.
✔ Development takes place in two domains – Moral & Social.
✔ Distinction is made between moral development &
developing social skills.
✔ Social convention is the term used for development of social
skills.

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 DOMAIN THEORY
✔ Morality domain has different norms for judging behavior.
✔ Concept of morality based on harm, welfare and fairness.
✔ Existence of rules have limited influence on moral issues.
✔ Moral actions are judged by the effect on well-being and
fairness.

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 DOMAIN THEORY
✔ Social conventions are based on different set of rules.
✔ Right actions decided by socially accepted norms.
✔ Social norms are conventions accepted as right by the local
community.
✔ Conventions have no intrinsic value but are necessary for
conducive environment in society.
✔ Social conventions are important to regulate the behavior
of members of the community.

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 DOMAIN THEORY
✔ Research by the Domain theory team found the inadequacy
of the single stage framework developed by Kohlberg.
✔ Two parallel, distinct domains of development were
established.
✔ To decide the right course of action, a person has to
understand both the domains – Moral Values & Social
Conventions.

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 DOMAIN THEORY
✔ Coordinated consideration of moral standards and social
conventions form a better framework to decide the right
action.

✔ The domain theory is thus supposed to give a better

framework and provide a better chance to youngsters for
making morality-based decisions.

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 MORAL EDUCATION
Based on Domain Theory :
✔ Moral development is the recognition that moral cognition is
inherently tied to the realm of human social interaction.
✔ Principles of fairness and human welfare should form the basis of
moral education and should not be limited to any specific social
convention or norm.

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 MORAL EDUCATION
✔ Moral education should foster morality among children by focusing
on universal principles, without being biased against particular
religious edicts and emphasizing basic, core moral norms for all
religious systems.
✔ While dealing with a moral issue, students would be asked to focus
on the underlying justice or human welfare aspects of the situation.
✔ While dealing with social conventions, students will be required to
focus on the role of social norms and expectations and the
importance of social organizational functions of such social norms.

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 MORAL EDUCATION
✔ Many social convention issues also relate to the domain of morality.
Teachers should take cognizance of this and stimulate discussion on
such issues that develop moral values from social conventions also.
✔ Elementary discussions on the two independent domains followed
by issues that cover elements from both domains is a good way to
develop understanding of moral rules and their interaction with
social convention.
✔ Teachers should facilitate the students’ understanding of social
conventions and their role in the larger context of morality.
✔ An understanding of interaction between the two domains
develops the comprehension of the role of social convention,
making it easier to discuss complex moral issues viewing them in
the light of social convention.

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CAROL GILLIGAN
✔ Born November 1936
✔ American feminist, ethicist & psychologist
✔ Taught at Harvard University before
shifting to New York University
✔ Best known for her work – ‘In a different
Voice’
 GILLIGAN’S THEORY
✔ Carol Gilligan was a student and
colleague of Kohlberg
✔ She disagreed with Kohlberg’s
theory on two counts –
✔ one, his theory is biased against
women as he used only boys for his
experiments;
✔ second, she opposed Kohlberg’s
theory of rules and rights, which are
again biased against women.
 GILLIGAN’S THEORY
She conducted exhaustive studies on girls and came up with her
own theory, which she called the morality of care. By listening to
women’s experiences, Gilligan offered that the morality of care can
serve in the place of the morality of justice and rights espoused by
Kohlberg.

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 GILLIGAN’S THEORY

The morality of caring and responsibility is founded on

non-violence, while the morality of justice and rights is based on
equality. Perhaps one can look at these two moralities as
providing two distinct injunctions—the injunction to not treat
others unfairly (justice) and the injunction to not turn away from
someone in need (care). She considers these moralities as
distinct, although potentially connected.

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 STAGES IN GILLIGAN’S THEORY
STAGE GOALS

Pre-conventional Individual survival

Transition from selfishness to responsibility to others

Conventional Self sacrifice is goodness

Transition from goodness to truth that she is a person too

Post-conventional Principle of non-violence; do

not hurt others or self
 GILLIGAN’S THEORY
✔ Gilligan emphasized the gender differences thought to be
associated with the two orientations—care and justice.
✔ The morality of care emphasizes relationship and presumably is
found to a greater degree in girls owing to their early
identification with their mothers and continuance of that
attachment.

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 GILLIGAN’S THEORY
✔ A moral orientation based on justice was proposed to be more
prevalent among boys because their attachment with their
mothers, which goes away afterwards.
✔ Enhanced awareness of the difference in power relations
between themselves and adults. This creates an intense set of
concerns over inequalities.

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 GILLIGAN’S THEORY
✔ Further research have found that moral reasoning does not
necessarily have such a distinct impact due to gender differences.
The evidence shows that both boys and girls base their reasons on
justice and care. Gilligan’s theory possibly suggests that girls are
more concerned about care, while boys are more concerned about
justice.

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 COMPARISON
✔ Moral development theories are based on the pioneering work
done by Jean Piaget. Kohlberg’s work was a landmark in the area
of moral development. His stage theory was a commendable
attempt to put things in some perspective.

✔ The domain theory extended Kohlberg’s approach by adding the

domain of social conventions to the paradigm.

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 COMPARISON
✔ Both these theories have helped in the evolution of methods
and approaches for moral education among children.

✔ Kohlberg’s work was extended in Gilligan’s theory by adding the

concept of care in moral development, which helped to
eliminate gender bias.

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 ETHICAL THEORIES
Major theories:
1. Deontology (Duty Theory)
2. Utilitarianism
3. Virtue Theory
4. Rights theory
5. Casuist theory
6. Moral Absolutism
7. Moral Relativism
8. Moral Pluralism
9. Ethical Egoism
10. Feminist Consequentialism

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 CLASSIFICATION
(Due to Rosalind Hurst)
Theory Consequentialis Deontology Virtue theory
Particulars m

Example Mill’s Kantian Ethics Aristotle’s moral

Utilitarianism theory

Abstract An action is right An action is right An action is right

description if it promotes if it is in if it is what a
best accordance with virtuous agent
consequences a moral rule would do
More concrete The best Moral rule is one A virtuous agent
specification consequences that is required is one who acts
are those by rationality virtuously
maximising
happiness

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 Ethical Theories

Ethics of conduct Ethics of Character

What sort of actions What sort of people

should we perform? should we be?

Consequentialism Deontology
Aristotleianism:
The right action is The good is
the one producing Virtue is a mean
defined
the most intrinsic between extremes of
independently
good action or passion
of the right

Kantianism:
For the agent: For every one Actions must satisfy the
Ethical egoism affected: categorical imperative
Utilitarianism
 DEONTOLOGY
✔ Deontology defined as duty
ethics by CD Broad
✔ The theory is credited to
Immanuel Kant
✔ (1724 to 1804)
✔ German philosopher
✔ Interest in Epistemology,
Metaphysics and Ethics
 DEONTOLOGY
Duty Ethics or Kantian theory

✔ Kant considered that an act is good if it is in accordance with

some cardinal principles that govern our duties.
✔ An action that is performed according to the duties prescribed is
considered to be ethical.
✔ Consequences of the action are not the most important thing.

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 DEONTOLOGY
✔ Act only according to that maxim by which you can also will
that it would become a universal law.
✔ Act in such a way that you always treat humanity, whether in
your own person or in the person of any other, never simply as
a means, but always at same time as an end.
✔ Act as though you were, through your maxims, a law-making
member of a kingdom of ends.

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 DUTY ETHICS
William David Ross stated the duties of people as –

✔ Duty of beneficence A duty to help other people (increase

pleasure, improve character)
✔ Duty of non-maleficence A duty to avoid harming other people
✔ Duty of justice A duty to ensure people get what they deserve
✔ Duty of self-improvement A duty to improve ourselves
✔ Duty of reparation A duty to recompense someone if we have
acted wrongly towards them
✔ Duty of gratitude A duty to be of benefit to people who have
benefited us
✔ Duty of promise keeping A duty to act according to explicit and
implicit promises, including the implicit promise to tell the truth.
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 DUTY ETHICS
Immanuel Kant’s categorical imperative:
✔ Act in such a way that you treat humanity, whether in your
own person or in the person of another, always at the same
time as an end and never simply as a means.
✔ Act only according to that maxim by which you can at the
same time will that it should become a universal law.
✔ The principle of autonomy requires people to recognize the
right of others to act autonomously and means that, as moral
laws must be universalisable, what is required of one person is
required of all.

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 UTILITARIANISM
Jeremy Bentham 1748 – 1832
✔ English philosopher
✔ Greatest happiness principle
✔ Utilitarianism
✔ Political philosophy,
Philosophy of law, ethics and
economics
 UTILITARIANISM
Jeremy Bentham
✔ Based on utilitarianism, an action is judged by the consequences
of the action.
✔ Maximum good to maximum number of people.
✔ Consequences of an action is pain or pleasure; as pleasure is a
more desirable state, an action is good if it gives pleasure.
✔ Criticism – How to measure the good?
✔ As consequences happen after the action, there is predictive
element in the theory.

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 UTILITARIANISM
John Stuart Mill(1806 –1873)
✔ British Philosopher
✔ Utilitarianism
✔ Interest areas – political
philosophy, ethics, economics
and inductive logic
 UTILITARIANISM
John Stuart Mill : Extended Bentham’s theory.

✔ The doer should seek higher levels of pleasure.

✔ Lower levels of pleasure like eating or exercising is not the
judging criteria.
✔ Maximum good comes if we attain higher pleasures like
creativity, appreciation and love.

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 UTILITARIANISM
✔ A consequentialist theory – actions are judged by results
produced.
✔ Mill proposed act-utilitarianism which stipulates that an act
is ethical if it produces maximum good.
✔ Richard Brandt supported rule-utilitarianism which states
that one should act within general rules and maximize
good.

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 UTILITARIANISM
✔ Critics of utilitarianism contested that the concept of
maximum good is vague and its measurement is also not
possible.
✔ Consequences occur afterwards and there is a predictive
element in the theory.
✔ Predicting and judging consequences is difficult before taking
action.

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 VIRTUE THEORY
✔ Due to Aristotle Values are acquired
habits.
✔ Wisdom and good judgment are at
the core of rational life.
✔ Along with truthfulness, courage,
generosity, comradeship.
 VIRTUE THEORY
✔ Moral values are virtues acquired to exhibit balanced behavior
or the golden mean between extremes.
✔ An action is considered ethical if it is what a virtuous agent
would have done.
✔ The character of the person performing the action, not the
action itself, decides the morality of the action.
✔ One criticism – the virtues are not permanent.

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 RIGHTS THEORY

✔ People have rights and these

forms the basis for deciding the
morality of actions.
✔ Rights also decides the duties of
people. John Locke

✔ Acting on the basis of ones

rights has to respect the rights
of others.
 RIGHTS THEORY

✔ Rights come with responsibilities.

✔ Bestowing rights pre-supposes the
person’s ability to respect others’
rights A I Melden
✔ Individual rights cannot be at
variance with those of others in a
moral community
 CASUIST THEORY
✔ Compare a present ethical problem with a similar problem of
the past to find solution.
✔ Criticism of the theory.
✔ One may not find an identical problem for finding acceptable
solution.
✔ A current situation and its solution may differ due to contextual
and other differences in the time periods.

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 MORAL ABSOLUTISM
✔ Moral absolutism is a kind of dogmatism.
✔ Moral absolutists believe in one correct perspective which is the
one held by them.
✔ The theory lacks rationalism and does not respect moral
autonomy.
✔ The theory does not accept that the issue may have a
contextual bearing.
✔ This leads to a kind of fanaticism.

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 MORAL RELATIVISM
✔ No action can be absolutely moral.
✔ Actions to be judged by context and individual rights.
✔ Moral rules and codes of conduct cannot be set.
✔ Criticism – No free-for-all moral actions.
✔ Universal laws and codes can be made accepting that there are
always exceptions.

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 MORAL PLURALISM
✔ Human values are many and
good and can come into
conflict in a situation.
✔ There is no hierarchy of values
and cannot be reduced to an
over-riding system. Isaiah Berlin
✔ Individual liberty cannot
override public order.
✔ Impartial justice can come into
conflict with mercy and
compassion.
 ETHICAL EGOISM
✔ This theory deals with self interest.
✔ An action is morally correct if it promotes self interest.
✔ Obviously, does not respect the rights of others.
✔ Critics point out that selfishness in actions is not acceptable.
✔ Self interest should include also larger public interest.

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 FEMINIST CONSEQUENTIALISM
✔ Propounded by feminist ethicists due to gender bias in other
theories.
✔ Support consequentialism but do not accept utilitarian model
of computation.
✔ Consequences also to be evaluated on the effect it has on
relationships and feelings.
✔ Morally correct actions tend to foster comradeship and
harmony among people.

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 COMPARISON
✔ No single theory can tackle all situations.
✔ Duty ethics, Utilitarianism and rights ethics are commonly
employed to analyze situations.
✔ Every theory has some attractive features but lack in
universality.
✔ Best of these theories or a combination can be selected in a
given situation.

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 MORAL ISSUES
✔ There are a variety of moral issues that come up and have to
be solved.
✔ Micro-ethical issues are those that are faced in day to day
situations and need solutions. These are generally faced by
individuals.
✔ Macro-ethical issues are those that have a bearing on society.
Initial neglect makes them big later on. Individuals are not
generally responsible for these and have to be tackled by
teams and generally categorized as societal issues.

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 MORAL DILEMMAS
✔ Moral dilemmas are problems with a moral bearing, either of
individual or a community.
✔ Conflict of interest situations or situations where the actions
based on moral principles can also lead to harm result in
dilemmas.
✔ Conflict of moral principles, lack of clarity and difference of
opinion on the right course of action can lead to moral
dilemmas.
✔ Considering all options and arriving at an acceptable solution is
the difficult task here.

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 RESOLVING MORAL DILEMMAS
STEPS IN RESOLVING MORAL DILEMMAS

✔ Formulate some cardinal ethical principles that you would like to follow, if you
have not done so already.
✔ Collect all relevant facts of the case.
✔ Perform an ethical analysis of the given situation wherein you analyze the
ethical factors that predominate the problem and the ones that tend to
conflict.
✔ While it may be difficult, prioritize the ethical factors in the order that you
think should take precedence.
✔ Having formulated your ideas, it may be desirable to discuss with some people
close to you about the case and the implications you think any decision or
action would have.
✔ Having received inputs from them, you can now formulate your plan of action,
noting down all the moral implications of the solution.

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 MORAL AUTONOMY

✔ Freedom and self reliance of individuals to take moral decisions

or hold on to moral points of view.
✔ Comes from inherent strength for rational thinking based on
moral values.
✔ Rationale and basis on which decisions are based reflect moral
autonomy.
✔ Professionals to develop skills required to practice moral
autonomy.

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MORAL AUTONOMY – SKILL SETS
✔ Develop skills to identify problems of a moral nature in
professional work. A problem may have many dimensions but
recognizing the moral aspects of the problem and relating these
to other dimensions of the problem is important.
✔ Develop the ability to critically analyze a moral issue or situation

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MORAL AUTONOMY – SKILL SETS
✔ Develop sensitivity to genuine difficulties. Some moral issues
may call for taking actions, which at first sight may go against
some moral principles held by the individual as sacrosanct. In
such cases, some flexibility in thinking and taking decisions
for the overall good of the people concerned may be called
for.
✔ Develop ingenuity, creativity, and imagination to find
alternative solutions to complex problems.

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MORAL AUTONOMY – SKILL SETS
✔ Develop consistency in thinking on moral issues. Consistency
comes from knowledge and understanding of similar
situations and comparison of facts in a given situation with
those of others.

✔ Develop the ability to express your perception on moral issues

clearly to others. An understanding of ethical principles and
theories will enable one to make a comprehensive expression
of one’s views.

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MORAL AUTONOMY – SKILL SETS
✔ Develop moral integrity and credibility.
✔ Develop tolerance and try to understand other people’s views
on moral conflicts.
✔ Develop the ability to assimilate moral issues and solutions
even in cases where you are not directly concerned.

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 RELIGION & ETHICS
✔ All religions fundamentally and inherently speak of ethical
conduct.
✔ If religion is practiced in the right way, there will be no conflict
with ethics.
✔ Religion has great influence as it shapes the ethical behavior of
individuals.
✔ Religion followed by individuals will have no conflict with ethics if
the two are properly understood.

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 MORAL CONDUCT
TYPES OF ENQUIRY
Descriptive or factual enquiry

✔ How have the practices in the particular profession developed over the years?
✔ What are the basic concepts and principles that guide the current practices in
the profession?
✔ What is the ethical and psychological profile of the professionals in the
system?
✔ Do the professionals have enough guidelines and mechanisms to undertake
an analysis of the safety and risk factors in the practice of the profession?
✔ How much is the influence or effectiveness of the professional societies in
guiding ethical practices among its member professionals?
✔ How much care is taken by the employers or professional societies to sensitize
the professionals about ethical issues in the profession?
✔ How effective are the codes of conduct or punitive measures for professional
misconduct?

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 MORAL CONDUCT
Conceptual Enquiry

✔ What is a profession?
✔ Who is a professional?
✔ What is meant by professionalism?
✔ What are the concepts and principles having bearing on
professional ethics that need to be defined and clarified?
✔ What kind of control or monitoring mechanism should be put in
place to ensure ethical conduct by professionals?

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 MORAL CONDUCT
Normative Enquiry

✔ What are the rights and responsibilities of a professional?

✔ When and how should a professional exercise his/her rights?
✔ What are the obligations of professionals to the public as they
perform their duties?
✔ What rules, regulations, and procedures can be called morally
warranted in a professional organization?

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 USE OF THEORIES
✔ Morally correct decision making is important to professionals.
✔ Ethical theories help us to identify the considerations that
should go into making decisions.
✔ No theory can be applied universally.
✔ There are technical and moral considerations in taking
decisions.

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 USE OF THEORIES
Justify Decisions & Actions
✔ The engineering product is useful and beneficial to a large group
of people.
✔ The product is safe for public use.
✔ The rights of the public are not violated.
✔ One performs one’s duty keeping these three conditions in mind.

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 Professional Ethics, 2nd Edition

R. Subramanian

© All rights reserved. Oxford University

Press 2017
 Chapter 4
Ethics in Engineering
Profession

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 OBJECTIVES
After reading this chapter, you will be able to

✔ Describe the various features of the engineering profession

✔ Define and explain the concept of engineering as social
experimentation
✔ List and elaborate the skill sets possessed by engineers
✔ Comprehend ethical issues in engineering with examples
✔ Recognize the roles played by engineers
✔ Appreciate the importance of ethics in engineering

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 ENGINEERING
“Engineering is not merely knowing and being knowledgeable like
a walking encyclopedia; engineering is not merely analysis;
engineering is not merely the possession of the capacity to get
elegant solutions to non-existent engineering problems;
engineering is practicing the art of organized forcing of
technological change; engineers operate at the interface between
science and society.”
DEAN GORDON BROWN

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 ENGINEERING PROFESSION

“Engineering is defined here as any activity which involves

engineering in industry; with the purpose of generating products
and services which society finds useful and is prepared to pay for.
Therefore it includes line management, project management,
marketing and contracting, as well as the more predictable
research, design, development and manufacturing activities.”
[UKAPE]

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 ENGINEERING PROFESSION
✔ As engineers use different materials and methods that are
molded & shaped into various products, research in both
materials and the methods/ operations to shape them becomes
inevitable.

✔ Product design is another important aspect of engineering that

involves analysis of the requirements of clients or the society
and evolving products that can match these requirements.
User-friendly designs are evolved, so that a non-technical
person can use the product with great ease.

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 ENGINEERING PROFESSION
✔ Design tools are continuously improved. The advent of
computers has made things easier by making very elaborate
analysis of engineering systems . Without these, engineers were
earlier faced with the constraints of making many assumptions
to make manual analysis simpler. Design involves many
uncertainties in dealing with materials and their
interconnections in the engineered product. Deterministic
design methods were abandoned to evolve probabilistic
methods of design using statistical parameters. The
uncertainties have led to new disciplines such as reliability
engineering.

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 ENGINEERING PROFESSION
✔ Many complex engineering designs need to be tested before
implementing the final design. Model analysis to understand
the behavior of the product and prototype testing are
common. This becomes all the more important when the
behavior and strength of a product cannot be exactly
determined in situations such as earthquakes in case of a
building, a machine element subjected to random vibrations,
or an aircraft subjected to turbulence due to wind forces. All
such situations call for some type of simulated testing of
models to determine the behavior.

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 ENGINEERING PROFESSION
✔ Production methods and procedures also need to be studied
to improve quality. Manufacturing, construction, fabrication,
erection, and assembly are major procedures to put a design
into physical realization. The methods and procedures are
studied and continuously improved for better efficiency and
quality. Production equipment and tools undergo various
improvements on a continuous basis. Safety is also another
important aspect considered in these procedures.

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 ENGINEERING PROFESSION
✔ Quality control by various techniques is used to control and
enhance the quality of products and services. Norms and
standards are developed as benchmarks against which quality
can be tested.

✔ Servicing and maintenance of engineering products is another

important aspect of the profession. Earlier, the efforts were
concentrated only on producing things, but nowadays, the
importance of servicing and maintenance is well recognized.
Maintenance engineering has become an important area
today.

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 TECHNOLOGY & SOCIETY
✔ Technology, while giving many desired products to the
society, also results in many undesired products. The wastes
from many of the technological processes are difficult to
manage and dispose.

✔ Most of the product designs and developments are based on

economic value. Many of the products are not really wanted
and only satisfy the fancies of a miniscule population. This
major fl aw in product research, design, and development is
the reason for neglecting the long-term impact of such
efforts.

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 TECHNOLOGY & SOCIETY
✔ Product design based on environmental impact is really not a
major focus as economic considerations outweigh any negative
impact of such development.

✔ Technological developments have a direct and immediate

impact on the society and its environment. Large-scale
pollution, depletion of natural resources, unemployment, and
other potential threats are visible. These can be assessed and
perhaps avoided.

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 TECHNOLOGY & SOCIETY
✔ The indirect and subtle effects of present-day trends in technology are
difficult to measure and quantify. Deforestation, destruction of
ecosystems, global warming, land loss for various uses, climatic
changes, and potential dangers of nuclear waste disposal are effects,
which will have long-term impact on the fruits of such development
itself. It is feared that whatever benefits are expected to accrue from
these developments get nullified by their negative impact in the long
term.

✔ A major problem with the advances in technology has been that the
benefits of this technology are not equally shared by the people in the
society. The rich and the powerful have access to new technology, while
the poorer section of the society is unable to reap its benefits.

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 TECHNOLOGY & SOCIETY
✔ Greater social tensions are visible in the society due to the
non-equitable distribution of wealth. This has been caused due to
great urbanization, creating a massive urban poor population
whose aspirations are not fulfilled.
✔ More people from villages are moving towards urban areas to find
jobs, leaving their occupation of farming. Fewer people are
producing food crops while more people are looking for food.
✔ Technological developments are driven by the needs of the rich,
who can pay for the new technological devices. They are not
targeted or focused on the sections of the society that really need
them.

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 ENGINEERING AS SOCIAL EXPERIMENTATION
SIMILARITIES

Uncertainties – In materials used, design procedures, assumptions

made and in production, construction, fabrication, quality control
procedures etc.

Outcomes – The product may not be made as per design, may not
perform as per design, social objectives may not be fulfilled and
may not satisfy conflicting social objectives

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ENGINEERING AS SOCIAL EXPERIMENTATION

SIMILARITIES

Gaining Knowledge – Scientific experiments are done with a view

to gaining new knowledge; while engineering projects may not
focus on creating new knowledge as much as in making
products and services, new knowledge is gained while designing
and implementing engineering projects.

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ENGINEERING AS SOCIAL EXPERIMENTATION

DIFFERENCES
Experimental Control – Many scientific experiments use a control group
to study the impact of a new method or drug; Engineering does not
have such control groups and there is no control over the user as to how
he/she makes use of the product.

Consent of People Affected – Many scientific experiments require the

informed consent of people before the experiment can be undertaken;
In engineering, such a need has not been recognized so far even though
the project affects many people both in terms of benefits and harm.

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 ENGINEERING AS SOCIAL EXPERIMENTATION

DIFFERENCES

Generating New Knowledge – Scientific experiments have the

prime objective of generating new knowledge; in engineering it
is not the prime objective but new knowledge gained is a
bye-product; main objective of engineering projects is to realize
a product or service as per design and benefitting the society

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 ENGINEERING PROFESSIONALS
✔ Trained in engineering colleges and polytechnics.
✔ Four year programs for basic degree.
✔ The course includes basic sciences, core engineering subjects and
applied engineering subjects.
✔ Masters and doctorate programs are available in many institutions
for specialization.
✔ Stringent training schedule including laboratory and workshop
practice, industry training and project work.

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 SKILL SETS
✔ Engineering professionals are characterized by analytical ability,
technical knowledge and skills and a developed mind to tackle
problems.
✔ Now there is recognition that technical knowledge and skills alone
will not help;
✔ Modern engineering practice requires engineers to have a number
of other skills classified as life skills or soft skills.

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 LIFE SKILLS
✔ Life skills are applicable across disciplines or
discipline-independent.

✔ These include skills like communication, Computational,

Computer, Problem solving, Leadership, Team work, and
learning to learn skills.

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 SOCIAL SKILLS
Social Skills Include :

Communicating effectively, Understanding the self well,

Building relationships, interacting productively, emotional
intelligence, conflict resolution and developing relationships.

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 WORK SAFETY & HEALTH
✔ Strictly adhere to safety and health norms and standards set by
governmental agencies and the organization itself.
✔ Have a clear understanding of the safety and health concerns of
the project one is working on.
✔ Conduct a safety audit and provide for any potential dangers.
✔ Ensure that people follow safety norms and provide safety and
health training to everyone.

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 ATTITUDE
✔ Develop a positive attitude and have self-confidence.
✔ Deal with people, problems, and situations honestly, ethically,
and with integrity.
✔ Have self-esteem and the confidence to deal with any situation.
✔ Learn to deal with tricky situations diligently.
✔ Recognize and appreciate the good work done by others.
✔ Show interest, initiative, and be innovative.

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 ADAPTABILITY & RESPONSIBILITY
✔ Learn to work efficiently as an independent worker and as a
member of the team.
✔ Be creative and resourceful.
✔ Be adept at performing multiple tasks.
✔ Be ready to learn from mistakes and have a positive attitude
towards feedback given by others.
✔ Have an open mind and respond positively to suggestions from
others.
✔ Have enough knowledge and skills to suggest alternatives to
achieve the goals set for the group.
✔ Have the ability and confidence to deal with uncertainties.

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 INNOVATION & CREATIVITY
✔ Think out of the box
✔ Lateral thinking
✔ Innovation is applied creativity resulting in useful product
✔ The five stage model of creativity by Graham Wallas include –
Preparation, Incubation, Intimation, Illumination and Verification

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 ENGINEERING ETHICS
✔ The first and foremost definition is that engineering ethics is the
internalized set of beliefs and values that an individual or group of
engineers hold as dear to their professional (even personal)
functioning.
✔ Engineering ethics looks at the decisions taken by engineering
professionals to judge whether the final product conforms to or
satisfies all the major ethical considerations and issues.
✔ Engineering ethics, in this sense, is a field of study where, from
past experiences and likely problems one identifies and lists the
moral considerations and values that should govern the
engineering practice.

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 ISSUES IN ENGINEERING ETHICS
Conceptualization
✔ Is the product useful?
✔ Does it satisfy a felt need?

Investigation
✔ Has a thorough and unbiased study been conducted?
✔ Have all data and observations been reported fully?
✔ Is there any attempt to falsify or enhance the utility by hiding
or falsely interpreting the data?
✔ If it is a manufactured product, has the market survey been
thorough and the utility and safety of the product fully covered
in the study?

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 ISSUES IN ENGINEERING ETHICS
Product Specification & Costing
✔ Have the specifications been drawn as per established norms
and standards currently in vogue?
✔ Has the material selection been done without compromising
safety norms?
✔ Is the product with the specifications realizable in the
stipulated time frame?

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ISSUES IN ENGINEERING ETHICS
Analysis & Design

✔ Has the design been made based on the latest

technological tools available?
✔ Have the assumptions made for the design been clearly
stated?
✔ Have appropriate procedures been followed for the
verification of the designs?
✔ Have all contingent factors been taken into account in
the design?

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ISSUES IN ENGINEERING ETHICS
Bidding & Contracting
✔ Has the bidding process been fair and the principle of
equity (equal opportunity) maintained?
✔ Have the contract documents been drawn up fairly for both
the clients and the provider of the services?
✔ Have the analysis and award of bids been fair?
✔ In rejecting any bid, particularly the lowest bid, has
appropriate reasons been given for rejection?

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 ISSUES IN ENGINEERING ETHICS
Implementation of Design

✔ Has the quality of materials been checked before use? In case

of site-manufactured materials such as concrete, has
adequate care been taken in testing the quality of component
materials and the process of making the product?
✔ Is the time frame for realization adequate, without making
the implementers to hurry through compromising the
quality?
✔ Are appropriate quality tests and quality processes in place
and strictly adhered to?

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 ISSUES IN ENGINEERING ETHICS
Implementation & Design …
✔ Has work place safety been taken care of for workers? Are they
provided with adequate safety gadgets?
✔ Have the test results been reported faithfully and interpreted
fairly?
✔ Has the implementation been done on the basis of minimal
compliance?
✔ In case of an unforeseen accident at the workplace, are there
minimal health care kits available, such as a first aid box? Is
adequate compensation given to the workers for any damage to
their limbs or life? Are attempts made to hush up accidents and
not report them?

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ISSUES IN ENGINEERING ETHICS
Installation & Use
✔ Is the advertising for the sale of the product fair,
mentioning all facts of the product and without making
false claims?
✔ Is the documentation of the product exhaustive and
complete?
✔ Has the user been provided adequate training for use?
✔ Has the user been told of precautions to avoid any harm
during use?

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ISSUES IN ENGINEERING ETHICS
Maintenance

✔ Is there adequate cover for the consumer for maintenance

and repair?
✔ Is the maintenance contract fairly drawn or is it made
vague for gullible customers who cannot read the fine
print?
✔ Are there mechanisms kept ready for timely maintenance
and repair?
✔ Is there a safe exit in case of emergency?

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ISSUES IN ENGINEERING ETHICS
Product Recall & Decommissioning
✔ In addition to effective maintenance, does the company
have a policy of product recall in case common defects are
noticed in the products?
✔ Is there a provision to safely discard toxic materials
periodically or at the end of the life cycle of the product?
✔ Is there any provision for recycling and capturing valuable
products?

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 ETHICAL OBLIGATIONS
✔ An engineer is subjected to, and has to work within, the
civil and criminal laws and the codes of conduct, so he/she
has obligations with regard to safety, work quality, public
good, etc.
✔ Moral obligations of the engineer arise because he/she is a
member of a professional body and the body requires
him/her to work as per the code of conduct and fulfil
his/her ethical obligations.
✔ Ethical obligations of engineers arise out of contractual
agreements with employers.
✔ When someone selects engineering as a career, he/she is
bound by the principle of public good and the obligations
of being a professional.

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 MANAGER’S ROLE
✔ An engineer needs to gain insight into corporate finances. He/She needs
to know where the finances come from and how they are spent. He/She
should always have an eye on bottom lines. This is a change from the
hard core engineering practice where he/she is concerned with designs
and production functions. As an engineer, he/she may have been
concerned with economic designs but the perspective would change
with his/her new role as manager.
✔ As a manager, he/she now has the duty of assigning tasks to people
working under him/her, to monitor the progress of work, and to make
suggestions for improving performance.
✔ In his/her new role as a manager, he/she would have to organize
meetings with people, ensure orderly conduct, listen to what people
have to say, and intervene with suggestions where required.

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 MANAGER’S ROLE
✔ When many people work together, it is natural for conflicts to arise.
There may be personal ego clashes or professional conflicts due to
differences of opinion on technical aspects. As a manager, the
engineer has the responsibility of resolving conflicts and has to ensure
that everyone is satisfied with the resolution. The ability to convince
and persuade people are essential for performing this function
successfully.

✔ The new role requires him/her to create a conducive work

environment in his/her department and also create and promote an
ethical climate

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 PROMOTING ETHICAL CLIMATE
✔ Professionals have the freedom to exercise their professional
conscience and judgment in designing products and services according
to standard practice, without being constrained by considerations of
profitability. It does not mean that professionals have to forget the
profitability aspect of a product or service. Engineering is business and
has profitability as a major criterion for its success. The profitability
should not compromise the best engineering judgment that
professionals have.
✔ There is freedom to express technological concerns and debate over
the best product the company can provide. Ethical thinking need not be
costly and unprofitable. It will reap returns in the long run.
✔ Companies must have ethical policies, which need to be recorded and
made known to the people. The ethics policies would provide the
companies with the necessary backing to conduct their professional
functions in a morally correct way.

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 PROMOTING ETHICAL CLIMATE
✔ Most corporate entities have their own traditions and informal
conduct rules. These must be such that they encourage ethical
conduct of business.

✔ There must be proper communication channels where both

upward and downward communications are free and
uninhibited. This is necessary so that the ethical concerns of all
employees are taken care of.

✔ People must be trained on the ethical aspects so that they

develop appropriate attitudes and a commitment to ethical
practices.

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 CONFLICT RESOLUTION
✔ Conflicts may arise on technical aspects of a product. The
engineer–manager is in a better position to resolve such conflicts as
he/she has the necessary professional background to understand these
conflicts and provides apt solutions for resolving them. Such conflicts
promote creative thinking among engineers to find ingenious
solutions.

✔ Conflicts about the cost of products can also arise. The cost needs to be
consistent with other similar products in the market. The costing has to
be consistent with safety and profitability. In the case of some
products, costing can be a problem as some of the details may not be
known or may arise at a later time.

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 CONFLICT RESOLUTION
✔ There can be conflicts about the resources provided and the
performance expected. In business, time is money and the
timelines prescribed and performance expected need to be
adequately supported with resources to ensure efficiency.

✔ There may arise conflicts about priorities of work and schedules.

A manager’s perception of priorities may conflict with that of
others and he/she has to resolve such conflicts.

✔ Personality conflicts may arise because of ego clashes. Such

conflicts are the most difficult to handle.

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 CONSULTANTS
✔ A consulting engineer is a freelancer and is not an employee of
any corporate entity unlike an engineer.
✔ A consulting engineer has to earn his remuneration by doing a job
as and when he gets an assignment, whereas an engineer gets a
salary paid by the company as per his/her job contract.
✔ An engineer performs tasks assigned to him/her by the company
and does not have much freedom to choose his/her tasks. A
consulting engineer, on the other hand, can choose the
assignment that he/she wants to work on and gets paid according
to the job done.
✔ From an ethical point of view, a consulting engineer has more
freedom to be ethical than a professional engineer.

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 LEADERS
✔ An engineer as manager is a transactional leader with a
specific plan of action and leading a group of men to achieve
goals.

✔ An engineer can be a transformational leader where he

generates visions to transform a group of men to be creative
and innovative; he has the capacity to generate new ideas and
motivate people to be more creative and innovative.

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 MORAL LEADERSHIP
✔ Professional engineers, in whichever position they function, as engineers,
consultants, managers, or academicians, must keep ethical conduct as a
hallmark of their professional roles.
✔ Engineers must become members of professional societies to promote
ethical professional conduct through that forum. This is a good platform
for exchanging views, detailing code of conduct for professional
engineers, and perhaps also, for enforcing the same amongst all
professionals.
✔ Engineers must be morally creative. Moral creativity calls for finding
solutions to engineering problems in a way that promotes values held
dear by professionals. Various options are studied and the one considered
morally most is chosen as the one satisfying the many constraining
conditions.
✔ Many companies conduct some welfare activity in the surrounding
communities as part of their corporate social obligation. This opportunity
cane used to show moral leadership by engineers.

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 BALANCED OUTLOOK ON LAW
✔ Engineers are governed by the laws of the land, service rules and
regulations and code of ethical conduct.
✔ Engineering projects are undertaken for the welfare of the society but
may have downsides as well.
✔ Many regulatory bodies are set up by government to regulate the
functioning of engineering organizations; so many regulatory bodies
may make the project unviable.
✔ In a global environment, standardization becomes imperative.
✔ Technological development is a double-edged sword; On one side of
the coin is the good done to the society; on the other side is the
enormous and unknown threats; Regulations must be seen in this
light.

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 SUMMARY
✔ Engineering is a very important profession having a direct influence on
people’s lives. The essence of engineering is to physically realize a product
from its conceptual stage for making it useful to the public. Engineering, in a
way, can be considered as social experimentation as there are many
similarities between a laboratory-based experiment and an engineering
project. To perform their functions in the world of work, engineers need to
acquire many life skills in addition to the technical knowledge and skills in
their field of work.
✔ An engineering project goes through various stages from conceptualization to
realization. At every stage, it has to pass through a series of ethical issues.
✔ Engineers play many roles as managers, leaders, consultants etc. As engineers
go higher up in their career, they have to take the responsibility of providing
moral leadership to the people working with them.

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 Professional Ethics, 2nd Edition

R. Subramanian

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Press 2017
 Chapter 5
Engineers
Responsibility for
Safety

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 OBJECTIVES
✔ Define and explain the terms safety and risk
✔ Explain the procedure for risk assessment
✔ Discuss the methods of risk management
✔ Discuss safety standards for engineering products and services
✔ Analyze cases highlighting engineering safety
✔ Understand the responsibility of engineers towards safety

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 TERMINOLOGY
Safety - An action is considered safe when the risks associated
with it are known and are considered acceptable. There is an
element of judgment involved in considering the safety of
something.

Risk - It is the possibility of something bad happening at some

time in the future. Risk is thus something that is expected to
happen in the future, with which an element of probability and
uncertainty is associated.

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 TERMINOLOGY
Hazard It is something that can be dangerous or cause damage.
Something is hazardous if it has the potential to cause harm
or ill effects.

Risk–benefit Analysis is a method by which, while determining

the cost of projects to compare with benefits, the risk is also
included.

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 CONCEPT OF SAFETY
✔ Safety, as also risk, do not fall under deterministic realm but
are probabilistic.
✔ Three states – underestimating, overestimating and
indifferent to risk.
✔ Safety and risk happen in future when a product is used by
customers; But there is a need to estimate the risk and
provide for it.
✔ Nothing can be made absolutely safe. The degree of safety
proposed to be attained depends upon product, perception
and cost of risk.

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 RISK ASSESSMENT
✔ Risk assessment is not accurate due to many uncertain
factors.
✔ Risk assessment is more common in infrastructure
projects and much less in manufactured goods.
✔ While many projects improve the quality of life of people,
unless the risks are assessed and provided for to the
extent possible, the benefits may be only short term.

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 RISK ASSESSMENT
✔ Any decision about risk assessment and management has to depend
upon the time frame in which the decision is taken. Many things are in
the control of the designers before the project is undertaken. Once
these decisions are made and the project completed, the situation and
context for decision making changes.
✔ When a risk event occurs, the decision-making would involve looking
back to see where the deficiencies occurred, what caused the accident,
and was it possible to have prevented them in any way.
✔ This soul-searching, though necessary, should be avoided by taking
control measures in the design stage itself. Learning from past
experience is a good way to avoid further damage and economic loss.

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 RISK ASSESSMENT
✔ Due to economic considerations, many loopholes (which
could be dangerous) may not be addressed while working on
engineering projects. Providing solutions for the likely risks
may be considered an unwarranted escalation in costs by
many, particularly the company owners.
✔ A thorough analysis of the risks and the measures to be taken
to avoid them is probably the best way to deal with
potentially risky situations.

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 RISK ASSESSMENT
✔ One major hindrance in risk assessment and management is
the question of uncertainty in the occurrence of any
anticipated risk. Both the severity of the risk and the
frequency of occurrence vary considerably across projects.

✔ It is essentially a study in probability. Such uncertainties

definitely make it impossible for the designers to provide
solutions to all anticipated risks in big projects.

✔ Risk assessment and management have to go beyond this

minimum expectation. One has to go into the uncertainties
and probabilities of various occurrences and provide solutions
for them in the best possible ways.

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 FACTORS IN RISK ASSESSMENT
✔ Many assumptions made in the design and detailing of the
project may all not be valid. Some risk factors may develop
if such assumptions are proved to be invalid.

✔ Natural disasters, which may not be anticipated in the

design, may cause a higher risk than provided for. Many
natural disasters cannot be anticipated, thus leading to
much higher risks.

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 FACTORS IN RISK ASSESSMENT
✔ A product should not be designed without anticipating
misuse or wrong use by consumers.

✔ Misuse or inappropriate use by literate consumers is also

common. Designers and manufacturers must anticipate
such misuse and abuse by consumers.

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 SAFETY & COST
✔ Designing for safety adds to the cost. Perception about safety and
cost needs to be clarified. Providing safe products is ethical and
mandatory. Manufacturer cannot compromise safety considering the
expenses involved in providing for it.
✔ As the safety of the product is not known beforehand, it can be
ascertained only during the testing stage. Proper testing as per
standard practice should be done even if it adds to the cost.
✔ We have to take into account the customer while designing the
product. In addition to proper documentation for the use of a
consumer, the product is so designed and help lines are provided so
that the consumer does not find it difficult to use.

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 PRODUCT SAFETY
✔ Warnings against possible misuse;
✔ Being aware of and meeting industry and mandatory standards;
✔ Developing product recall plans and procedures including effective
communication strategies to the public (e.g., advertisements in
papers);
✔ Incorporating safety into product design;
✔ Developing appropriate safety standards through product
improvement;
✔ Implementing a quality assurance program, which includes consumer
feedback; and responding quickly to safety concerns that arise

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 DESIGNING FOR SAFETY
✔ In the realization of a product, the point at which the question of
safety must be considered is the design stage. It is at this stage that
the product takes a physical form and many of the intricacies of the
practical aspects of the conceived product are seriously considered.
This involves product detailing, analysis and design, prediction or
assessment of possible risks, and incorporating safety features in
the product. In assessing the possible risks, the consumers of the
product need to be considered.

✔ Engineers are responsible for ensuring that the product is safe for
the consumer. Safety does cost more but will be worth it, and so
cost should not be a prime consideration at this stage.

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 PRODUCT COSTS

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PROBABILITY OF SAFETY AND RISK

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PROBABILITY OF SAFETY AND RISK

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 RISK-BENEFIT
ANALYSIS
✔ What can go wrong?
✔ What is the probability that it will go wrong?
✔ What are the consequences if it indeed goes wrong?
✔ What options are available to reduce risk?
✔ What is the organization’s trade-off in terms of all costs,
benefits, and risks?
✔ What is the highest acceptable risk and how can it be
incorporated in the design?

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 RISK MANAGEMENT
Risk management can be defined as the identification,
assessment, and prioritization of risks (which in turn can be
defined as the effect of uncertainty on project outcomes).
Risk management also involves systematic application of
all possible measures to monitor and reduce the probability
and impact of unfortunate events, and to put in place relief
measures in the quickest possible time.

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 DEALING WITH RISK
✔ Accepting some of the risks involved and providing for the
others. The risks accepted must be manageable risks, in case
there are liabilities arising out of them.
✔ Attempts can be made to reduce the negative impact of risks
by proper management of various aspects of production,
distribution, and consumer care.
✔ Complete avoidance of the risk may be a little costlier, but
may prove to be worthwhile.
✔ Another option may be to transfer the risks to a third party.

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PRINCIPLES OF RISK MANAGEMENT
✔ Create value;
✔ Be an integral part of organizational processes;
✔ Be a part of decision-making;
✔ Explicitly address uncertainty;
✔ Be systematic and structured:
✔ Be based on the best available information;
✔ Be tailored;
✔ Take into account human factors;
✔ Be transparent and inclusive;
✔ Be dynamic, iterative, and responsive to change; and
✔ Be capable of continual improvement and enhancement.

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 ISO - 31000
✔ Identifying risk in a selected domain of interest
✔ Planning the remainder of the process
✔ Mapping out the following:
Social scope of risk management
Identity and objectives of stakeholders
Basis upon which risks will be evaluated
✔ Defining a framework for the activity and an agenda for
identification
✔ Developing an analysis of risks involved in the process
✔ Mitigating or solving risks using available technological,
human, and organizational resources
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 STRATEGIES
✔ Avoid risks altogether (e.g., by closing down a particular
high-risk business area).
✔ Design a new business process with adequate built-in risk
control and containment measures from the start.
✔ Periodically re-assess risks that are accepted in ongoing
processes as a normal feature of business operations and modify
mitigation measures.
✔ Transfer risks to an external agency (e.g., an insurance
company).

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CASE STUDIES

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 CHALLENGER SHUTTLE DISASTER
✔ Space disaster – Happened on January 28, 1986
✔ Shuttle disintegrated 73 seconds after launch
✔ All seven crew members died.
✔ Main cause was a sealing ring which malfunctioned in cold
weather
✔ Roger commission made many recommendations regarding
space program.
✔ Negligence on the part of equipment suppliers and NASA
officials was found to be a major cause

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 THREE MILE ISLAND CASE
✔ Nuclear plant disaster at Pennsylvania on March 28, 1979.
✔ There were no casualties in the event
✔ Laxity on the part of equipment manufacturers and owners of
the plant
✔ Resulted in a serious relook at safety requirements of nuclear
power plants and frequency and scale of periodic inspections

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 BHOPAL GAS
✔ Happened on December 3, 1984 atTRAGEDY
Bhopal at the Union
Carbide India limited plant.
✔ Leak of methyl isocyanate gas from a storage tank; the
poisonous gas spread due to prevailing winds.
✔ Lack of proper design, not adhering to regulations, lack of
disaster preparedness.
✔ Death toll estimated at about 4000 but may be higher
✔ Many thousands suffered from various ailments.

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 UPHAAR CINEMA TRAGEDY
✔ Fire due to explosion in a transformer on June 13, 1997 at
Uphaar cinema, New Delhi
✔ 59 people lost their lives and more than 100 people seriously
injured
✔ Faulty design of exit signs, negligence on the part of the
owners, licensing authorities and power department officials
were found to be the major cause for the tragedy.

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 CHERNOBYL
✔ Nuclear disaster; happened on April 26, 1986 at Chernobyl
nuclear power plant in Ukraine
✔ 50 people lost their lives and many more died later and suffered
from various ailments
✔ Design faults in the reactor and components, Lack of operator
training, communication gaps and slow response system were
found to be the major causes for the accident

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FUKUSHIMA NUCLEAR POWER PLANT CASE

✔ Happened on March 11, 2011

✔ Cause – Tohoku undersea earthquake resulting in tsunami
✔ The earthquake intensity was higher than the design intensity
✔ Tsunami waves of 15 m height; sea wall height was only 5.7 m
✔ Negligence and lack of safety consciousness and preparedness

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Disaster Management

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 DISASTERS
✔ Natural disasters

✔ Man-made disasters

✔ Some natural disasters like floods and land slides can also be
due to human activities like deforestation
✔ Disasters cause havoc, the social cost in terms of lives lost and
property damage is very high
✔ Some natural disasters like epidemics can be the aftermath of
other natural disasters.
✔ Rehabilitation and recovery is long-drawn and costly

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 NATURAL DISASTERS
✔ Earthquakes – result of sudden burst of energy due to movement
of earth’s crust causing seismic waves.
✔ Volcanic eruptions – Dormant volcanoes erupt releasing hot
material like lave from within the earth causing extensive damage
✔ Tsunami – Due to undersea earthquakes causing strong and very
high sea waves
✔ Floods – Overflow of water in water bodies due to excessive rains
or breach of dams etc.

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 NATURAL DISASTERS
✔ Limnic Eruptions caused by release of carbon dioxide from deep lake water.

✔ Blizzards caused during winter due to heavy snow fall and powerful winds

✔ Cyclones & Tornadoes Generally coming from sea; violent and dangerous
rotating column of air causing extensive damage.
✔ Droughts cause by dryness in soil due to scanty rainfall

✔ Wild Fires cause extensive damage to flora and fauna

✔ Epidemic Outbreak of contractable disease; Epidemics can also be caused in

the aftermath of other disasters

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 MAN-MADE DISASTERS
✔ Hazardous materials
✔ Nuclear materials and waste
✔ Oil spills
✔ Chemical and biological materials
✔ Building and bridge collapse
✔ Severe traffic accidents
✔ Floods and landslides due to deforestation

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 PHASES
Mitigation is of two types. The first is before the disaster,
when it is possible to lessen the impact of any disaster using
proper designs. The second aspect of mitigation is after the
disaster has occurred when, by proper management of
resources and available facilities, we can reduce the impact,
thus saving lives and reducing damage to property.

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 PHASES
Preparedness - includes planning for any disaster,
forecasting likely disasters, keeping a disaster
management plan ready, training personnel and members
of the society to manage disasters, and having alternative
communication systems ready for coordination. Natural
disasters can be expected to damage vital links and these
must be provided for.

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 PHASES
Response - Once a disaster occurs, two types of actions will be
required. The first action is the response to emergency needs.
This will include limiting the impact of the disaster by
relocating people, providing food and shelter, preventing
diseases, and ensuring the establishment of vital links such as
communication, road, and rail networks. This phase of
disaster management is known as response. This is a vital
phase as this is when the management of disaster calls for
speedy and timely actions.

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 PHASES
Recovery - Recovery is the second phase of the response to
disaster. This, in many situations, is a long-term process.
Depending upon the disaster type, it may take months or
years to achieve recovery. This is the process of bringing the
area to its earlier state, which may not be fully attainable. In
the case of a nuclear disaster, for example, the danger from
exposure to radiations continues for a long period of time.
The process of bringing the neighborhood to its former state
would take a very long time and continuous monitoring of the
area would be required.

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 SAFE EXIT
✔ Safe exit is the provision for people to escape with minimum
damage when something untoward happens.
✔ Products are designed with low probability of failure, and, if at
all fails, the consequent damages are minimum and people have
an escape route.
✔ In the case of challenger & Uphaar cinema, safe exit was not
properly provided for.

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 ETHICAL ISSUES
✔ Public safety and welfare must be the prime concern of
professionals. These should not be compromised while
designing and manufacturing products and services.

✔ Loyalty to employers must not come in the way of a

professional resisting an attempt to compromise on safety for
the purpose of cutting costs or increasing profits. Many
engineers, like Roger Boisjoly, showed that they would not
hesitate to place their concerns on record in spite of being
employees of the erring company.

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 ETHICAL ISSUES
✔ The professional must use his/her right of whistle-blowing in
case he/she has to fight attempts to compromise on safety.

✔ Employers/Owners must also realize that compromising on

safety for short term gains will not help. The economic loss
coupled with loss of credibility, brand value, and market share
will be costlier in the long run in case something untoward
happens.

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 ETHICAL ISSUES
✔ Building safety measures in the beginning is cheaper and much
more sensible than correcting something later after a mishap
has occurred.

✔ Owners and employees are morally bound to keep public safety

in focus at all times.

✔ Engineers have to be sensitive to safety issues and all decisions

must ensure public safety.

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 SUMMARY
Safety is a very important aspect of engineering. Engineers
have to keep in mind the safety of the public, which should
hold a paramount position in all their dealings. Risk analysis
and risk management are essential to avoid risks that
endanger public lives. The many case studies described in the
chapter show a lack of concern among the people involved in
maintaining safety. Commercial consideration should not
overshadow safety aspects in any activity.

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 Professional Ethics, 2nd Edition

R. Subramanian

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Press 2017
 Chapter 6
Responsibilities &
Rights of Professionals

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 OBJECTIVES
✔ List and explain the rights and duties of a citizen
✔ Explain the significance of the Right to Information (RTI) and
Right to Education (RTE) Acts
✔ Explain the rights and responsibilities of a professional
✔ Explain the concept of whistle-blowing and the salient
features of the Indian legislation to protect whistle-blowers

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 FUNDAMENTAL DUTIES
✔ Abide by the Constitution and respect its ideals and
institutions, the national flag, and the national anthem;
✔ Cherish and follow the noble ideals which inspired our national
struggle for freedom;
✔ Uphold and protect the sovereignty, unity, and integrity of
India;
✔ Defend the country and render national service when called
upon to do so;
✔ Promote harmony and the spirit of common brotherhood
amongst all the people of India transcending religious,
linguistic, and regional or sectional diversities; to renounce
practices derogatory to the dignity of women;
✔ Value and preserve the rich heritage of our composite culture;

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 FUNDAMENTAL DUTIES
✔ Protect and improve the natural environment including forests,
lakes, rivers, and wildlife and to have compassion for living
creatures;
✔ Develop the scientific temper, humanism, and the spirit of
inquiry and reform;
✔ Safeguard public property and to abjure violence; and
✔ Strive towards excellence in all spheres of individual and
collective activity so that the nation constantly rises to higher
levels of endeavor & achievement.

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 RIGHTS
Right to Equality
✔ Equality before law
✔ Social equity and access to public areas
✔ Equality in public employment
✔ Protection of civil rights
✔ Abolition of titles

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 RIGHTS
✔ Citizens have freedom of speech and expression and can
participate in public activities.
✔ Individuals have the freedom to assemble for many purposes,
but without arms and without hampering public order.
✔ Citizens have freedom to form associations and unions.
✔ Citizens have freedom of movement throughout the territory
of the country.
✔ Individuals have freedom to reside and settle in any part of the
country. However, there are restrictions in the case of Jammu
and Kashmir.
✔ Citizens have freedom to practice any profession or trade and
business.

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 RIGHTS
✔ Right to life and personal liberty
✔ Right against exploitation
✔ Right to freedom of religion
✔ Cultural and educational rights
✔ Right to constitutional remedies
✔ Right to property

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 RIGHT TO INFORMATION
✔ The right to information act was passed in 2005
✔ A practical regime to enforce the right of citizens to
information
✔ Under the Act, citizens may request any information as
defined and permitted under the rules; inspect and study
documents and records; get copies of documents; obtain
certified copies of documents; and request for soft copies of
information.

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 RIGHT TO INFORMATION
The entities covered under the Act include
✔ All constitutional authorities covering the executive,
legislature, and judiciary;
✔ All institutions established by an Act of the Parliament or the
state legislature;
✔ Organizations owned, controlled, or substantially financed by
the government; &
✔ Non-governmental organizations substantially financed
directly or indirectly with funds provided by the government.

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 RIGHT TO EDUCATION

✔ The right to education act called ‘The children’s right to free

and compulsory education act’ came into force from April 1,
2010

✔ The National Commission for Protection of Children’s rights

will be established to monitor the implementation of the act

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 RIGHT TO EDUCATION

✔ The states have to make provision for education of children between

the age of 6 and 14. It is the fundamental right of children in this age
group to have free education. The child need not pay for the education
and will be provided all materials including books, study materials,
uniforms, etc.
✔ The children can go to a school and demand the right to education at
any time during the academic year.
✔ To ensure quality of education, strict rules will be enforced for the
qualification of teachers. Teacher–student ratio of 1:30 needs to be
maintained and has to be achieved within a specified time frame.

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 RIGHT TO EDUCATION
✔ The minimum resources—physical, human, and
informational—have to be maintained. These include buildings,
playground, qualified teachers, adequate number of classrooms,
and other infrastructure like libraries have to be provided in the
schools. The government will evolve suitable norms and strategies
to provide assistance to the needy schools to meet the provisions of
the RTE Act.

✔ Private schools receiving no grant from the government shall

ensure that there is no discrimination against children from the
weaker sections. There shall not be any segregation of such children
from other children and all children should be provided the same
level of education at the same time.

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 RIGHT TO EDUCATION
✔ The concept of neighborhood schools will be implemented at the primary
level. This stipulates that a child have educational facilities within walking
distance of not more than 1 km from home. For middle schools from class VI
to VIII, the schools shall be within a distance of 3 km.
✔ The onus of enrolling and ensuring the attendance of children rests with the
state. A child cannot be denied education for want of documents or time limit
for admission. No test for admission is permissible at this level of education.
✔ Private schools are expected to keep 25 per cent seats reserved for
disadvantaged children. They will be reimbursed costs by the government as
per costs in government schools.
✔ Schools will have three years’ time to meet the norms and standards
prescribed. Private schools shall have to apply for recognition failing which
they will have to pay penalties.
✔ NCPCR is mandated to monitor the implementation of the Act.

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 Professional
Responsibilities

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SELF- EMPLOYED PROFESSIONALS
✔ There is no contractual agreement or other forms of binding except
his/her professional conscience.
✔ One has to find his/her own way and take decisions on the correct
course of action independently.
✔ The basic professional responsibility of public safety and welfare
does not change. One has to keep that in focus all the time.
✔ One’s duty to the profession does not change. He/She has to be
committed to the profession and promote the image of the
profession and credibility of the professionals.
✔ The professional has to create his/her own norms and standards for
professional conduct and follow them scrupulously. He/She also has
to ensure that such norms stand the scrutiny by any professional
society.

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 EMPLOYED PROFESSIONAL
Collegiality
✔ Appreciation of professional expertise
✔ Commitment to profession
✔ Shared vision

Common Goals of Professionals

✔ Promote ethical practices in the profession
✔ Work towards advancement of profession
✔ Promote common professional cause

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 EMPLOYED PROFESSIONAL
LOYALTY
✔ Loyalty means being faithful or committed to
something
✔ Loyalty to public good is foremost
✔ Loyalty to the profession
✔ Loyalty to the employer
✔ These loyalties may come into conflict at times

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 EMPLOYED PROFESSIONAL

✔ Organizational loyalty is the result of contractual obligations.

✔ Identity loyalty is due to reasons beyond contractual
obligations; your emotional attachment to the organization
and the group of people you are working with.
✔ Both loyalties will make one perform; but identity loyalty
makes one do better due to emotional attachment; such
employees will be asset to organizations

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 EMPLOYED PROFESSIONAL
Misplaced Loyalty
✔ Loyalty to the organization should not come in the way of
professional or public cause.
✔ Balancing the different loyalties can sometimes become
tricky.
✔ Professional need to keep public good and professional
integrity above organizational loyalty.

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 EMPLOYED PROFESSIONAL
Confidentiality
✔ As employee, professional gets a lot of information; some
such information may have to be kept confidential.
✔ The professional has to decide about which information has to
be kept confidential.
✔ Contractual obligations and moral considerations makes it
mandatory for the professional to keep a lot of information
confidential

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 EMPLOYED PROFESSIONAL
Confidentiality
✔ In the case of organizations, they have the right to keep some
information confidential. This is required to survive in a
competitive environment.
✔ Confidentiality of information is also essential and an absolute
need in some cases. A medical professional is given private
information by a patient with the tacit understanding that the
information so provided will be kept confidential. This is
accepted as a mandatory requirement of confidentiality
worldwide.
✔ Employees are bound by contractual obligations about
confidentiality, either explicitly mentioned or otherwise. Some
employers may include this as a part of the contract for
employment.

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 EMPLOYED PROFESSIONAL
Confidentiality
✔ When an employee changes jobs, he has the moral
obligations to keep the information from the previous
employer confidential.
✔ As per ethical theories as well, confidentiality can be
justified as the employer has a right to keep information
confidential for business growth.
✔ Confidentiality is not absolute; Information can shared if it
is in the interest of public good.

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 EMPLOYED PROFESSIONAL
Respect for Authority
✔ Authority is the organization or the superior
✔ Authority can be positional
✔ Authority due to expertise is more valued
✔ When you are employed in an organization, you are bound
by the rules, regulations, traditions, organizational
structure, etc., of the organization.
✔ You are bound to obey orders issued to you and perform
the duties assigned. You have to report the results or
difficulties to your superiors.

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 EMPLOYED PROFESSIONAL
Respect for Authority
✔ You have to respect both the authority of individuals and
the channels of communications laid down for you to
communicate vertically and laterally.
✔ All this binding applies as long as the orders do not
command you to do something unethical or against your
best professional judgment. Respect for authority is, thus,
not absolute and may not cover all situations.
✔ In ordinary situations, you may receive an order and act
accordingly. You may or may not make an independent
judgment of what that order means and whether it is
ethical or not. Most of the times you may not even
consider how ethical a situation is.

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 EMPLOYED PROFESSIONAL
Respect for Authority
✔ If there is a conflict between organizational requirement
and what you consider as ethical to do, then you have to
go by your most fundamental obligation of public safety.
You must have the right to show your dissent, vent your
objections, and defy the authority if required.

✔ Public safety and welfare is a prime concern for a

professional and institutional authority should not come in
the way of you ensuring this main obligation.

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 EMPLOYED PROFESSIONAL
Accountability

✔ Just as you enjoy freedom of working, you must give the required
freedom for your team members to function.
✔ You must encourage participative functioning and instill confidence in
your team members so that they are able to express themselves fully
and showcase their talents.
✔ You must lead by example by putting in hard and exemplary work to
achieve the desired results.
✔ You must lead, inspire, and influence the team by your own actions.
✔ You must take responsibility for all decisions taken and encourage the
team members to strive better, in case the results are inadequate.
✔ You must feel accountable for your own actions and the actions of
your team.

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 PRIDE OF PROFESSION
✔ You have to be committed to the profession.
✔ This sense of commitment will enable you to work in a better
way and achieve the objectives of the profession, the most
important of which is public good.
✔ You will be able to contribute to the development of the
profession if you have this kind of commitment.
✔ The pride of the profession will give you the moral strength to
fight against acts that discredit the profession.
✔ This sense of commitment will also enable you to be a useful
member of the professional body, contribute to the
professional development, and bring a better image to the
profession.

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 PRIDE OF EMPLOYER
✔ Develop a sense of belonging to the organization he/she is
working for;
✔ Be proud of the employer;
✔ Contribute effectively to the development of the organization;
✔ Be ready to do things beyond his/her assigned duties;
✔ Always be ready and eager to take up challenging assignments;
and
✔ Assert his/her rights and show dissent whenever his/her
professional judgment is disregarded.

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 PRIDE OF EMPLOYER
MANAGEMENT’S ROLE
✔ It should provide adequate compensation to the employees.
✔ It should recognize their rights and respect them.
✔ It should recognize their professional competence and give due
weightage to their views.
✔ It should have adequate channels of communication for
interactions.
✔ It should not create an environment of autocratic functioning.
People may work in such an environment but will not contribute
wholeheartedly. This will not develop a pride of the employer or a
sense of belonging.
✔ It should recognize a job done well and reward such work, not
necessarily monetarily.
✔ It should create a social environment for the employees and
nurture their talents even in other fields.

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 CONFLICT OF INTEREST
✔ Your good professional judgment may be affected because
you have a personal interest in the issue and your sound and
unbiased professional judgment is important for the company
you are working for.
✔ A professional should avoid situations where conflict of
interest arises.
✔ The prime criteria will be whether your professional judgment
is affected because of such interest.

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 GIFTS & BRIBES
✔ These terms are used to indicate a wide range of things from a harmless small
gift to bribery. In between is a grey area that is difficult to judge.
✔ A professional should not act against his/her professional conscience or
judgment.
✔ He/She should avoid situations that have the potential to force him/her to act
against his/her judgment.
✔ He/She should not accept any material gift of any value from someone or
some agency if he/she has to make a business decision involving that person
or agency
✔ No guidelines can be laid down to clearly indicate the distinction between a
harmless gift and a bribe. A bribe, essentially has an ulterior motive and is
given with an expectation of return for the material or service given. A
professional has to develop his/her own yardstick to decide on an acceptable
form of gift in a given context.

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 GIFTS & BRIBES
✔ It is not possible to place a value on a gift as small or not. A
professional has to decide this based on the context and his/her
conscience.
✔ A professional should completely avoid accepting any
consideration, however small it may be, given with an intent to
bribe and ask for favors.
✔ It is not the fear of being caught, implicated, or
✔ fined that should prevent the professional from such actions. It
is a fact that such acts are against his/her professional
conscience and judgment, which should be the deciding factor.

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 COLLECTIVE BARGAINING
✔ Professionals are generally well-paid employees, compared to
other work force.
✔ They occupy higher positions in the hierarchy of an
organization.
✔ They have a high level of professional and ethical conscience.
✔ They have loyalty to employers and a commitment to work for
their employers.
✔ They are more conscious of their duty to the society and public
safety.

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 OCCUPATIONAL CRIMES
The following situations come under this
✔ takes the opportunity of using official information for personal
gains;
✔ has knowledge that he/she provides to friends or relatives for
making profits;
✔ uses such information and sells that information to others for
making profits and financial or other gains for oneself;
✔ sells classified information for pecuniary benefits; and
✔ performs some illegal acts for making profits.

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 OTHER RESPONSIBILITIES
Avoid
✔ Industrial espionage like selling industrial secrets for
pecuniary gains
✔ Tender manipulation through cartel – when bidders form a
cartel to manipulate prices
✔ Endangering lives – Workers being put into situations that
is hazardous to their health
✔ Insider trading

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PROFESSIONAL RIGHTS
 PROFESSIONAL RIGHTS
RIGHTS AS AN EMPLOYEE
✔ You have a right to get a compensation package commensurate
with your qualifications, experience, and skills, as per industry
norms or standards. You have a right to get a compensation
package commensurate with your qualifications, experience,
and skills, as per industry norms or standards.

✔ You have a right not to be discriminated against in the course of

your career, starting from recruitment to promotions and other
employee benefits.

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 PROFESSIONAL RIGHTS
RIGHTS AS AN EMPLOYEE
✔ You also have rights conferred on you by the employment
contract like benefits that you may demand such as paid
leave and travel allowances.

✔ You have the right to pursue some outside activities that do

not interfere with your work such as a hobby or other
interests.

✔ You have a right to be a member of an organization of

employees for collective bargaining for getting their just
rights.

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 PROFESSIONAL RIGHTS
RIGHTS OF PROFESSIONALS
✔ You have the right to pursue your profession in a free and fair
manner by freely expressing your professional judgment.
✔ You have the right to perform your professional duties according
to your best professional judgment, without being coerced into
decisions.
✔ You have the right of refusal, that is, the right to refuse to do
anything that is unprofessional or unethical.
✔ Within the bounds of confidentiality, you have the right to talk
freely about professional matters.
✔ You have the right to pursue your professional interests, such as
higher studies or research, without hampering your contractual
obligations.

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 PROFESSIONAL RIGHTS
RIGHTS OF PROFESSIONALS
✔ You have the right to be a member of professional
organizations that promote the profession and take
active part in activities related to the profession.
✔ You have the right to engage in activities that uphold
your professional responsibility of public safety and
welfare despite your loyalty to your employers.
✔ You have the right for recognition of your professional
services, including adequate remuneration and other
rewards.
✔ You have the right to go public with unethical acts
(whistle-blowing).
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 WHISTLE BLOWING
DEFINITION
‘Disclosure of information about unethical acts in an
organization to an authority within or outside the organization
that is capable of taking steps to prevent such actions or
punish those doing such acts with the motive of ensuring
public safety or upholding morality.’
The whistle blower need not necessarily be an employee

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 WHISTLE BLOWING
Employee as Whistle Blower

✔ As an employee you have to first explore the normal channels available to

you to prevent any unethical act. It is only when you find that such efforts do
not result in any action, that you have the moral right to violate the normal
channels of communication within the organization.

✔ Your loyalty (which is considered a responsibility) comes in the way of your

communication. So the matter that you choose to disclose must be serious
enough to bypass this responsibility. You have to seriously consider and
weigh your options and only when you are satisfied that the matter is
considerably important for public safety or morality within the organization
that you must choose to blow the whistle.

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 WHISTLE BLOWING
EMPLOYEE AS WHISTLE BLOWER
✔ For an employee, the fear and danger of victimization looms
large in the event of whistle-blowing. Your immediate superiors
and even the management may victimize you directly or
indirectly. You may be sidelined, stripped of your perks and
benefits, and even denied promotion. You thus, take a risk when
you decide to disclose information on some unethical act or
corrupt practices.

✔ The concept of whistle-blowing can also be misused by

disgruntled employees to harass the management and go public
with trivial or false information.

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WHISTLE BLOWERS PROTECTION ACT
KEY FEATURES
✔ It will protect the whistle-blowers from any discrimination or
victimization in their workplace.
✔ t provides for concealing the identity of a citizen who discloses
information about the misuse of power and money. Those who
reveal the identity of the whistleblower will be held liable and
penalized by the CVC.
✔ The offenders will be liable for imprisonment up to 3 years and a
fine up to `50,000.
✔ There will be penalization in case of delays in response, under the
RTI Act. A fi ne of `250 will be imposed for every day of delay
beyond the set deadline.
✔ There will be a penalization of officials who try to mislead the
CVC.

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WHISTLE BLOWERS PROTECTION ACT
KEY FEATURES
✔ The bill provides for addressing complaints against public
sector employees and employees of the central and the state
governments.
✔ The bill also ensures the honest government officials are not
harassed in any way but those individuals who fi le false
complaints and charges will be liable for imprisonment up to 2
years and fine up to `30, 000. The public interest disclosure as
defined in the bill includes the following:
✔ Any public servant or any other person including a
non-governmental organization (NGO) may make a public
interest disclosure to a competent authority (defined as the
Central or State Vigilance Commission).

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WHISTLE BLOWERS PROTECTION ACT
KEY FEATURES
✔ Disclosure is defined as any complaint made in writing or electronic mail
against a public servant on matters related to
✔ (a) Attempt to or commission of an offence under the Prevention of
Corruption Act 1988;
✔ (b) Willful misuse of power that leads to demonstrable loss to the
government or gain to the public servant; or
✔ (c) Attempt or commission of a criminal offence by a public servant.
✔ A public servant is any person who is an employee of the central government
or the state government or any company or society owned or controlled by
the central or state government. However, no public interest disclosure shall
be accepted against defense, police, and intelligence personnel.
✔ Each disclosure shall be accompanied by full particulars and supporting
documents. The vigilance commission shall not entertain anonymous
complaints.

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 DISCRIMINATION

✔ Discrimination is considerations other than merit in

recruitment, promotion etc. This goes against the concept of
equality.
✔ Job discrimination is the most common as in recruitment
✔ Gender discrimination is bias against women in all walks of life
✔ Cultural discrimination is based on language, religion, caste etc.

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 SUMMARY
✔ Professionals have responsibilities and rights similar to other
citizens. They should know their responsibilities as enshrined in the
constitution and also must be aware of their rights. Being fully
aware of one’s rights and responsibilities is very necessary to
become a conscious and responsible citizen. In addition,
professionals have responsibilities and rights related to the
profession they are in. Collegiality, loyalty, confidentiality, pride of
the employer, pride of the profession, avoiding conflict of interests,
etc., are some key responsibilities.

✔ There is a thin line separating gifts and bribes. A good professional

judgment is required to deal with various situations. The rights of
professionals include forming associations, collective bargaining,
and whistle-blowing.

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 Professional Ethics, 2nd Edition

R. Subramanian

© All rights reserved. Oxford University

Press 2017
 Chapter 7

Global Issues

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 OBJECTIVES
✔ List the major ethical issues arising out of globalization
✔ Explain ethical issues in business, environment, media, information
technology, warfare, and life sciences
✔ List and explain the ethical issues related to research
✔ Explain the concept and major dimensions of intellectual property
rights
✔ List the major ethical issues arising out of globalization
✔ Explain ethical issues in business, environment, media, information
technology, warfare, and life sciences
✔ List and explain the ethical issues related to research
✔ Explain the concept and major dimensions of intellectual property
rights

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 RECENT DEVELOPMENTS
✔ Technology Revolution – Communication technologies, information
technology, nano technology etc.
✔ Globalization – Living in a global village; global economy; no insulated
economies.
✔ Outsourcing – Outsourcing of various types of tasks; India is a leading
player in this area.
✔ International Trade agreements – WTO; GATT & IPR.
✔ World summits – Many world summits to discuss international issues.

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 ISSUES
✔ The impact of globalization, privatization, and economic interdependence
are evident today. We live in a global village and there is no escape from
that fact. We have to prepare ourselves to live a life in a globalized
economy.
✔ People work not only for Indian companies but also for many multinational
corporations. The work ethics and skill sets required have to be suitably
matched.
✔ Work culture is undergoing major changes in that one may work from home
and need not be physically present in his/her office at all. Professional
integrity will play a major part in such cases.
✔ Professionals work in many countries and have to contend with the local
political environment in their dealings. Great tact and business acumen are
needed to work ethically in such situations.
✔ While working in other countries, one has to take care of the sociocultural
aspects of the population one is working with.
✔ Ethical conduct, rules, and conventions may differ from country to country.
✔ Professionals have to consider this while performing their duties in other
countries.

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BUSINESS ETHICS
 CORPORATE GOVERNANCE
✔ Gross misconception that business and ethics are poles apart.
✔ Corporate governance to be based on ethical policies for good, successful
business
✔ Companies having good business practices and strong ethical policies do
well by gaining investor confidence.

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 ISSUES
✔ All business practices must be based on corporate social
responsibility. Doing business and making profit are not the only
important objectives. Corporate bodies must be aware of their
responsibilities to the society.

✔ Every corporate entity should formulate an ethical policy for its

own functions and those of its employees, covering various issues
related to its business and social responsibility. This must be
known to all the clients and stakeholders.

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 ISSUES
✔ Corporate governance must stand scrutiny in terms of
transparency in its dealings, business policies, plans, and
actions.
✔ Communication mechanisms must be present for lateral,
top-down, and bottom-up communication to ensure
transparent functioning. This goes well with integrity of business
practices and extracting unbiased loyalty from employees.
✔ The business must ensure equity and justice to all stakeholders.
This will enhance credibility of corporate governing boards and
managements.

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 FINANCE & ACCOUNTING
✔ There are well laid-out norms for accounting practices.
Businesses must follow such practices scrupulously.
✔ Transparency in accounting is important. No attempt must be
made to manipulate accounts to hide the financial health of the
company.
✔ There are well laid-out norms for reporting
✔ financial aspects of a company. These must be scrupulously
followed and reported to stakeholders during the annual
general meeting (AGM).

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 FINANCE & ACCOUNTING
✔ There should be no dealings that cannot be reported in the
accounts or reported in a different way in the accounts. All
expenses must be legitimate and promotional expenses
must be shown as such without recourse to fudging of
accounts.

✔ Financial audit is like a watchdog for the financial practices

of a company. This is a great social responsibility as well, as
it informs the stakeholders of the true financial health of a
company.

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CORPORATE SOCIAL
RESPONSIBILITY
CORPORATE SOCIAL RESPONSIBILITY
Views About CSR

✔ CSR is an inherent responsibility of business and in fact makes

good business sense. Businesses take from the society and create
wealth, jobs, and prosperity, and so they have an equal
responsibility to see that the society as a whole prospers.
✔ Doing good and ethical business itself is CSR. Business results in
wealth creation, it provides jobs, caters to the needs of people in
the society, and makes their life easier. If these are done in an
ethical way following the rules and regulations stipulated by the
society or the government, this in itself is the shouldering of social
responsibility by business.
✔ Focusing on CSR distracts businesses from the main economic
goals of business.

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CORPORATE SOCIAL RESPONSIBILITY
Definitions
✔ ‘It refers to the obligations of businessmen to pursue those policies, to make those
decisions, or to follow those lines of action which are desirable in terms of the objectives
and values of our society.’ (H.R. Bowen 1953)
✔ ‘The idea of social responsibilities supposes that the corporation has not only economic
and legal obligations but also certain responsibilities to society which extend beyond
these obligations.’ (McGuire 1963)
✔ ‘Social responsibility, therefore, refers to a person’s obligation to consider the effects of
his decisions and actions on the whole social system. Businessmen apply social
responsibility when they consider the needs and interest of others who may be affected
by business actions. In so doing, they look beyond their firm’s narrow economic and
technical interests.’ (Davis and Blomstrom 1966)
✔ CSR is the moral obligation of the corporate entity, while doing ethical business with
excellent business acumen to achieve the goals of business in terms of economic gains,
technical excellence, and strategies, to look beyond the bottom line and share its
prosperity with the society at large for its own good.

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 CONCEPT OF CSR
✔ Earlier, CSR was considered philanthropy
✔ Later as broader commitment to all stake holders including
community.
✔ CSR reports now cover a variety of issues such as governance,
ethics, worker welfare, purchase and supply chain management,
energy audit and environmental impact.
✔ CSR is no longer a ‘may do’ option.
✔ Sustainability has been defined as “‘meeting the needs of the
present generation without compromising the ability of the
future generation to meet their needs.’
✔ CSR is one strategy for sustainability of business.

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 ISO & CSR
ISO 26000 – Guidance on Social Responsibility
According to the standard, the perception and reality of an organization’s
performance on social responsibility can influence, among other things, the
following:

✔ Competitive advantage
✔ Reputation
✔ Ability to attract and retain workers or members, customers, clients, or users
✔ Maintenance of employees’ morale, commitment, and productivity
✔ View of investors, owners, donors, sponsors, and the financial community
✔ Relationship with companies, governments, the media, suppliers, peers,
customers, and the community in which it operates.

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 ISO 26000
ISO 26000 provides guidance for all types of organizations, regardless
of their size or location, on

Concepts, terms, and definitions related to social responsibility

Background, trends, and characteristics of social responsibility
Principles and practices relating to social responsibility
Core subjects and issues of social responsibility
Integrating, implementing, and promoting socially responsible
behavior throughout the organization and through its policies and
practices, within its sphere of influence
Identifying and engaging with stakeholders
Communicating commitments, performance, and other information
related to social responsibility.

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ENVIRONMENTAL
ETHICS
 MAJOR ISSUES
✔ Conservation of biodiversity in the biosphere
✔ Energy conservation including nuclear energy
✔ Global climate changes
✔ Overpopulation and destruction of forests or animal habitats
✔ Exponentially increasing depletion of natural resources
✔ Genetic engineering, cloning, genetically modified foods
✔ Waste disposal and e-waste
✔ Intensive farming and overuse of pesticides
✔ Ozone depletion

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 ENVIRONMENT
✔ Environmental ethics is ‘the discipline that studies the moral
relationships of human beings to, and also the values and moral
status of, the environment and its non-human contents’.
✔ Unique nature of planet earth
✔ Biosphere and biodiversity
✔ A major ethical problem concerned with the environment is the
concept that human beings are the only life forms having a right
to live and prosper and other elements, living or otherwise, are
for them to exploit and use for their own well-being.
✔ Challenging this philosophy is the genesis for environmental
ethics as a discipline.

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 CHALLENGES
✔ Anthropocentrism
✔ Sustainable development
✔ Ecosystem
✔ Food chain and food web
✔ Biodiversity
✔ Climate changes
✔ Greenhouse effect
✔ Global warming

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 CHALLENGES
✔ Energy Crisis
✔ Ozone Depletion
✔ Pollution – Land, Air & Water
✔ Excessive use of natural resources
✔ Excessive use of chemical fertilizers
✔ Developmental initiatives that are not sustainable

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 ETHICAL ISSUES
✔ Should we do away with the paradigm of human-centred development
and consider that all life forms have intrinsic value? What specific
actions are required to show that we have indeed changed our view?
✔ What should be the responsibilities of the developed world, which is
considered to be the main cause of the present environmental crisis, to
develop, adopt, and transfer environment-friendly technologies to the
poor, developing societies?
✔ There are a plethora of conventions and agreements on various aspects
of the environment. Is there an efficient mechanism to monitor
unethical actions by member countries?
✔ What about the view that nature will take care and balance things by
itself? Is environmental crisis a myth?
✔ How can countries, corporate entities, and individuals contribute to
mitigate the crisis we face today?

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COMPUTER ETHICS
 COMPUTER ETHICS
✔ Computers have become ubiquitous tools immensely
benefitting humanity.
✔ Developments in information technology has brought the
world closer.
✔ Computers are very useful tools but also have raised many
ethical issues.
✔ Internet, a network of computers worldwide has become a
very powerful tool.
✔ Computers are used to act like media, communicate,
entertain, educate and interact.

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 COMPUTER ETHICS
✔ Manufacturing & Marketing
✔ Software Development
✔ Cybercrimes
✔ Unsolicited mails and promotional materials
✔ Illegal Hacking
✔ Data Stealing
✔ Invading Privacy
✔ Hacking computers in vehicles and home security systems

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 ETHICAL ISSUES
✔ Use of computers for invasion of privacy.
✔ Large number crunching machines used to snoop on a large
scale on people and other systems.
✔ Hacking to steal credit cards.
✔ Hacking for embezzlement.
✔ Sensitive information being extracted from computer
systems.
✔ As many systems get automated, real danger of harm to
people and security apparatus from hackers.

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MEDIA ETHICS
 ROLES OF MEDIA
✔ Information Role – inform people of happening around them
locally and globally
✔ Entertainment Role – Many types of media like television and
films play this role
✔ Education Role – Properly used, all types of media can educate
people about a variety of things
✔ Analysis Role – Embedded in the first role of media is the power
to analyze situations in unbiased manner and enlighten people
about any event

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 ASPECTS OF MEDIA
Positive Aspects
✔ Media forms the fourth estate and true pillar of democracy.
✔ Power to influence people and initiate right thinking and social
actions.
✔ Act as opinion maker, bring out injustice and awaken authorities to
take action.

Negative Aspects
✔ Biased and dishonest reporting.
✔ Paparazzi and tabloids invading privacy of celebrities
✔ Reporting military secrets and information not in public interest

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CLASIFICATION OF MEDIA

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 MEDIA FUNCTIONING
✔ Media plays important roles in a democracy
✔ Freedom of press
✔ Freedom from disclosing information
✔ Accountability of media
✔ Strong self-regulatory mechanisms
✔ Code of ethics for media and personnel
✔ Media’s role as a watch dog to be promoted

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 MEDIA ETHICS
Ethics in Journalism
✔ Respect the privacy of individuals. Any invasion of privacy by sting operations,
recordings of conversations, etc., must be avoided, except where they are
needed in public interest.
✔ Avoid recording interviews and phone conversations.
✔ Avoid sensationalizing news.
✔ Avoid giving gory and gruesome details and pictures of disturbing news.
✔ With a view to being the first and exclusive, do not publish unauthenticated
news.
✔ Avoid publishing suggestive guilt.
✔ Respect the right to reply of individuals.
✔ Avoid glorifying violence and social evils.
✔ Do not publish advertisements that malign or hurt religious sentiments.

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 MEDIA ETHICS
✔ As the media grew in terms of numbers, reach, types, and power, the
business had to employ a large number of people to run the show. With
the number of journalists and other people involved, there is a greater
probability of some bad elements getting into this field.

✔ Today, the media is big business and a huge investment is required to

run a newspaper publishing house or a television channel. Non-print
mass media used to be the monopoly of the government in earlier
times. Nowadays, many private corporations are in the business and
many of them are really huge entities. The competition is very high and
in order to make profits and to remain in the business, unscrupulous
practices by the ownership firms are bound to creep in.

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 ADVERTISING ETHICS
✔ Advertising should be truthful and reflect the true character
and features of the item being advertised.
✔ It should be impartial, that is, it should not highlight only the
favorable features and hide facts that show the product in
poor light.
✔ Advertising should not be against social norms and pubic
decency, hurting the sensitivity of people.
✔ Advertisements should not hurt the religious sentiments of
people.
✔ Advertisements should not incite people to violence or cause
public disorder, etc.

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WAR ETHICS
 WAR
✔ Wars can never be justified
✔ Wars only bring harm to humanity
✔ Wars are just fought to increase jurisdiction or power over people
✔ Wars cause immense harm to civilian population and completely ravaging
the country
✔ In present day times, a war will leave no winner.

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 JUST WAR
✔ Just Cause A war should be fought with only a just and pious objective. This could be to
avoid immense harm or great tragedy to some group. Wars can be waged only to avert
some great peril, aggression, or massive violation of rights of people.
✔ Right Intention The objective of the war must be correct with respect to intention. It
must be to help people and only for that purpose, and not to grab land or subjugate
people of another country.
✔ Last Resort The country going to war must convince itself and others that all other
options have been exhausted before the decision to wage war was arrived at. Waging a
war must be the last option after all other available options have been sincerely and
seriously tried.
✔ Legitimate Authority Only a legitimate authority can fight war. In the present
circumstance, the United Nations Security Council resolution can be sought to
legitimize the war effort.
✔ Comparative Justice In a war situation, there is most probably a justify able cause on
both sides to fight the war. Comparative justice would mean that there must be a
considerably higher justification on one side for that country to wage war against the
other.
✔ Probability of Success The probability of success must be high, otherwise waging a
war will not achieve the purpose and there will be immense harm to innocent people.

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 MODERN WARFARE
✔ The world spends trillions of dollars to develop and make
lethal weapons.
✔ Millions of dollars are spent in research to develop more and
more fatal weapons.
✔ Modern warfare may use many unethical weapons like
chemical and biological weapons and nuclear war heads.
✔ The technology is very dangerous if it falls into wrong hands as
in the case of terrorists.
✔ Terrorism in its various forms is taking away a lot of resources
which otherwise could had fed millions of starving people.

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 ETHICAL ISSUES
✔ Is war ethical, is the first question that comes to our mind. If at all a
war is waged, can we fight it ethically?
✔ If you are a research scientist working in a laboratory that has a
project on developing chemical or biological weapons, what is your
moral responsibility in case of a war that kills thousands with the
same weapon that you helped to develop?
✔ If you were part of a project that developed cluster bombs that killed
thousands of innocent people, where do you stand ethically?
✔ You are a weapons engineer specialized in developing delivery
systems for missiles. You have published many papers that have
brought you laurels for your expertise. The missiles when delivered
can destroy all life forms in an area. Where do you morally stand?
✔ As an electronics engineer, you have the responsibility to develop
systems to spy into other communications and jam communication
systems. What is your judgment on the morality of your actions?

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BIO ETHICS
 BIOETHICS
✔ Bioethics deals with ethical issues in medicine and biology.
✔ Bioethics is defined as the philosophical study of ethical
questions arising out of developments in biology and medicine.
More specifically, it studies ethical arising out of the relationship
among life sciences, medicine, law, politics and religion.
✔ Bioethics covers a wide range of areas such as abortion,
euthanasia, surrogacy, genetic engineering, suicide, cloning,
and health-care issues.

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 MAJOR ISSUES
✔ Abortion - Abortion, also called medical termination of
pregnancy, is ending the life of a fetus before birth.
✔ Euthanasia - Euthanasia or mercy killing is the termination of life
for a variety of reasons.
✔ Surrogacy - Surrogacy, meaning substitute, is a term used to
refer to the concept of someone substituting for the mother and
taking the burden of pregnancy and delivery.
✔ Cloning - Cloning is a very complex process. In simple terms,
cloning is biological photocopying.
✔ Genetics - Genetics or genetic engineering deals with genes, their
transplantation and creation of new life forms, and crossing
species boundaries.

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 ABORTION
✔ Does one have the right to take the life of a child?
✔ Can abortion be ethical? What mitigating circumstances can
make this practice legal?
✔ How does one deal with this menace? Is the law a sufficient
deterrent?
✔ Which is more desirable, legal protection for the child or a
mass movement to educate the parents?

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 EUTHANASIA
✔ Can the quality of life be a sufficient reason to allow a person
or his/her relatives to end his/her life?
✔ Can suffering from pain eternally be a reason for allowing
mercy killing?
✔ What mitigating circumstances should be there to allow a
person to end his/her life?
✔ To what extent should the quality of life deteriorate for one to
decide that life is not worth living?

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 SURROGACY
✔ There are genuine cases where the biological parents are not able to
conceive and bear a child. However, as in many other cases, there is
the exploitation of poverty among people in poor countries who take
to surrogate motherhood for very meager fees. There is also the
question of middlemen who earn a lot of money in the process.
✔ The relation between the surrogate mother and the child who will be
brought up by the biological parents needs to be considered, both on
legal aspects, and social and emotional considerations.
✔ Surrogate motherhood as a contract between the biological parents
and the surrogate mother needs legal protection for both the parties.
It should not lead to claims and counterclaims at a later stage.
✔ The child’s feelings towards the parents and to the surrogate mother
could be a tricky issue in some cases.

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 CLONING
✔ Are we playing God when we use cloning to reproduce humans? If
such an objection arises about this process, what about similar
reproductive procedures such as hormone treatments and in vitro
fertilization (IVF)? Should they also be banned?
✔ When we use an embryo to obtain stem cells, thereby destroying it,
are we violating the rights of a human being? Does an embryo at any
stage have the same rights as human beings?
✔ The many procedures developed to help infertile couples have
children have been in use for many years. Are they ethical? Is cloning
one such procedure?
✔ In the future, it is possible that humans will be cloned successfully.
What are a cloned being’s rights vis-à-vis the original human being
from whom he/ she was cloned?

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 CLONING
✔ Do we have the right to take organs from a cloned individual to help a
normal human being survive? Can cloned humans be used as
resources to help normal humans survive?
✔ Can cloning become a failed procedure or result in a product with
unexpected results? Can it create a monster with immense powers?
Can it be done purposefully to dominate others?
✔ Can cloning be used to create manpower for fighting wars?
✔ The parentage of a cloned individual can also become an ethical
issue.
✔ What about the status of cloned children in society? Will they have to
face social ire or be social outcasts?
✔ Is research in cloning an ethical process? If this is allowed to continue,
who should regulate it?

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 GENETICS
✔ The ethicality of research that transcends the boundary between
species;
✔ The lack of knowledge about risks associated with such research
and the difficulty of predicting them;
✔ A new research area that has little control by way of social and
legal regulatory framework;
✔ The effect on the biosphere (environment) where such
genetically modified life forms are introduced;
✔ The unpredictability of genetic interventions on humans;
✔ The issue of whether technology can be misused by
unscrupulous elements to create social and cultural mayhem by
creating unknown life forms.

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RESEARCH ETHICS
 FEATURES OF RESEARCH
✔ The outcome of research is not always certain. One may do a lot
of work, spending time, effort, and money, without getting
anything tangible in return.
✔ Research requires specially skilled people. A university degree or
a PhD alone cannot make one a researcher. Qualifications can
help, but are not a guarantee. Research requires people with
different skill sets.
✔ Research is quite expensive in terms of elaborate
instrumentation and experimentation and the risk of ‘no result’
involved.
✔ Research must lead to some product useful to society and must
result in a business proposition for investing money.

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 RESEARCH OBJECTIVES
Objectives of Research are:

✔ Create new knowledge.

✔ Use the created knowledge to develop products and services
that are useful to society.
✔ Understand yourselves and the world around you so that you
can easily and sensibly negotiate and overcome problems.

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 RESEARCH SKILLS
✔ Critical Thinking - ability to analyze any given situation without
accepting anything at face value.
✔ Problem Solving - ability to define and analyze problems, find
multiple solutions if they exist, and select a solution after
optimizing
✔ Analysis - ability to obtain useful information from observed
data, representing them appropriately, reduction of data, and
deduction from the patterns of data.
✔ Dissemination – ability to communicate research findings to
the scientific community; abilities such as summarizing
information, report writing, and the ability to present the
information in a variety of formats for easy understanding by
the target group.

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 RESEARCH SKILLS
Sub-skill Sets
✔ Imagination and creativity include identifying alternative
approaches, finding alternatives to commonly accepted
methodologies, and examining issues from different points of view.
✔ Logic and reasoning mean logical thinking, deductive and inductive
reasoning, evaluating the reasons given, and drawing conclusions
from analysis.
✔ Data collection includes collecting data through a variety of
methods including scientific experimentation, design experiments
and data collection tools, and formats for data entry.
✔ Data analysis includes identifying and applying appropriate data
analysis tools, use of different mathematical tools, forming
appropriate conclusions, and appreciating the limitations of data
analysis.

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 RESEARCH SKILLS
Sub-skill Sets
✔ Conceptual thinking includes breaking the whole process into
smaller parts for analysis, identifying and synthesizing concepts
for finding solutions, and making value judgments from the
available data.
✔ Reflection and feedback is the ability to look back upon the
research methodology and tools and make improvements for
the next solution.
✔ Scientific experimentation requires the ability to design
experimental procedure, identify limitations, and use
appropriate tools for research.

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 ETHICAL ASPECTS
✔ To promote the aims of research, the researcher should follow the
norms of research, written or otherwise. Any fabrication, falsification,
or misrepresentation of research data is unethical and must be
scrupulously avoided.
✔ Most research work today involves cooperation and collaboration b
different people from different disciplines, institutions, and even
countries. Values that are essential in such collaborative research work
include trust, accountability, mutual respect, and fairness. Ethical
standards must be spelt out for conducting research. Ethical standards
for research include guidelines for authorship, copyright, patenting,
data sharing, and confidentiality of reviews. These are intended to
protect the intellectual property rights (IPR) of people.
✔ Research guidelines also include the researcher’s accountability to the
public in terms of misconduct, conflict of interest, human and animal
subjects’ protection, and usefulness of research to the public,
particularly when public money is spent on research projects.

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 ETHICAL ASPECTS
✔ Ethical standards in research also garner public support for
further funding based on the usefulness, quality, and
integrity of research.

✔ Ethics in research also helps to promote moral and social

values in general.

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 ETHICAL PRINCIPLES
✔ The researcher has to faithfully observe some fundamental
principles. Honesty, objectivity, integrity, alertness, transparency,
respect for others, respect for IPR, confidentiality, cooperation
and collaboration, scrupulously obeying the laid-down laws,
competence, and an understanding of ethical norms for research.

✔ Informed Consent – In medical and clinical research, where

human subjects are used, it is imperative that the human subject
gives an informed consent after being fully made aware of the
research and its implications.

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 ETHICAL ISSUES
✔ Research is a double-edged sword. While research is absolutely essential
to understand and exploit nature sensibly, it can also lead to unwanted
and unexpected results.. Many research areas in biosciences are banned in
various countries as the results could be dangerous to the society.
Researchers must ensure that research is done in approved areas only.
He/She should be well aware of the likely results, benefits, and dangers.
✔ Research results must eventually be brought to the public domain. The
publication of research findings is thus important. Of course, a lot of
research work done by business enterprises have commercial value and
are reported only after they have the right to exploit it commercially. This
is legitimate and in the interest of the society.
✔ The researcher has to have a high level of honesty and integrity. Reporting
research findings has to be very transparent, indicating the limitations of
the study and its application.
✔ Plagiarism should be avoided. Since research is an innovative work, due
credit must be given to the original researcher. Taking someone else’s
work and publishing as one’s own is a criminal act.

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 INTELLECTUAL
PROPERTY RIGHTS
 IPR
✔ Intellectual property right can be defined as the right to the
creation of one’s mind or intellect.
✔ The creations can be in many forms in terms of artistic or
literary works, scientific inventions, designs, etc.
✔ IPR, once established, enables the individual to claim
exclusive right to exploit his/her creation commercially.
✔ Essentially, IPR ensures that others cannot exploit
somebody’s creation without his/her consent or by making
some financial or other arrangements with him/ her to use
that invention.

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 IPR
IPR is a Global Issue
✔ It is basically an incentive for the innovators. It promotes
innovation because IPR makes it possible for the innovator to
commercially and exclusively exploit the innovation, even if for a
limited period of time.
✔ IPR helps many companies invest in research and innovation
because once IPR is granted, the company finds it possible to
recover the investment and make
✔ profits. It makes investment in research a commercially viable
proposition.
✔ Many IPR categories protect the long traditions and rich heritage
associated with famous products and geographical territories
such as Kancheepuram silk or Darjeeling tea.

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 TRIPS
✔ WTO adopted the trade-related TRIPS agreement at Uruguay
round in 1994.
✔ Based on Berne convention on literary and artistic works and
Paris convention on patents.
✔ TRIPS agreement signed in morocco, 1994.
✔ An exhaustive document covering all aspects of protection of
intellectual property rights .

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 DOMAINS OF IPR
The following Categories of IPR are Presently Covered.

✔ Patents – are granted for original inventions or improvement of

existing products
✔ Trademarks – Verbal, visual or combination symbol that
identifies distinctly a product or service
✔ Copyright – protection of artistic and literary works
✔ Industrial Designs – something that makes the product
attractive and appealing to the consumer
✔ Geographical Indication – Quality and territorial identity of
products like basmati rice, Darjeeling tea etc.

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 SUMMARY
✔ Globalization has been a major development all over the world
in recent years. This has brought with it a number of issues of
concern for business enterprises. It has resulted in major
challenges on many fronts. Business ethics relates to business
practices such as corporate governance, accounting practices,
and social responsibility.
✔ The sustainability of the environment leads to many issues in
environmental ethics.
✔ Many ethical issues arise in areas such as computers, media,
wars, and research.
✔ Intellectual property rights and respect for such rights is a
major ethical issue in the present times.
✔ Most of these issues are global in nature as they have a wide
impact across the world.

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 Chapter 5
LAW OF CONTRACTS AND CONSUMER PROTECTION

Learning Objectives:
After reading through this chapter, the reader will be able to:

• Define the term contract

• State the difference between agreement and contract
• Discuss the essential elements of a contract
• Discuss the procedure for forming a contract
• Define the term free consent and coercion
• State the objectives of consumer protection law
• Detail out the structure for implementing the consumer protection law in the 1986 Act
• Discuss the changes made in the consumer protection act 2019
• Define the term tort giving two examples
• Explain the concept of law of torts and state how it differs from other laws
• Explain the meaning of damnum sine injuria and injuria sine damnum

5.1 INTRODUCTION
This chapter deals with some important aspects of laws of interest. The idea is not to present the laws
from a legal or lawyers' point of view but to understand some of the features of these laws. Law of
contracts is a law coming from the British era (in 1872). As times changed, two sections of this law
have been removed from this and made into separate laws. Law of Torts is an uncodified law and
depends on case laws and judgments for hearing and deciding the cases. Another important aspect of
interest is consumer protection. The Consumer Protection Act 1986 has been specially enacted to
protect the interests of the consumers of both Goods and Services. This Act has now been replaced by
the Consumer Protection Act 2019 with some modification in the earlier act considering the new ways
of buying goods and marketing like E-commerce, teleshopping and multi-level marketing.

5.2 INDIAN CONTRACT LAW 1872

The Indian Contract Law 1872 is a British Law made applicable to the Indian State in 1872. The law
as made applicable at that time had 266 sections. Over a period of time, in addition to amendments as
required by demand of situations, some sections were removed from the Act. The sections originally
included are:
1 to 75 — General provisions
76 to 123 — Sales of Goods
124 to 147 — Indemnity/Guarantee
148 to 181 — Bailment and Pledge
182 to 238 — Agency
239 to 266 — Partnerships
Two of these categories, 76 to 123 (Sale of goods) and 239 to 266 (Partnerships) were removed from
the Contract Law and have been made into separate laws.
Agreement and Contract: All contracts are agreements but all agreements are not contracts. An
agreement enforceable by law is a contract. Enforceable by law means legal remedy is available in
case of any breach of contract to the aggrieved party.
Essential elements: Some essential elements of a valid contract are:

• At least two (or more parties) must participate in the contract (One makes an offer and the
other(s) accept it)
• Offer made is accepted by the other party
• Acceptance is by free consent (and not by force or any form of coercion)
• Both parties agree to have a legal relationship
• Agreement must be on potentially possible actions
• Capacity or eligibility for entering into contract (not a minor or of unsound mind etc.)
• Objective of contract must be lawful
• Both the parties understand the contract in the same way
• Contract cannot be on illegal activities
• Legal formalities, as required, are completed like written and signed agreements, registration,
payment of dues, witnesses etc.)

Proposal and Acceptance:

(a) When one person signifies to another his willingness to do or to abstain from doing anything, with
a view to obtaining the assent of that other to such act or abstinence, he is said to make a proposal;
(b) When the person to whom the proposal is made signifies his assent thereto, the proposal is said to
be accepted. A proposal, when accepted, becomes a promise;
The consideration or object of an agreement is lawful, unless—

• it is forbidden by law; or
• is of such a nature that if permitted, it would defeat the provisions of any law; or
• is fraudulent; or
• involves or implies injury to the person or property of another; or
• the Court regards it as immoral or opposed to public policy.

5.3 FORMATION OF CONTRACTS

Sections 2 to 6 of the act deal with this aspect:
a) Making a proposal: to do or not to do something. Person to whom the proposal is made signifies
his assent, the proposal is accepted; Person making the proposal is the ‘promisor’ and person
accepting it is the ‘promisee’. When the promisee acts according to the desire of the promisor, it is
‘consideration for the promise’. Every promise in consideration of each other is an agreement.
Agreements not enforceable by law is said to be void. Legally enforceable agreements are
contracts.
b) Formation of contract involves communicating the proposal and acceptance of the proposal.
c) A proposal can be revoked by communication to the other party or if the acceptance is not made in
time as specified or by nonfulfillment of conditions by any of the parties.
5.4 ESSENTIALS OF CONTRACTS
Sections 10 to 23 deal with this aspect of contracts.
a) All agreements are contracts if the if they are made with the free consent of the parties competent
to contract, object of contract is lawful, for a lawful consideration and are not declared void. All
legal requirements like contract in writing, registration of documents and signature of witnesses
need to be complied with.
b) Competent to contract means the person(s) of legal maturity, of sound mind and is not disqualified
by any law.
c) Sound mind means the person capable of understanding the contract and is able to form rational
judgments about its effect on his interests.
d) Consent by two or more persons means that they agree upon some thing with the same
understanding on all its aspects.
e) Free consent happens when it is free of any coercion, undue influence, fraud, misrepresentation or
mistake.
f) Coercion is committing any unlawful act forbidden by Indian penal laws.
g) Undue influence (in entering into a contract) happens when one of the parties hold such powers as
to dominate the decision of the other by apparent authority or the other party is of weal disposition.
h) Fraud means making a suggestion that something is true when it is not, concealing facts, making
promises with no intention of doing it or by doing anything fraudulent.
i) Misrepresentation means positively asserting something as true when it is not, breach of duty to
gain some advantage and causing someone to make a mistake.
j) An agreement arrived at by coercion is voidable; same is the case for fraud and misrepresentation.
k) The agreement is also voidable if both the parties make mistake in understanding substance of the
agreement.
l) Lawful object of any agreement means that the object is not specifically forbidden in law.
(Example: agreement to supply prohibited drugs or make forbidden weapons)

5.5 SAFETY IN PRODUCTS

It is important to recognize that there is much greater awareness about safety today than earlier.
Engineered products can cause harm to individuals (such as shock from an electrical appliance), harm
to a community (such as the breaching of a dam), economic loss (due to fi re in an automobile), and
environmental degradation (due to the construction of dams). The risk involved can be in the short
term like an economic loss or in the long term as in environmental degradation.
Individuals can be at harm when an engineering product’s designs are faulty or when the materials
used are defective. A mobile phone that explodes due to a defective battery is an example. A person
who buys an electric iron and gets an electric shock from it has reasons to complain.
The construction of a dam, which causes displacement of people due to water storage and also results
in environmental degradation, is an example of an engineering product that can cause both economic
loss and suffering to people. However, a dam is an essential part of our lives and necessary for the
benefit of the community. The ethical aspect is involved in the way we deal with the risks. Dams are
necessary, but the risks must be properly accounted for.
When we discussed the skill sets of engineers in Chapter 4, we included many points that are not part
of the curriculum of an engineering course. Their importance becomes evident when we look at the
designing and implementation of engineering products. Engineering needs to have a human face to
look at the safety aspects. The risks, if any, take place in the future. The engineer needs to ascertain
the risks and provide measures for their avoidance. This involves innovative and creative abilities.
This is more so when a new product is designed. There is no past experience to fall back upon in such
a case. The engineer needs to think creatively, and perceive and provide for the likely risks. This is the
crux of engineering design from an ethical point of view.

Risk & Cost

A safe design involves building in safety features, which of course involves some cost. Also, some of
the obvious risks, as in the case of a dam where rehabilitation of people displaced is a humane aspect,
need to be considered. There are many misconceptions about cost. Some of hem are as follows:
• Designing for safety is a costly affair. While the substance of this statement is true, the perception
needs to be clarified. Providing safe products is ethical and mandatory. In addition, it is the duty of
the manufacturer to ensure safety of the product and he/she cannot compromise safety considering
the expenses involved in providing for it. The engineer must always look at the cost aspect even if
he/she does not want to make provisions for safety. For one, designing a safe product will not be as
costly as modifying the design later to build in safety features. The loss of the company’s credibility
due to unsafe products will also prove to be very costly, affecting the business in the future. Even a
redesigned safe product can be economical in the long run considering the lifecycle of the product.
• As the safety of the product is not known beforehand, it can be ascertained only during the testing
stage. Many products do not show lapses in safety until they are tested. Design for safety must be
initiated in advance because some harm could occur during the testing of the product.
• Customers may misuse the product and come to harm, which cannot be accounted for. This is again
a false notion. We have to take into account the customer while designing the product. A computer,
for example, is used by many people who are not engineers and are completely unaware of its
intricacies. However, a personal computer is so designed that it does not depend upon the
knowledge of the user. In addition to proper documentation for the use of a consumer, the product is
so designed and helplines are provided so that the consumer does not find it difficult to use. Safety
devices in automobiles and other equipment can help prevent accidents even if the operators make
mistakes.
That laxity in safe product preparation can be costly is easily seen. The case of the Delhi Metro Rail
Corporation (DMRC) is an example. The DMRC has received recognition for efficiency, timely
completion of projects, and safety. However, the collapse of a girder causing a lot of damage has put a
question mark on its credibility. The overturning of a crane pressed into service for removing the
girder has further damaged the image of the company. Whether the mishap is due to faulty design or
any other cause does not matter. There are a number of questions being raised about the company’s
methods and procedures.
Engineer’s Responsibility for Safety
Engineers are responsible for designing, manufacturing/constructing, and controlling quality of safe
products. They must be aware of this responsibility and the ethics involved in their functioning. While
a corporate leader may think of finances, costs and profit, and bottom lines, engineers need to think
about safe products and the likely risks. The engineers involved in the design of products must be sure
that the product satisfies the minimum standards laid down for product safety. Such standards are well
known and available for perusal. Engineers must constantly refer to safety standards while designing
products. Designing a conceived engineering product is an iterative process. The design is iterative
because some assumptions are made in the design. The design is repeated with the data from the first
design to make better assumptions. Alternative solutions and an optimum solution may be available
and can be found. This calls for greater ingenuity and creativity on the part of engineers to look for
alternate solutions that may be safer. It is a tedious process to arrive at alternative solutions and
evaluate each one of them based on technical criteria and safety standards. The best solution must be
arrived at after due consideration of all aspects of the design. As an example, consider the following.
The Australian Competition and Consumer Commission (ACCC) enforces mandatory product safety
and information standards and bans on unsafe goods declared under the Trade Practices Act. Fair
Trading Offices also have an important role in product safety within their own states. The following
guidelines have been prescribed for product safety:

Product Safety
Product suppliers and manufacturers have an obligation to ensure that only safe products are
marketed. This can be done by providing clear instructions for use, including
• warnings against possible misuse;
• being aware of and meeting industry and mandatory standards;
• developing product recall plans and procedures including effective communication strategies to
the public (e.g., advertisements in papers);
• incorporating safety into product design;
• developing appropriate safety standards through product improvement;
• implementing a quality assurance programme, which includes consumer feedback; and
• responding quickly to safety concerns that arise.
While designing a product, engineers must first consider the current accepted engineering practice.
Design methods and materials available for use keep changing with time, and with advanced
computational techniques, the possibility of looking at alternatives becomes easier. Secondly,
engineers need to constantly update themselves on the design practices. In addition, they can update
themselves through training programmes available in their area of work. They must recognize that
there is a need for continuous learning, as learning never stops (even after leaving college) and this
alone can give them a competitive edge.
The third consideration that engineers need to keep in mind is that the product is likely to go into the
hands of a user not conversant with the intricacies of engineering design. Therefore, it is a good idea
to prepare and give a product information document to the consumer. At the same time, the pitfalls
and risks created by not-so-well-informed consumers must be taken into account. The consumer may
misuse the product and come to harm despite the documentation, demonstration, and advice given on
the use of the product. This requires engineers to foresee and provide for all kinds of risks associated
with the product. Great ingenuity, study, and knowledge about the likely consumers are needed to
make a safe product.5.3
Designing for Safety
In the realization of a product, the point at which the question of safety must be considered is the
design stage. It is at this stage that the product takes a physical form and many of the intricacies of the
practical aspects of the conceived product are seriously considered. This involves product detailing,
analysis and design, prediction or assessment of possible risks, and incorporating safety features in the
product. In assessing the possible risks, the consumers of the product need to be considered. There is
no doubt that everyone wants a safe product. Engineers are responsible for ensuring that the product is
safe for the consumer. Safety does cost more but will be worth it, and so cost should not be a prime
consideration at this stage.

Product Costs

The cost of a product can be divided into two parts. The product has a primary cost due to the
materials involved, production cost, overhead cost, etc. If you draw a graph between the primary cost
and safety, you will see that the cost increases as the safety components are increased (refer to Fig.
5.1a). This costing is straightforward as all engineers are familiar with the costing of known
components. On the other hand, there are secondary costs, which include downtime, warranty
liability, loss of customer goodwill, etc. These increase with low-safety designs (refer to Fig. 5.1b).
The costing of these is difficult as the cost cannot be exactly estimated and has to be surmised based
on experience. The combination of these two costs is the total cost of the engineering product (refer to
Fig. 5.1c). The total product cost curve is a sagging curve with a minimum appearing somewhere in
between. This shows that the minimum cost is obtained when the primary cost and secondary cost
increases balance each other after a certain point ‘L’. Absolute safety cannot be built in nor is it
attainable. The highest acceptable risk needs to be evaluated and the costing done at this or a higher
level.

Probability of Safety and Risk

Safety and risk are both probability based. As shown in Fig. 5.2, we can make curves of statistical
distribution of loads on a machine component and the load carrying capacity of that component. Most
design codes now have a probabilistic method of strength design. Figure 5.2(a) shows a situation
when the loads on the component and the capacity of the component are such that the capacity is more
and the two curves do not overlap. The curves are asymptotic but can be terminated at a certain
confidence level. The peaks of the curves in the two cases are the expected values, while the load and
capacity may vary and reach the two extremes. The situation shown in Fig. 5.2(a) is a safe design.
Figure 5.2(b) shows a situation where, while the expected values seem to indicate a safe design, the
possible values at a certain probability level show an unsafe zone due to the overlap between the two
curves. This is a danger zone and can lead to possible failure.
With increasing consumer activism and awareness, faulty designs are likely to lead to much higher
secondary costs by way of litigation and replacement costs. The product safety standards in India are
presently not very satisfactory. The Bureau of Indian Standards has product standards for only a few
products such as electrical appliances, but many countries have very stringent product safety
standards and marketing any product not satisfying those standards is punishable.

5.6 CONSUMER PROTECTION

You often hear in business conferences that “consumer is king.” If consumer is king, why does he
need protection? Many practices by companies, sales personnel are unethical and fraudulent. Some of
the reasons for the vigorous steps taken by governments of many countries for consumer protection
are because of the following:

• Advertisements making tall and fraudulent claims on products and services

• The goods and services supplied are not the same as what is advertised and promised
• Sales personnel act very consumer-friendly only till they effect a sale; they do not respond
afterwards
• Many provisions in the warranty or product information are not explained to the consumer
• Lot of information in fine print is not generally studied in detail by the consumer and also not
explained to him; consumer feels cheated later on.
• Consumer desirous of seeking legal remedies finds the process very costly and time
consuming.
• Consumers not being aware of their rights and remedy available in case they feel cheated by
business entities.
Consumer protection became a key element of fair and ethical business practices and many laws were
enacted and remedial structures were set up for the purpose. We briefly look at salient aspects of
consumer protection.

5.6.1 Product Safety Standards

Almost all countries have product safety standards. The objectives of standardization are to:

• Ensure quality of goods

• Ensure uniformity (compatibility and interoperability) of goods by different manufacturers
• Ensure safety in goods supplied to consumers
• Enable certification of goods by standards organization of different countries
Three types of standards are generally considered

• De facto standards followed by convention and use

• De jure standards that are enforceable by law and regulations
• Voluntary standards that are available for the user to decide their quality and use
Products having certification by standards organizations have greater acceptance in the market though
they may not necessarily be true all the time. Standardization deals with materials, processes,
dimensions, test procedures, permitted variability etc. Standardization helps manufacturers and
consumers by

• Guaranty quality of a manufactured product

• Improving productivity of business as the standards can reduce time by standardizing process
without any confusion
• Uniformity and predictability by standardized processes
• Creating brand value for products
• Customers get better products and services

Some details of standards organization in some countries are given below.

a) USA: USA has a consumer product safety commission established under the consumer product
safety act. The objectives of the commission are to:

• To protect the public against unreasonable risks of injury associated with consumer products;
• To assist consumers in evaluating the comparative safety of consumer products;
• To develop uniform safety standards for consumer products and to minimize conflicting State
and local regulations; and
• To promote research and investigation into the causes and prevention of product-related
deaths, illnesses, and injuries

The web site of CPSC states: “CPSC is charged with protecting the public from unreasonable risks of
injury or death associated with the use of the thousands of types of consumer products under the
agency's jurisdiction. Deaths, injuries, and property damage from consumer product incidents cost the
nation more than $1 trillion annually. CPSC is committed to protecting consumers and families from
products that pose a fire, electrical, chemical, or mechanical hazard. CPSC's work to ensure the safety
of consumer products - such as toys, cribs, power tools, cigarette lighters, and household chemicals -
contributed to a decline in the rate of deaths and injuries associated with consumer products over the
past 40 years.”
There are many acts passed to ensure safety in all consumer products. These can be seen at cpsc.gov.
b) Australia: The Australian Competition and Consumer Commission is authorized to enforce
mandatory product safety and information standards. This is as per the Consumer and Competition
Act (2010). The general principles are:

• Any one selling products to Australian consumers in physical stores or on-line should ensure
that the products satisfy the Australian Consumer Law
• All manufacturers and suppliers are mandatorily required to comply with the Australian
Safety Standards
• Selling products not complying with safety standards is illegal and invites penalties
Businesses are required to:

• Ensure mandatory levels of safety in products

• Ensure that the products are tested to ensure safety
• Ensure that products do not cause harm when used in a reasonable manner and reasonable
misuse
Product safety is ensured by:

• providing clear instructions for use, including warnings against possible misuse
• being aware of and meeting industry and mandatory standards
• developing product recall plans and procedures including effective communication strategies
to the public (eg. advertising)
• incorporating safety into product design
• developing appropriate safety standards through product improvement
• implementing a quality assurance program which includes consumer feedback
• responding quickly to safety concerns that arise.
There are two types of mandatory product standards:
*Safety standards - goods must comply with particular performance, composition, contents, methods
of manufacture or processing, design, construction, finish or packaging rules.
*Information standards - prescribed information must be given to consumers when they purchase
specified goods (e.g. labelling for cosmetics, tobacco products and care labelling for clothing and
textile products).
c) European Union: European Union is a union of 29 countries in Europe who adopt standards
developed at the Union level for compatibility and acceptability across all countries. There are
National Standard Boards in countries who adopt the union standards and delete those that are in
conflict.
European standards are adopted by one of the three European Standardisation Organizations:
• European Committee for Standardisation (CEN)
• European Committee for Electro-technical Standardization (Cenelec)
• European Telecommunications Standards Institute (ETS)
Businesses and consumers are helped by compliance to standards in many ways:
 • Building consumer confidence
• Ensures high level of safety and quality for consumers
• Help consumer health
• Protecting the environment
• Open up markets for better accessibility
• Ensuring Compatibility and interoperability

d) India: Bureau of Indian Standards (BIS) is the National Standards Body of India established under
the BIS Act 2016 for the harmonious development of the activities of standardisation, marking and
quality certification of goods and for matters connected therewith or incidental thereto. BIS has
helped in the following through standardisation, certification and testing.
• providing safe reliable quality goods;
• minimising health hazards to consumers;
• promoting exports and imports substitute;
• control over proliferation of varieties etc.
To protect the interests of consumers as well as the industry, BIS is involved in various activities as
given below:
• Standards Formulation
• Product Certification Scheme
• Compulsory Registration Scheme
• Foreign Manufacturers Certification Scheme
• Hall Marking Scheme
• Laboratory Services
• Laboratory Recognition Scheme
• Sale of Indian Standards
• Consumer Affairs Activities
• Promotional Activities
• Training Services, National & International level
• Information Services
The Bureau publishes a number of standards related to products, processes and services.

5.6.3. Product Information

Product information is mandatory under consumer protection acts of different countries. The present
times witness a global market for many products. Product information has thus to satisfy customers
across the world. Product information is given in a booklet or a leaflet to the consumer. Product
information includes a user manual that informs the user of the correct use of the product. The
following features are common:
Multi-lingual: As the product gets marketed worldwide, product information is given in many
languages. Even items considered local today have instructions in many languages. Many spices,
packaged foods, frozen foods have instructions given in many languages. It is mandatory to give
ingredients, manufacturing and expiry dates and storage information.
Clarity: Clarity comes from step-by-step detailing of assembling and use. The user must be able to
read and put the product to use in many instances. Some products do need installation and
commissioning by a qualified engineer.
Illustrations: Figures, photographs or diagrams are commonly used for clarity. Japanese firms are
known to use a lot of illustrations in their user manuals.
Technical details: Many customers may not understand the technical details like power requirements
in terms of voltage and frequency of power supply. Power connections used are also different in
different countries. Technical details must be explained to the consumer at the time of purchase.
Precautions: Customers need to be told the correct use, storage, transportation and other precautions
to be taken while using the equipment. Many times customers are told not to open the product to
check as there may not be any parts that are serviceable by users. Warnings against possible misuse
should be given clearly in terms of ‘don’t’ lists.
Simple troubleshooting: Most companies give some simple checks that the consumer can undertake
before rushing with complaints but generally advise them to call a qualified technician mandatory
declarations. In many products, radiation levels may be important as in smart phones. These
declarations are to ensure that the product satisfies such requirements of the country where it is sold.
Medium for product information: Product information can be provided through a variety of media.
• Printed: The most common form is the written or printed form. This is used for small or large
amount of information. As there is a need to move towards a paperless, alternate medium, other
forms are becoming popular.
• E-versions: E-formats for catalogues and product information are very common now-a-days.
Many user manuals are downloadable from the Internet. Product help (for use) is also many
times provided.
• Combination mode: A combined form using paper and e-versions are also provided. A small
product information booklet can be provided with detailed user manuals provided in the e-
format. The choice depends upon the product and extent of detailing of information.
• Video clips: These are becoming popular both as advertising material and for giving product
information through demonstration. They can be useful for people who need such a mode of
information and can see a CD again as per need.
Product information management is a new area that helps in marketing and selling of products. This
requires the creation of a central product database. This can be used then to supply information to a
variety of users in different places and in a form suitable to them. The information can be used to print
catalogues and place information on web sites or for other people as per their needs. Information
made available in this form helps to market and sell products through a variety of distribution
channels and modes.
Product information management systems are useful to:
• Create a central database of a large number of products
• Preparation of electronic catalogues
• Get product information in hard copy form
• Cater to different geographic locations in local language
• Global access to marketing and sales personnel
• Facility for making changes on product modification and maintenance of records

5.6.4 Consumer Protection

As mentioned in the beginning, ‘Consumer is king’ is the common refrain among business managers.
Consumers can make or break a product. If consumer is the king, why does he/she need protection?
This is probably because consumers get cheated by businesses i) with spurious products, ii) by not
offering any services after an item is sold and iii) sometimes even supplying unsafe products.
Consumer activism was unheard of earlier. At present, consumer protection is legally enforced by
enacting consumer protection laws. Consumer protection is applicable to products and services.
Almost all countries have such laws.
A consumer is one who purchases goods or services by paying for it and for personal use. A consumer
can be cheated in many different ways:

• Product not conforming to the specifications advertised or told to the consumer at the time of
purchase
• Not informed of actual pricing or cost of accessories necessary to operate the product.
• Spurious product being supplied as a branded product.
• Many things in fine print not explained to the consumer
• Overcharging for the product or service
• High cost of replacement parts
• Absence of appropriate maintenance service or high service charges
• Supplying old refurbished product as original and new
With consumer complaints mounting about many products and services, thinking about consumer
rights and laws to protect them became imperative. It is also in the interest of the business to ensure
that consumer remains satisfied about any product or service. Consumer rights can be generally stated
as:
Safe product: Consumer is entitled to receive a safe product that does not cause any harm during use.
Safety has already been highlighted in the earlier discussion as well. An electrical product like an iron
or washing machine that gives an electrical shock to the user is definitely an unsafe product.
Similarly, many children’s toys need to be so designed as to be safe for the type of use that children
generally do. No toxic material should be used in making the product. Even if the children bite or
press the toy on their face, no harm should result. Depending upon the type of product, many safety
considerations should go into the design of the product. Consumers can also ask for certification that
ensures quality and safety. Many goods are purchased for use over a long period of time. The product
must be able to give reasonably good and safe service over the expected use by the consumer.
Product Choice: The availability of goods/service at reasonable price is a right of the consumer.
Competition in the market generally ensures variety of choices and fair prices for the consumer.
Monopoly by any company for a particular good or service will affect availability and fair pricing. If
you take the case of automobiles, four decades ago, there was very little choice. There were two car
brands (Ambassador and Fiat) and two two-wheeler brands (Bajaj and Lambretta). Availability was
very much restricted and the models did not advance technologically. Today, we have many, many
brands of cars (entry level, mid-size, luxury segment) and consumer has a great choice. Due to
competition, there are enough discounts and freebies that the companies are ready to give away.
Choice and free availability are consumer rights.
Product Information: It has been discussed earlier. Product information has to be clear and accurate
and in sufficient detail to enable the consumer to make an informed decision about purchase and use.
This is generally done by advertising through a variety of media, through product brochures and
product labeling. The consumer has the right to get all the information about the product and it must
be available to him from people trying to sell the product/service to him/her. The product quality,
service requirements and availability, cost and yearly payments, precautions in use etc. are important
for the consumer to decide about purchase. Many consumers fall for high-pitched advertisements and
buy goods which finally prove to be highly unsatisfactory. Consumers have to be on guard and the
protection laws are meant to help him get justice. In certain areas, where public health and safety are
involved, stringent requirement of product information is mandatory. All the ingredients need to be
disclosed in food items and the manufacturing date and expiry period are to be clearly specified.
Consumer grievance and redressal: When a consumer has purchased a product, it is quite possible
that the product malfunctions or the consumer has problems with it. There must be a mechanism by
which his grievances are heard and if required appropriate action is taken to address the same.
Generally, retailers act only as selling points and the consumer complaints are to be dealt with by the
company people only. Toll free numbers, local service centre contact details and the person to contact
are invariably required by the customer in case he has any complaints. The company should ensure a
strong follow-up action plan with the customer at least during the warranty period. Customers have a
right to be heard and the grievances addressed and set right in good time.
Consumer Education: Consumer education is important to get an informed and active consumer
community. Consumer education is the responsibility of the government, consumer activist groups
and the business itself. Essentially, consumer education educates the consumers about their rights,
about various goods and services, prices, quality and durability, trade practices and also about being
an ethical consumer.
Consumer education needs to promote critical thinking, problem solving, and action. The objectives
of consumer education are:

• Gain knowledge to act as informed consumers. For example, knowledge of consumer rights
• Develop an understanding of society's function as a whole and the specific role of consumers.
For example, the understanding of the role of companies in the economic system; the role of
the government in society and the role of consumer organizations.
• Master skills to function as informed and responsible consumers. For example, the methods
and procedures for complaint redressal; spotting sales gimmicks and using products
knowledgeably.
• Appreciate the importance of being an informed consumer.
• Act as informed, educated and responsible and ethical consumers.

Generally consumer education focuses on developing understanding about buying quality goods at
low prices, and avoiding marketing and sales gimmicks in the marketplace. The focus should be on
maximizing personal benefits at minimum cost. Consumer education also needs to focus on being an
informed and ethical consumer.

• Learn to buy only in absolute need; must be able to ask informed questions.
• Consumer education gives the consumer knowledge and skills to demand their rights and
ensure that their voices are heard.
• Consumers must be aware of the impact of their actions on others, particularly the
disadvantaged.
• Consumers should make an informed choice of buying goods and services that do not harm
the environment or violates basic human and animal rights.
• Possible to be effective by forming consumer groups; groups are more effective to fight for
consumer rights.

5.6.5 Consumer Protection Acts: Consumer protection acts addresses the rights of consumers given
above. The objectives of the Consumer Protection Act are to:

• Give a legal status to consumer rights

• Facilitate formation of consumer organizations
• Provide a forum for the consumers to go to with their complaints
• Provide a structure for speedy redressal of grievances
• Give the consumer a speedy but simpler and cost-effective means to get his complaints
resolved
We will briefly see the consumer protection laws in many countries including India.
USA: The Federal Trade Commission has a Bureau of Consumer Protection with the objective of:

• Stopping unfair deceptive and fraudulent business practices

• Receive complaints from consumers and conduct investigations
• Promote competitive business environment
• Prosecute companies and people breaking the law
• Developing rules to ensure fair trade practices
• Educating consumers and businesses about theur rights and duties
European Union: In 2012 the European Commission adopted the European consumer agenda that
identifies the key measures needed to empower consumers and to maximize their participation. The
agenda outlines the strategic vision on consumer policy with 62 action points grouped around 4 pillars
of
• promoting consumer safety
• enhancing knowledge of consumer rights
• strengthening the enforcement of consumer rules
• integrating consumer interests into key sectorial policies
As a long-term objective, the Commission also works to empower consumers through
• choice of product/service
 • information about product/service
• awareness of consumer rights and means of redressal

Australia: The Australian Consumer Law sets out consumer rights that are called consumer
guarantees. These include your rights to a repair, replacement or refund as well as compensation for
damages and loss and being able to cancel a faulty service.
Guarantees: Under the Australian Consumer Law, when you buy products and services they come
with automatic guarantees that they will work and do what you asked for. If you buy something that
isn't right, you have consumer rights.
Repair, replace, refund: If a product or service you buy fails to meet a consumer guarantee, you have
the right to ask for a repair, replacement or refund under the Australian Consumer Law. The remedy
you're entitled to will depend on whether the issue is major or minor.
Cancelling a service: Under the Australian Consumer Law, you have certain rights to cancel a service.
Compensation for damages & loss: You can seek compensation for damages and losses you suffer
due to a problem with a product or service if the supplier could have reasonably foreseen the problem.
This is in addition to your repair, replacement or refund rights.
Warranties: Under the Australian Consumer Law, automatic consumer guarantees apply to many
products and services you buy regardless of any other warranties suppliers sell or give to you.

India: Consumer Protection Act (1986) is the main legislation to protect the interests of consumers in
India. In addition to detailing the consumer rights and consumer empowerment, the act provides for
quasi-judicial structures for speedy and less-costly processes for grievance redressal for consumers.
Earlier, consumer awareness was less. Also the only forum for redressal of complaints was the normal
judicial system. Consumers were unwilling to register complaints due to the high cost and extreme
delay in getting justice. The Consumer Protection Act recognizes the rights of consumers as:

• Right to be protected against marketing of goods and services that are hazardous to life and
property
• Right to be informed about the quality, quantity, standard, and price of goods or services so as
to protect the consumer against unfair trade practices
• Right to receive assured access, wherever possible, to a variety of goods and services at
competitive prices
• Right to be heard and to be assured that consumers interests will receive due consideration at
appropriate forums.
• Right to seek redressal against unfair trade practices.
• Right to consumer education

The consumer protection act seeks to protect the interest of consumers against deficiencies or defect
in product or service. The act applies to only individual consumers purchasing goods/services for
personal use and applies to all goods and services unless specifically mentioned otherwise.
Consumer Protection Act, 1986 was enacted to facilitate quick redressal of consumer grievances by
avoiding long-drawn litigation and court fees. A structure is created from the district level to National
Level for smoother, simpler and quicker functioning of the system. The essential idea is to help the
consumer and supplier to negotiate and arrive at a consensus to solve the problems of the consumer.
The Act covers all goods and Services (unless exempted specifically) and covers public, private and
co-operative sectors. Consumer courts provide relief only to goods and services bought for personal
use and does not cover items meant for commercial use.

5.7 CONSUMER PROTECTION ACT 2019

We have outlined the consumer protection act 1986 giving some salient features. This act has been
replaced by the Consumer Protection Act 2019 which came into effect in 2020. While many features
remain the same, there are some significant changes which only will be discussed here.
The Consumer Protection Act 2019 (CPA 2019) is given in 8 chapters (31 sections) as:
CHAPTER I PRELIMINARY
CHAPTER II CONSUMER PROTECTION COUNCILS
CHAPTER III CENTRAL CONSUMER PROTECTION AUTHORITY
CHAPTER IV CONSUMER DISPUTES REDRESSAL COMMISSION
CHAPTER V MEDIATION
CHAPTER VI PRODUCT LIABILITY
CHAPTER VII OFFENCES AND PENALTIES
CHAPTER VIII MISCELLANEOUS
In 1986, consumers in general used to go to physical stores and purchase goods or services by paying
a price. By 2019, the purchase methods have considerably changed with a number of E-commerce
platforms having come into existence. In addition, telemarketing and multi-level marketing became
common. The CPA 2019 takes into account this change also.
The Act provides:

• Enhanced protection to consumers from fraudulent or unfair trade practices;

• Covers consumers who purchase from online platforms/telemarketing or multilevel
marketing;
• Makes it easier for consumers to make a complaint against goods or service provider allowing
e-filing of complaints and online fighting of cases by video conferencing
Consumer: In CPA 2019, a consumer is defined as:

(i) buys any goods for a consideration which has been paid or promised or partly paid and partly
promised, or under any system of deferred payment and includes any user of such goods other than
the person who buys such goods for consideration paid or promised or partly paid or partly promised,
or under any system of deferred payment, when such use is made with the approval of such person,
but does not include a person who obtains such goods for resale or for any commercial purpose; or
(ii) hires or avails of any service for a consideration which has been paid or promised or partly paid
and partly promised, or under any system of deferred payment and includes any beneficiary of such
service other than the person who hires or avails of the services for consideration paid or promised, or
partly paid and partly promised, or under any system of deferred payment, when such services are
availed of with the approval of the first mentioned person, but does not include a person who avails of
such service for any commercial purpose.
Consumer Rights: CPA 2019 lists the rights as:
(i) the right to be protected against the marketing of goods, products or services which are
hazardous to life and property;
(ii) the right to be informed about the quality, quantity, potency, purity, standard and price of
goods, products or services, as the case may be, so as to protect the consumer against unfair
trade practices;
(iii) the right to be assured, wherever possible, access to a variety of goods, products or services at
competitive prices;
(iv) the right to be heard and to be assured that consumer's interests will receive due consideration
at appropriate fora;
(iv) the right to seek redressal against unfair trade practice or restrictive trade practices or
unscrupulous exploitation of consumers; and
(v) the right to consumer awareness;
While the consumer is the person who buys it for a consideration for his own use or use by a house
member, a complainant going to make a complaint may be:
• Consumer individually
• Consumer associations
• Central or state Governments
• Two or more persons having common interest
• Legal heir of a consumer in case of his death
A complaint is generally made in written forming the case of
• Defective product or deficient service
• Unfair or restricted trade practice
• Excess charge or pricing
• Selling goods hazardous to health
Consumer Dispute Redressal Agency (CDRA): The new act has a name change for these authorities
and their jurisdiction has also been changed. There are three levels in which thee agencies function -
district, state and national.
District Consumer Forum: At the district level, the redressal forum will have three members:
president and two members (at least one of the two must be a woman). The President must be person
qualified to become a district judge.
The jurisdiction of this forum is up to 1 crore in monetary value. (In the 1986 Act, this limit was 20
lakhs)
The act also allows the setting up of more than one forum in a district.
State Consumer Commission: Similar to the district level forum, state level commission also will
have three members, president and three members. The president should be qualified enough to
become the judge of the High Court of the state. Of the two members, at least one should be a woman.
The jurisdiction of the Commission at state level is 10 crores. (In the 1986 Act, this limit was 1 crore.)
National Consumer Commission: The national level commission will have a president and four
members, with at least one woman among the four members. The President of the commission will be
person qualified enough to become a Supreme Court judge.
Consumer complaints involving monetary value of 10 crore and above can be filed directly filed in
the National commission. (This limit was 1 crore in the 1986 Act.)
All complaints can be entertained only if filed within 2 years of the cause of action.
Appeal: A complainant can go in appeal within 30 days of order from any forum or commission.
From district to state to national will be the order of appeal. A complainant can go to the Supreme
Court against national commission’s order.
Mediation: At every level of complaint hearing, there will be a mediation facility available to the
complainant and the supplier of goods/services. Councillors or mediators will be available to the
parties to help them arrive at a settlement of the case between them.
Central Consumer Protection Authority: The act proposes many structures for consumer protection:
Central consumer protection council is an agency set up by the central government to give advice on
matters related to consumer protection under the Act. Minister in charge of the department of
consumer affairs will be the chair person with a number of members as may be specified. Similar
structures at the state level will be formed with the state minister as chairperson for the state council
and the District collector as chairperson for the district council.
The central government will establish a Central Consumer Protection Authority (CCPA) to "regulate
matters relating to violation of rights of consumers, unfair trade practices and false or misleading
advertisements which are prejudicial to the interests of public and consumers and to promote, protect
and enforce the rights of consumers as a class."
CCPA will be headed by a chief commissioner and will have as many commissioners as may be
prescribed by the central government. The purpose of CCPA is to (as stated in the Act):

• protect, promote and enforce the rights of consumers as a class, and prevent violation of
consumers rights under this Act;
• prevent unfair trade practices and ensure that no person engages himself in unfair trade
practices;
• ensure that no false or misleading advertisement is made of any goods or services which
contravenes the provisions of this Act or the rules or regulations made thereunder;
• ensure that no person takes part in the publication of any advertisement which is false or
misleading.
CCPA will have the powers to take actions like (as stated in the Act):
(a) inquire or cause an inquiry or investigation to be made into violations of consumer rights or unfair
trade practices, either suo motu or on a complaint received or on the directions from the Central
Government;
(b) file complaints before the District Commission, the State Commission or the National
Commission, as the case may be, under this Act;
(c) intervene in any proceedings before the District Commission or the State Commission or the
National Commission, as the case may be, in respect of any allegation of violation of consumer
rights or unfair trade practices;
(d) review the matters relating to, and the factors inhibiting enjoyment of, consumer rights, including
safeguards provided for the protection of consumers under any other law for the time being in
force and recommend appropriate remedial measures for their effective implementation;
(e) recommend adoption of international covenants and best international practices on consumer
rights to ensure effective enforcement of consumer rights;
(f) undertake and promote research in the field of consumer rights;
(g) spread and promote awareness on consumer rights;
(h) encourage non-Governmental organisations and other institutions working in the field of consumer
rights to co-operate and work with consumer protection agencies;
(i) mandate the use of unique and universal goods identifiers in such goods, as may be necessary, to
prevent unfair trade practices and to protect consumers' interest;
(j) issue safety notices to alert consumers against dangerous or hazardous or unsafe goods or services;
(k) advise the Ministries and Departments of the Central and State Governments on consumer welfare
measures;
(l) issue necessary guidelines to prevent unfair trade practices and protect consumers' interest.

The Structure for Consumer Protection in India

The structure includes i) National Consumer Disputes Redressal Commission (NCDRC) ii) State
Consumer Disputes Redressal Commission (SCDRC) and iii) District Consumer Disputes Redressal
Commission.
National Consumer Disputes Redressal Commission: NCRDC is a national level quasi-judicial
commission to hear grievances of consumers for defective product or deficiency in service. The
jurisdiction of NCRDC is:

• To entertain complaints having a value of more than Rs 10 Million

• To have appellate and revisional jurisdiction on cases heard by the District and State level
commissions.
The Commission is normally headed by a sitting or retired judge of the Supreme Court. The
Commission will have four members with at least one woman member. The order given by the
National level Commission can be challenged in the Supreme Court of India within a period of 30
days.
However, the Supreme Court of India has held that the jurisdiction of National Commission under
Revision Jurisdiction is very limited and can only be exercised when State Commission exceeds its
jurisdiction, fails to exercise its jurisdiction or there is material
State Consumer Disputes Redressal Commission: These are set up by the State Governments. There
may be one or more State Level Consumer Commissions in a state. The State level Commissions can
be approached by consumers in situations where the value is more than 2 million but less than 10
million. The state level commission is headed by a sitting or retried High court judge and will have at
least three members. The State level Commission can entertain:
Complaints where the value of the goods or services and compensation, if any, claimed exceeds
rupees twenty lakhs but does not exceed rupees one crore (R10 million); and
 • Appeals against the orders of any District Forum within the State; and
• To call for the records and pass appropriate orders in any consumer dispute
District Consumer Disputes Redressal Commission: DCDRCs are established by the state
governments in every district of the state. Each district of the state will have at least one district level
commission to whom consumers can approach with their complaints. The District level commission
will be chaired by a sitting or retired district court judge and will have at least three members. Subject
to the provisions in the Consumer Protection Act.
The District Forum shall have jurisdiction to entertain complaints where the value of the goods or
services and the compensation, if any, claimed does not exceed rupees twenty lakhs.
Consumer protection Councils: Consumer protection Act also stipulated the establishment of
consumer protection councils at the central and state levels. The primary aim of establishing such
councils was to create awareness about consumer rights and promote participation of consumers in
activities promoting and protecting consumer rights. The Objectives of the councils can be stated as
the right to be:

• Protected against the marketing of goods and services which are hazardous to life and
property
• informed about the quality, quantity, potency, purity, standard and price of goods or services,
as the case may be so as to protect the consumer against unfair trade practices;
• assured, wherever possible, access to a variety of goods and services at competitive prices;
• heard and to be assured that consumer's interests will receive due consideration at appropriate
forums
• seek redressal against unfair trade practices or restrictive trade practices or unscrupulous
exploitation of consumers and;
• given access to consumer education.

There are three levels at which such councils are established:

Central Consumer protection Council is established by the Central Government with Minister in-
charge of consumer affairs as its chairman. The council will have as many number of official and non-
official members representing the government and other interest groups as required for its working.
The council will be reconstituted after a period of three years. The Council may also constitute a
working group with the member secretary as the chairman.
State Consumer protection Councils are established by the State Governments. Minister holding the
charge of Consumer affairs will be the chairman of the council. There will be ten representatives of
the Central government in addition to the official and non-official members representing varied
interest groups.
District Consumer Protection Councils are established by the State Governments in every district of
the state. The District Collector will be the chairman of the council. A number of official and non-
official members will be appointed to the council to represent a wide spectrum of interests in
consumer protection.

5.8 PRODUCT AND PRDUCT LIABILITY:

"Product" means any article or goods or substance or raw material or any extended cycle of such
product, which may be in gaseous, liquid, or solid state possessing intrinsic value which is capable of
delivery either as wholly assembled or as a component part and is produced for introduction to trade
or commerce, but does not include human tissues, blood, blood products and organs;(as defined in the
Act).

Defect and Deficiency:

"Defect" means any fault, imperfection or shortcoming in the quality, quantity, potency, purity or
standard which is required to be maintained by or under any law for the time being in force or under
any contract, express or implied or as is claimed by the trader in any manner whatsoever in relation to
any goods or product and the expression "defective" shall be construed accordingly;
"Deficiency" means any fault, imperfection, shortcoming or inadequacy in the quality, nature and
manner of performance which is required to be maintained by or under any law for the time being in
force or has been undertaken to be performed by a person in pursuance of a contract or otherwise in
relation to any service and includes:
(i) any act of negligence or omission or commission by such person which causes loss or injury to the
consumer; and
(ii) deliberate withholding of relevant information by such person to the consumer;

Product Liability:
"Product liability" means the responsibility of a manufacturer or seller, of any product or service, to
compensate for any harm caused to a consumer by such defective product manufactured or sold or by
deficiency in services relating thereto;
"Product liability action" means a complaint filed by a person before a District Commission or State
Commission or National Commission, as the case may be, for claiming compensation for the harm
caused to him;
A product manufacturer shall be liable in a product liability action, if
(a) the product contains a manufacturing defect; or
(b) the product is defective in design; or
(c) there is a deviation from manufacturing specifications; or
(d) the product does not conform to the express warranty; or
(e) the product fails to contain adequate instructions of correct usage to prevent any harm or any
warning regarding improper or incorrect usage.

A product service provider shall be liable in a product liability action, if

(a) the service provided by him was faulty or imperfect or deficient or inadequate in quality, nature or
manner of performance which is required to be provided by or under any law for the time being in
force, or pursuant to any contract or otherwise; or
(b) there was an act of omission or commission or negligence or conscious withholding any
information which caused harm; or
(c) the service provider did not issue adequate instructions or warnings to prevent any harm; or
(d) the service did not conform to express warranty or the terms and conditions of the contract.

A product seller who is not a product manufacturer shall be liable in a product liability action, if
(a) he has exercised substantial control over the designing, testing, manufacturing, packaging or
labelling of a product that caused harm; or
(b) he has altered or modified the product and such alteration or modification was the substantial
factor in causing the harm; or
(c) he has made an express warranty of a product independent of any express warranty made by a
manufacturer and such product failed to conform to the express warranty made by the product
seller which caused the harm; or
(d) the product has been sold by him and the identity of product manufacturer of such product is not
known, or if known, the service of notice or process or warrant cannot be effected on him or he is
not subject to the law which is in force in India or the order, if any, passed or to be passed cannot
be enforced against him; or
(e) he failed to exercise reasonable care in assembling, inspecting or maintaining such product or he
did not pass on the warnings or instructions of the product manufacturer regarding the dangers
involved or proper usage of the product while selling such product and such failure was the
proximate cause of the harm.

5.9 LAW OF TORTS

In the Oxford dictionary, you find the meaning of tort as “something wrong that somebody does to
somebody else that is not criminal but that can lead to action in a civil court”, Law of torts apply in
cases where a ‘civil wrong' has been committed by one person against another. Defamation is a
typical example of tort. The word ‘tort’ is derived from a Latin word ‘tortum’, meaning twisted or
crooked. Law of torts is not a codified law like the criminal procedure code. Law of torts essentially
comes from case laws or judgments given in different cases. There are no sections in Tort law as in
the penal code. There are also no pre-defined punishment or damages in tort law.
The main purpose tort law is to enforce the duties and rights of citizens. This also leads to damages
claimed by the person whose right is violated. The rights can in general be considered as:
• Right of reputation
• Right to bodily safety and freedom
• Right of property
Tort law is applicable where a civil wrong is committed. Civil wrong is different from a criminal
wrong: A civil wrong under tort is a violation somebody’s right by another person and is a private
wrong, there is no codified rules for dealing with torts, monetary compensation is the most common
claim for the injury (right violation) caused and compensation is not pre-determined and is decided by
the court in each case. A criminal wrong on the other hand is a public wrong, case is generally given
by the state and is dealt with procedures detailed in the code and punishment is generally laid out in
the code for different types of criminal wrongs.
Every wrong act may not come under the law of torts. Three conditions need to be fulfilled for dealing
with it under the law of torts:
• Existence of wrongful act causing injury (violation of right)
• Legal damages (Existence of actual damages or legally received damages)
• Legal remedy ('ubi jus ibi remedium’ For every wrong, law provides a remedy.)
All the three conditions must be fulfilled for considering the incident under the law of torts. You can
generally classify torts into three types:
• Intentional torts like defamation
• Negligence, not taking proper care to avoid wrong to others
• Strict liability, hazardous activities with potential for damage
Two important tort principles are:
Injuria sine Damnum (injury without damage) is a case where right violation happens but without
damage. An exemplary case for this is a case of voting rights (Ashby Vs White). A person was
prevented from voting by the returning officer of a voting station. The candidate to whom this person
wanted to vote did win the election despite this person not voting. The person, who was not allowed
to vote went to the court for damages for violation of the right to vote. The returning officer’s case
was that the candidate for whom the person wanted to vote has won the election in any case. There
was no damage done and hence they are not liable to compensate the person. The court took the view
that there was violation of right to vote and the entitlement to compensation remained irrespective of
there being no damage.
Damnum Sine injury (Damage without injury) is the second principle governing the violation of right
and damage. An example quoted to illustrate this principle is that of a school teacher who left the
school he was working with and started a school nearby. This act led to the loss of students for the old
school and in order to be competitive the school had to reduce fees as well. They suffered a loss
because of this act of the old teacher. In this case, while there is damage and loss to the school, they
are not entitled to any compensation as there was no violation of any of their rights. The teacher who
left the school was well within his right to start a school and this act was not a violation of any right of
the school. The school was not this entitled to any claim of compensation.
Some exceptions to the Tort law can come from:
• Personal fault of the injured party
• Act of God (vis major)
• Consent of plaintiff (violent non-fit injuria)
• Inevitability
• Necessity
Act done by a statutory authority (like police or IT personnel coming into your property as a part of
investigation; it is not trespassing) Vicareous liability comes as a part of third party liability, as in the
case of the liability of an employer for a wrongful act by the employee.
Absolute liability comes because of dangerous activity which has a potential to cause damage even if
the actual damage is caused by not an individual fault. (Bhopal gas leak case)
Law of Torts is not a codified law but is based of previous cases and pronounced judgments. Remedy
in Tort cases is mainly monetary compensation and is decided by the court in each case based upon
the extent of injury and other factors.

REVIEW QUESTIONS:

I) Explain the difference between an agreement and a contract giving an example of each.
ii) Explain the statement: All contracts are agreements but all agreements are not contracts.
iii) List any six essential elements of a legally valid contract.
iv) Explain the formation of contracts giving the steps required to make a valid contract.
v) Enlist the rights of a consumer
vi) Explain the structure in India for consumer grievance redressal.
vii) Briefly state the new provisions in the consumer protection Act 2019.
viii) Explain the concept of product liability.
ix) List the powers of the Central Consumer Protection Authority.
x) Explain the meaning of the term’Tort’ with examples.
xi) Explain the basis for dealing with a tort case as it is not a codified law.
xii) Explain the concept of tort cases with three examples.
xiii) Explain the essential features of a tort case.
xiv) Explain the terms ‘injuria sine damnum’ and ’damnum sine injuria’ with examples.
xv) Explain the concept of product safety with examples.
xvi) Explain the consideration risk and cost in product design with an example.
 Chapter 6
ENVIRONMENT AND HUMAN HEALTH

Learning Objectives:
After reading through this chapter, the reader will be able to:
• Appreciate the importance of clean environment for human health
• Discuss salient features of environmental Protection Act 1986
• State the objectives of the environmental protection act.
• State the objectives of environmental Impact assessment notification 2006
• Explain the steps involved in environmental impact assessment and providing
environmental clearance for a project
• State the advantages and disadvantages of EIA
• State the major air pollutants considered in emission standards
• Define air quality index and how it is notified

6.1 Introduction
In this chapter, we discuss the very important issue of environmental protection which many in
the scientific community feel is crucial to the very existence of liveable healthy planet Earth.
India is a signatory to the Stockholm Convention and Paris accord on climate change.
Environmental protection Act 1986 was introduced to fulfil our commitment to protecting the
climate. As a part of this act and developments thereafter, the Environmental impact assessment
notification was issued in 2006. India also stipulated emission standards for various type of
industries to achieve overall emission reduction commitments. These will be discussed in brief
in this chapter followed by two case studies related to these ideas.

6.2 Understanding the environment: We need to first understand the term environment,
what it means and its importance.
The Stanford Encyclopedia of Philosophy defines environmental ethics as ‘the discipline that
studies the moral relationships of human beings to, and also the values and moral status of, the
environment and its non-human contents’. Over the years, environmental ethics has developed
into a discipline by itself after remaining a branch of philosophy for many years. That is
indicative of the critical nature of the discipline as well. Environmental issues are often local
to a particular community. However, many environmental issues have now been recognized as
truly global, with ominous ramifications for planet Earth in general and human society in
particular.

While individuals, professionals in particular, must be aware of their roles and responsibilities
in protecting the environment in their specific areas of work, some environmental issues have
assumed gigantic proportions that need to be tackled at a global level. The following are some
major issues that concern environmental ethics today:
• Anthropocentrism or human-centredness in development that is at the core of many of the
environmental issues
• Conservation of biodiversity in the biosphere
• Energy conservation including nuclear energy
• Global climate changes
• Overpopulation and destruction of forests or animal habitats
• Exponentially increasing depletion of natural resources
• Genetic engineering, cloning, genetically modifi ed foods
• Waste disposal and e-waste
• Intensive farming and overuse of pesticides
• Ozone depletion
There are many more such issues connected with environmental ethics.

Environment
By environment, we mean the space that we live in. This is called biosphere as this is the
space that supports life. It is interesting to note that in spite of the very extensive search of the
galactic space around us, we are yet to find a similar biosphere in any other location. By all
counts, we live in a very unique planet. The biosphere consists of three media for life—air,
water, and land. There are millions of life forms living in the three elements of the biosphere.
The living forms are classified as humans, animals, and plants. A major ethical problem
concerned with the environment is the concept that human beings are the only life forms
having a right to live and prosper and other elements, living or otherwise, are for them to
exploit and use for their own well-being. Challenging this philosophy is the genesis for
environmental ethics as a discipline.

Many people consider this a western philosophy that has caused immeasurable, and possibly
irreparable, damage to the environment. Many of the environmental ills that we see today,
such as climatic changes, depletion of ice cover, and ozone depletion, are the result of this
human-centred development. Many claim that such development is not sustainable.
Protecting the environment and maintaining the ecosystem’s balance is just not an aesthetic
fad but an economic necessity.

Challenge of Environmental Ethics

Environmental ethics developed as a discipline in the 1970s. Attention was drawn to the
global effect of environmental damage and it was felt that the root cause of this disaster is
ethical.

Rachel Carson was the first to draw attention to this. She highlighted the damage caused to
other life forms and also to public health by commercial farming practices aimed at producing
high yield and profits. She also warned that the use of high level of pesticides would make its
way into the food chain, causing health hazards. Lynn White in his writings on the historical
cause of our ecological crisis has pointed out that the way we deal with the environment is
unethical and faulty, and we will have to finally pay for such extravagance in using the
natural resources. Garret Hardin in his essay Tragedy of the Commons highlighted the same
view.

Aldo Leopold claimed that the roots of the ecological crisis were philosophical. In the
western developed world, the philosophy was to exploit natural resources for the benefit of
the human society at the expense of other life forms. This view holds that humans are the
only life forms having intrinsic value, that is, value as an end in itself. Other elements of the
biosphere, living and non-living, have only instrumental value, as a means to an end.
According to environmental ethicists, this philosophy is at the root of the environmental crisis
that we face today. Environmental ethics tries to look at development from a new perspective
of coexistence of all life forms and development of the human society in a sustainable
manner.

Anthropocentrism
Anthroprocentrism is a word that has been coined to indicate the human-centredness in
development. This philosophy puts human beings at the centre of the universe. Their wellbeing
is the priority. All other living and non-living things have value only to the extent that they are
of use to human beings. The apparent prosperity in the western world is said to be due to this
philosophy. Human-centred development considers that humans are living beings with all the
rights and that all other resources, including other living elements, are exclusively for use by
them. This does not recognize the right of animals and plants to live. Anthropocentrism is an
extended form of egoism. Typical expressions of this ideology can be seen in the western world.

A herbal plant has instrumental value as it can be used as a medicine. It may not have any
intrinsic value. As the human population increases, we look for space to live and encroach upon
the habitat of animals by clearing forests. Unless we recognize that other life forms also have
intrinsic value and recognize their right to live and multiply, we will have development that
would finally lead to catastrophe for the human beings themselves. The philosophical view that
gives equal importance to all living forms and recognizes their right can be called biocentrism.

Biocentrism puts all living elements in one basket recognizing their right to live, prosper, and
coexist, and also share equally the resources available in the planet. It may be noted that some
ethicists working in the area feel that there is no need to have a non-anthropocentric philosophy
to overcome the environmental crisis. A change in outlook, called prudential or benign
anthropocentrism, is suffi cient for overcoming the environmental crisis. This would be an
outlook between highly human-centred development and biocentrism.

A third view considers the inherent stabilizing power of nature and holds that the present
environmental crisis, if any, will be overcome by nature in the course of time. There is no need
for the human society to be unduly concerned about the present state.

Sustainable Development
Sustainable development is a term credited to the Brundtland Commission, which defined it as
‘development that meets the needs of the present generation without compromising the ability
of future generations to meet their own needs.’ Sustainable development is thus a pattern of
resource utilization that meets the needs of the present but at the same time takes care of the
needs of posterity. The three competing requirements of this model are the environment,
society, and economy. Sustainable development is at the confluence of the three major elements
of this diagram. Sustainable development can be seen as economic development of the society
in equilibrium with the supporting ecosystems.

Sustainability has to satisfy the three competing requirements of economic prosperity,

environmental quality, and social equity. As the human society pursues the goal of economic
prosperity, it has to take care of environmental stability and social equity. Heavy and speedy
use of natural resources results in development that cannot be sustained.
Green development is a still narrower term used by some. Protagonists of this theory believe
that environmental stability should be given priority over the other two elements of the
development paradigm. The key to sustainable development is the development of technologies
that lead to sustainable elements of the development paradigm. The western developed world’s
technologies are considered to be the root cause of the present environmental crisis. The
unabashed and extreme use of natural resources for development is at the root of the present
crisis. The UN has formed a commission for sustainable development after the Earth Summit
at Rio de Janeiro in 1992. The politics of development started from there. While the world
agrees on the concept of sustainable development, the implementation of this concept has been
a critical issue. The poor nations, which cannot afford and do not have the resources to develop
and use modern, sustainable technologies for development, want the developed nations to bear
the burden of developing such technologies. It is their moral responsibility to do so as they are
responsible for the present mess. The developed economies do not come forward to the desired
extent.

There have been many critics of the sustainable development concept. They argue that
the term is very vague to give any pragmatic ways of achieving it. While not disagreeing
with the basic idea, there is a need to clarify the concept in specific areas for a workable solution
to the present problems facing our environment.

Ecosystem
The term ecosystem was coined in 1930 by Roy Clapham. He defined it as the combined
physical and biological components of an environment. Central to the idea of ecosystem is the
fact that the living organisms of the ecosystem interact with every other element of the
ecosystem. The elements of the ecosystem are interdependent for their survival. Ecosystems
are classified as follows:
• Terrestrial ecosystem, when the ecosystem is land-based
• Aquatic ecosystem, when it is based in water bodies
• Marine ecosystem, when it is based in oceans
• Desert ecosystem, when it is based in deserts
• Rainforest ecosystems, when it is based in rainforests, and so on

An ecosystem has thousands of life forms. The interdependence of life forms is critical for the
survival of the ecosystem. An oil spill in the ocean (a very common occurrence) or dredging of
shorelines to make a port, etc., destroys the ecosystem present there.

Food Chain and Food Web

Many studies conducted on ecosystems have proved the existence of food chains. Food chains
are linear depictions of how the energy needs of life forms are taken care of in nature. Animals
that eat plants (herbivorous) derive energy from the plants they eat. The plants in turn derive
energy from sunlight by photosynthesis. Other animals eating these herbivorous animals, thus
get energy to sustain themselves.

The food chain is a sequence, generally linear, through which energy transfer takes place to
sustain life. A simple example is given here: An insect survives by eating the leaf of a plant,
the insect is eaten by a frog, the frog is consumed by a snake, and the snake is eaten by a vulture.

Such a linear energy transfer mechanism is called a food chain. In practice, many food chains
overlap, leading to a complex mechanism of interdependence. Such a mechanism is known as
a food web. At the bottom of the food chain is the basic producer of energy, that is, the green
plant that absorbs energy from the sun.

Biodiversity
The term biodiversity refers to the myriad variety of life forms thriving in an ecosystem.
Biodiversity is very rich in tropical forests, both in terms of plant and animal species. It has
been observed that developmental activities have disturbed ecosystems in many parts of the
world and many species have become extinct. Tigers in India are an example. They are in the
endangered list due to poaching and the loss of habitat. Whales are also in the endangered list
due to extensive killing by humans. Preserving biodiversity is critical to preserving ecosystems.

Biodiversity is often defined as the totality of genes, species, and ecosystems of a region. It
is often used as a measure of the health of ecosystems. This reflects the three levels at which
biological diversity has been identified: genetic diversity, species diversity, and ecosystem
diversity. The UN has defined biodiversity as ‘variability among living organisms from all
sources including terrestrial, marine and other aquatic systems and ecological complexes of
which they are a part. This includes diversity of species, between species and between
ecosystems.’

The importance of biodiversity comes from the fact that it is a very beneficial concept to the
society. Biodiversity contributes in maintaining air quality, water purification, climate, disease
control, prevention of pollution, prevention of erosion, biological pest control, etc.

Climate Changes
Over the years, the climate in various places has undergone perceptible changes. In India,
delayed monsoons, excessive rains and floods, drought conditions, etc., have become common.
It is believed that these are due to many man-made causes. The factors that contribute to climate
change are called climate forcings. These can include factors such as changes in solar radiation
patterns, changes in the earth’s orbit, and concentration of greenhouse gases. It is the last factor
that is essentially man-made.

Greenhouse Effect
The greenhouse effect is due to the presence of green house gases in the atmosphere. Gases
producing greenhouse effect are water vapour, carbon dioxide (CO2), methane, ozone, and
chlorofluorocarbon (CFC). The sun’s rays provide energy to the earth. The greenhouse gases
have the effect of trapping infrared radiation, which is essentially heat radiation. The trapped
heat is radiated both upwards and downwards. This results in the warming of the atmosphere.

Global Warming
As we have seen, the greenhouse effect increases the temperature of the earth’s atmosphere.
In fact, the greenhouse effect makes life possible on the earth, as without it if all the radiation
is sent back to space, the temperature on the earth would not support so many life forms.
However, the presence of greenhouse gases in the atmosphere increases the temperature more
than it should. The presence of excessive CO2 in the atmosphere causes warming. This
excessive CO2 is due to the excessive burning of gaseous fuels coupled with the decrease in
forest cover, which could have absorbed the gas. Aerosols, which are suspensions of solid–
liquid particles in gas, have the opposite effect. Man-made aerosols in the atmosphere are due
to the burning of fossil fuels and tend to have a cooling effect, compensating the warming effect
of gases such as CO2. Global studies have indicated that the average temperature has increased
marginally over the years.
The effect on the climates of regions around the world has been remarkable. Studies on
climatic conditions have brought out many changes in the climates, as well as other factors.
Rising sea levels have the effect of reducing land area and damaging ecosystems that thrive
there. The frequency of floods have increased, and so have drought conditions and hurricanes.
The conclusion is that changes in climate have been natural and are due to factors that point to
man-made changes to the environment.

Exhibit 7.4 discusses the concept of carbon credits.

Carbon Credits
Carbon credits and carbon markets are attempts by national and international agencies to reduce
pollution and decrease the concentration of greenhouse gases. A carbon credit is a certificate
or permit representing the right to emit one tonne of carbon dioxide or an equivalent of other
greenhouse gases. The certificate is tradable through carbon trade exhanges. The concept is
essentially to mitigate the growth in the concentration of greenhouse gases that affect the
environment and climate.

The concept of tradable carbon credits is to allow market mechanisms to drive and control
industrial processes in the direction of low emissions. The major industries using fossil fuel
that produce greenhouse gases are cement, steel, textile, fertilizer, etc. The concept of carbon
credits came as a result of the increasing level of greenhouse gas (GHG) pollution due to the
burning of fossil fuels. The Intergovernmental Panel on Climate Change (IPCC) has observed
the following:
‘Policies that provide a real or implicit price of carbon could create incentives for producers
and consumers to significantly invest in low-GHG products, technologies and processes. Such
policies could include economic instruments, government funding and regulation, while noting
that a tradable permit system is one of the policy instruments that has been shown to be
environmentally effective in the industrial sector, as long as there are reasonable levels of
predictability over the initial allocation mechanism and long-term price.’

Kyoto’s ‘Flexible Mechanisms’

The Kyoto Protocol (htt p://en.wikipedia.org/) provides three mechanisms that enable countries
or operators in developed countries to acquire greenhouse gas reduction credits:
• Under Joint Implementation (JI) a developed country with relatively high costs of domestic
greenhouse reduction would set up a project in another developed country.
• Under the Clean Development Mechanism (CDM) a developed country can ‘sponsor’ a
greenhouse gas reduction project in a developing country where the cost of greenhouse
gas reduction project activities is usually much lower, but the atmospheric effect is globally
equivalent. The developed country would be given credits for meeting its emission reduction
targets, while the developing country would receive the capital investment and clean
technology or beneficial change in land use.
• Under International Emissions Trading (IET) countries can trade in the international carbon
credit
market to cover their shortfall in the assigned amount units. Countries with surplus units can
sell them to countries that are exceeding their emission targets under Annex B of the Kyoto
Protocol.

Do you think carbon credits are an effective way to save the planet?
Energy Concerns
Development activities require energy. Energy is generated and used in many forms by
conversion. Water power is used in generating electricity by constructing dams. Electricity
is generated using coal and oil also. The world is moving towards a high energy consuming
lifestyle. The natural sources of energy, such as oil, gas, and coal, are getting depleted fast.
People in many developed countries follow a lifestyle that requires a considerable amount of
energy. Energy concerns arise from the fact that the world is consuming energy at a rate that is
not sustainable for very long. Conservation efforts and the search for alternate forms of energy
are required to tide over this crisis.

The energy-guzzling lifestyle of the people in developed countries is a matter of concern.

They have to take a lead in changing this pattern of energy consumption. Developing countries,
such as India and China, with huge populations, are following in the footsteps of developed
countries and need to seriously rethink about the development paradigm. At the individual
level, everyone has to be conscious of conserving energy. Many efforts are on to find alternate
and non-conventional sources of energy such as photovoltaic (PV) energy from the sun, wind
energy, bio-fuels, and wave energy.

Ozone Depletion
Ozone is the layer of gas found in the stratosphere. Recent years have witnessed a 4 per cent
per decade depletion of the volume of ozone gas. A larger but seasonal depletion of ozone layer
has also been found in the polar regions. Depletion of ozone in the polar regions is known as
the ozone hole.
The depletion in ozone volume is thought to be due to the presence of CFCs in the atmosphere,
which break down the ozone. The CFCs are present in commonly used refrigerants. The ozone
layer has the effect of preventing harmful ultraviolet (UV) rays from reaching the earth’s
atmosphere. UV rays are harmful to plants and humans.
The increased UV radiation reaching the earth’s atmosphere is believed to be the cause of
increased skin cancer in humans. Though global warming and ozone depletion are not directly
related, the same gases that cause global warming also cause ozone depletion.

Pollution
Pollution is the contamination of the three elements—air, land, and water—of the biosphere.
This leads to many diseases of the life forms in the biosphere.
Air Pollution
Air pollution is due to the increased presence of solid particles, harmful liquids, and gases in
the air. While pollution can also arise due to natural causes, such as earthquakes and volcanic
eruptions, the pollution that we see today is due to developmental activities. Air pollution is
severe in urban centres where human activities are concentrated. Smoke and exhaust gases
from industries and automobiles are the major cause of air pollution.

The pollutants in the air we breathe are solid particles such as soot, asbestos, dust, and
liquids such as acid droplets and oxides of carbon. Nitrogen, sulphur, methane, and benzene
are also present in the air. The major causes of air pollution in the megacities and urban sprawls
are as follows:
• Burning of fossil fuels in automobiles, cooking and heating devices, power stations using coal
and many industries
• Extensive mining operations to extract coal and other minerals
• Wastes from nuclear fuels, biofuels, etc.
• Construction activities
• Decaying organic matter
• In war zones due to explosion of bombs and gunfire
• Natural disasters

Many cities in India have extreme levels of air pollution. Smog, a combination of dust
particles and smoke in the air reduces visibility. Air pollution is becoming an increasing risk
for human health.

The harmful effects of air pollution have been studied by many. These studies have clearly
indicated the increased levels of deterioration in health among children and adults. At low
levels, air pollution causes eye irritation and inflammation of the respiratory tract. Pollution
also corrodes metals and affects buildings. At very high levels, air pollution can lead to acid
rain, ozone depletion, and global warming.

Land Pollution
A major concern with land is the reduction in area of forest land, which is the habitat of
a wide variety of animals, birds, and insects, in addition to plants. As the human population
grows, land is needed for housing and other developmental activities. Forests are cleared
to make land available for this purpose. As the number of mouths to feed increases, more
agricultural land is required for growing vegetables and grains, and again the casualty is the
forest land.

Land pollution is mainly due to intensive agricultural practices using chemical fertilizers and
pesticides. These pesticides damage the land and destroy the ecosystem thriving there. Land
pollution is also caused by excessive dumping of domestic and industrial waste in dumping
grounds. As more and more waste is generated, more land is acquired for dumping. Mining
and other activities also damage the land.

Land pollution causes severe damage to virgin land and makes it a health hazard. Over the
years, the fertility of the land decreases. Land pollution kills the ecosystem present in the area.

Excessive use of pesticides can damage crops and kill birds and animals.
Many suggestions have been made to avoid the pollution of land. Organic farming practices
using conventional fertilizers will reduce land pollution. We need to also look at using a
reduced quantity of pesticides. Recycling of waste is a necessity. More efficient garbage
disposal mechanisms are required if we want to save the land and remove health hazards.

Water Pollution
Water bodies form the lifeline of many communities in India. Ground water is also extensively
used by communities for various purposes. Many studies have indicated that most of the small
water bodies are severely polluted by the residue pesticides washed away from land. They are
not potable and cannot even be used for other purposes. There are a large number of cases of
fluorosis in many communities due to the presence of high levels of fluoride. Fluorosis is
present in large quantities in deep borewell water.

Water also gets contaminated by industrial waste being discharged without treatment, and
leakage of sewage water into water bodies. Arsenic poisoning and metal contaminants have
been found in many water bodies.
Our rivers are heavily polluted. Perennial rivers, such as the Yamuna and the Ganga, have
shown increased levels of pollution. Rivers that have clean water at the origin get polluted as
they pass through habitats and industrial towns, due to industrial effluents, seepage of sewage
water, and contaminants drawn from land pollutants.

Oceans are also getting severely polluted. Marine pollution is a result of industrial and
agricultural pollutants. Sewage water is a major source of sea water pollution near the
coasts. Oil spills from sea carriers is a major cause of concern as they destroy the ecosystem
in the area.

Nowadays, there is greater awareness of the problem of pollution in the international

communities. However, the question remains—Are we doing enough to reduce pollution?

Land Use
Nearly 70 per cent of the earth’s surface is covered with water. The land area available is very
limited. All terrestrial life forms have to live and survive on this area. The use of available land
is thus critical. As human population increases, there is a need to fi nd more and more land for
our living and other developmental activities. We have, thus, encroached upon the land area
originally occupied by other life forms. A major factor has been the cutting of forests to make
land available for the human population. This encroachment upon land area by humans has
destroyed the ecosystem in these areas. An example is the tiger population in India. Despite the
Save the Tiger project undertaken by the government, their population has dwindled due to
poaching and a reduction in their habitat. While there is a lot of awareness about this and
dedicated animal parks have been made, we still have the problem of making more land area
available to the ever-increasing human population.

Noise Pollution
A rather recent phenomenon in our country is noise pollution. This has become a serious issue
for many people. With technology providing us with high watt amplifiers and batteries to run
them on mobile vehicles, we are in an era of high level of noise pollution.

Noise is measured in decibels (dB). Noise levels beyond about 60 to 70 dB become

uncomfortable to many. Many times we raise noise levels to three digits and that clearly
becomes noise pollution.

All our celebrations have become just din and decibels. In religious festivals, marriages, and
any other kind of celebrations, noise-making is considered the best way to show that you are
doing it well or enjoying it.

Noise levels can cause many types of discomforts. It is particularly so for the elderly. High
noise levels can contribute to cardiovascular effects in humans and an increased incidence
of coronary diseases. Constant exposure to high noise levels can also cause hearing loss.
In animals, noise can increase the risk of death, interfere with reproduction and navigation, and
contribute to permanent hearing loss.

Noise pollution is a major problem in our country. The government of India has rules &
regulations against fire crackers and loudspeakers. It is found, however, that enforcement is
extremely lax. Awaaz Foundation is an NGO working to control noise pollution from various
sources through advocacy, public interest litigation, awareness, and educational campaigns.
In spite of existing laws and increased enforcement, laws have not been found to be very
effective in controlling noise pollution.

Ethical Issues
Having discussed the various environmental concerns, let us look at the present ethical issues
drawing attention globally:
• Should we do away with the paradigm of human-centred development and consider that
all life forms have intrinsic value? What specific actions are required to show that we have
indeed changed our view?
• What should be the responsibilities of the developed world, which is considered to be the
main cause of the present environmental crisis, to develop, adopt, and transfer environment-
friendly technologies to the poor, developing societies?
• There are a plethora of conventions and agreements on various aspects of the environment.
Is there an efficient mechanism to monitor unethical actions by member countries?
• What about the view that nature will take care and balance things by itself ? Is environmental
crisis a myth?
• How can countries, corporate entities, and individuals contribute to mitigate the crisis we
face today?
6.3 Environment Protection Act 1986
The Environmental Protection Act (EPA) 1986 was formulated after the Bhopal Gas tragedy
of 1984 to protect the Environment and human health. Two acts relating to the environment
existed before EPA was promulgated:
• Air (prevention and control of pollution) Act 1974
• Water (prevention and control of pollution) Act 1974
The Stockholm convention 1972 on human health and environment was another major
milestone in protecting the environment. India is also a signatory to the convention. The
convention focused on Persistent Organic Pollutants (POPs) like DDT and pesticides which
remain in the environment for a long time and cause ill health and damage the environment.
The Constitution of India, as originally drafted, had no provisions pertaining to environment.
The 42nd amendment added to the fundamental duties of citizens the protection of the
environment including forests, lakes, rivers and wild life.
Terminology: The following terms have the meaning as given in the act:
“environment” includes water, air and land and the inter-relationship which exists among and
between water, air and land, and human beings, other living creatures, plants, micro-organism
and property;
“environmental pollutant ” means any solid, liquid or gaseous substance present in such
concentration as may be, or tend to be, injurious to environment;
“environmental pollution” means the presence in the environment of any environmental
pollutant;
“handling”, in relation to any substance, means the manufacture, processing, treatment,
package, storage, transportation, use, collection, destruction, conversion, offering for sale,
transfer or the like of such substance;
“hazardous substance” means any substance or preparation which, by reason of its chemical
or physico-chemical properties or handling, is liable to cause harm to human beings, other
living creatures, plants, micro-organism, property or the environment;
“occupier”, in relation to any factory or premises, means a person who has control over the
affairs of the factory or the premises and includes, in relation to any substance, the person in
possession of the substance;
The central government has, under this act, powers to:
(i) co-ordinate of actions by the State Governments and other relevant authorities under this Act
and any other law in force which is relevant to the objects of this Act;
(ii) plan and execute nation-wide programmes for the prevention, control and abatement of
environmental pollution;
(iii) lay down appropriate standards for the quality of environment;
(iv) lay down standards for emission or discharge of environmental pollutants from various
sources;
(v) restrict or specify areas in which any industries, operations or processes shall be carried out
or shall not be carried out subject to specified safeguards;
(vi) laying down procedures and safeguards for the prevention of accidents which may cause
environmental pollution and remedial measures for such accidents;
(vii) lay down procedures and safeguards for the handling of hazardous substances; (viii)
examine and report of such manufacturing processes, materials and substances as are likely to
cause environmental pollution;
(ix) carry out and sponsor investigations and research relating to problems of environmental
pollution;
(x) inspect any premises, plant, equipment, machinery, manufacturing or other processes,
materials or substances and give directions to such authorities, officers or persons to take steps
for the prevention, control and abatement of environmental pollution;
(xi) establish or recognize environmental laboratories and institutes to carry out the functions
entrusted to such environmental laboratories and institutes under this Act;
(xii) collect and disseminate information in respect of matters relating to environmental
pollution;
(xiii) prepare manuals, codes or guides relating to the prevention, control and abatement of
environmental pollution;
(xiv) Take all other steps deemed necessary or expedient for the purpose of securing the
effective implementation of the provisions of this Act.
The 48th amendment added new directive principle of state policy to protect and improve the
environment and to safeguard the forests and wild life. This is stated as:
"The State shall endeavour to protect and improve the environment and to safeguard the forests
and wildlife of the country”.
Environmental Protection Act 1986 is drafted in four sections as:

Chapter 1 Preliminary
Chapter 2 General Powers of the Central Government
Chapter 3 Prevention, Control and Abatement of Environmental Pollution
Chapter 4 Miscellaneous

The origin and purpose is stated as:

The enactment of the Act arose from ‘decisions taken at the United Nations Conference on the
Human Environment held at Stockholm in June, 1972, in which India participated, to take
appropriate steps for the protection and improvement of human environment.’
The main goal of the Act is to initiate actions ‘further to implement the decisions aforesaid in
so far as they relate to the protection and improvement of environment and the prevention of
hazards to human beings, other living creatures, plants and property.’
The main aim of the act can be stated as:
• To initiate actions as per decisions taken in the Stockholm convention
• Enacting laws as per need to protect the environment
• Create an institutional authority and structure to regulate industry and take action for
any violation
• Coordinate activities by different agencies under existing laws for prevention and
control of pollution
• Set standards for emission by different industries
• Enforcing the environmental protection act and impose penalties for violation
• Attain the right to life in a healthy environment to every citizen of the country as assured
in the constitution
Central and State Pollution Control Boards: The central pollution control board is under the
Ministry of environment and forests. The functions of CPCB are (as given in their website)
• Advise the Central Government on any matter concerning prevention and control of
water and air pollution and improvement of the quality of air.
• Plan and cause to be executed a nation-wide programme for the prevention, control or
abatement of water and air pollution;
• Co-ordinate the activities of the State Board and resolve disputes among them;
• Provide technical assistance and guidance to the State Boards, carry out and sponsor
investigation and research relating to problems of water and air pollution, and for their
prevention, control or abatement;
• Plan and organise training of persons engaged in programme on the prevention, control
or abatement of water and air pollution;
 • Organise through mass media, a comprehensive mass awareness programme on the
prevention, control or abatement of water and air pollution;
• Collect, compile and publish technical and statistical data relating to water and air
pollution and the measures devised for their effective prevention, control or abatement;
• Prepare manuals, codes and guidelines relating to treatment and disposal of sewage and
trade effluents as well as for stack gas cleaning devices, stacks and ducts;
• Disseminate information in respect of matters relating to water and air pollution and
their prevention and control;
• Lay down, modify or annul, in consultation with the State Governments concerned, the
standards for stream or well, and lay down standards for the quality of air; and
• Perform such other function as may be prescribed by the Government of India.

There are similar boards at state level performing similar functions at state level.
Supporting Acts: The environmental act is supported by many acts in the efforts to save the
environment. Some of these are:
• Air (Control and prevention of pollution) act 1981,1987
• Water (control and prevention of pollution) act 1974,1988
• Coastal Regulation Zone (CRZ) 1991
• Wetlands Conservation and management rules 2010
• Biodiversity Act 2002

6.4 Environmental Impact Assessment 2006

All economic, developmental activities which create wealth, provide jobs and make available
goods and services for the community have necessarily some adverse effects as well. For
example,
• Construction of a dam stores water that is used for irrigation of agricultural land and
also hydropower generation. It benefits a large number of farmers in producing
agricultural crops and benefits us with grains, vegetables and fruits for consumption.
But the construction of the dam creates a water body that submerges many hectares of
human habitat, destroys an ecosystem of thriving flora and fauna and make many
people lose their livelihood.
• Highway project for construction of roads for ease of travel may require acquiring of
land that displaces many hundreds of people, cutting down of many thousands of trees
and disturbs the life of many live forms like birds, insects and other animals.
Recognizing this adverse effect of developmental projects, project planners used to simply
enlist the economic benefits of the projects and the steps that can be taken to alleviate any
hardships faced by displaced people. This is presented in the justification of projects. Even in
those times, many activists used to object to the projects pointing to the inadequate steps taken
to relocate and rehabilitate people displaced. Narmada dam is an example where agitation by
Medha Patkar went on for many years seeking justice to the displaced people. While there were
environmental activists even in those days, they had much less say in the matter due to lack of
any legislation for this purpose.
China is a typical example of the unhindered and uncaring industrialisation for economic
prosperity. China became an economic power by heavy emphasis of economic development
and large scale industrial activity. China not only faced heavy pollution of air and water bodies,
cities like Shanghai had to virtually close down for many days due to air pollution.
The concept of environmental impact assessment was initiated in the USA after the enactment
of the National Environmental Policy Act (NEPA) 1969. Many developed countries followed
with similar legislations for protecting the environment. The World bank, while financing large
projects in many countries, started a mandatory environmental impact study before finances
can be released for projects. In India, Air (prevention and control of pollution) Act 1974 and
Water (prevention and control of pollution) Act 1974 existed with respect protection of the
environment.
Before the introduction of the EIA notification, some measures were in place to check the
environmental impact of the projects but they were all administrative decisions on a case to
case basis. Statutory (mandatory) EIA came into force after the EIA notification of 2006.
The main aims of EIA are to:
• All projects are scrutinised in the very early stages for any impact on the environment
and health
• Alternatives are studied to arrive at the best project profile which is environment
friendly and cost effective
• Identify and predict the way the project impacts the environment
• Take steps to evaluate the mitigate any adverse environmental impact
• Ensure that economic objectives do not dominate decision making

EIA 2006 has categorized industries into A and B. This categorisation is based on spatial
extent of the project, impact on natural and man-made resources and human health.
According to EIA notification 2006, EIA is mandatory for
• All new projects
• Expansion of capacity and modernisation
• Change in product mix or change in process or technology

Category A projects are to be apprised by the central government through an expert advisory
committee. Category B projects are to be apprised by the State Environment Impact Assessment
Authority through a state level advisory committee.
Category B projects are also divided into B1 and B2 categories. If a project falls in B1 category
EIA is mandatory for the project, For B2 category projects, no EIA is required.
Environmental clearance report is necessary for the project to start real operations. While some
preliminary work like surveying and minor works may be permitted, projects cannot start
without an environmental clearance report from MOEF or the state authority, as the case may
be.
EIA Process: The EIA process involves four steps:
• Screening
• Scoping
• Public Consultation
• Appraisal and Reporting

Screening: Screening is the process of initial scrutiny to decide upon whether a full EIA report
is required for the project. Scrutiny is thus required only for category B projects. (Category A
projects will mandatorily require EC report) Based on guidelines issued by the MOEF the
project proposal is studies and the project is categorised as B1 or B2. In the case of B1 category
projects, EIA is required and in the case of category B2 projects no EIA is required. The
screening is thus limited to projects studied at state level only or falling under the purview of
SEIAA.
Scoping: Scoping is the process of developing Terms of Reference for the appraisal Committee
for EIA. The terms of reference will be developed to study all the environmental issues relevant
to the project.
Public Consultation: This can be done through local area consultation with people affected by
the project. The pollution control Boards can also invite written response if deemed necessary.
Appraisal and Reporting: The expert advisory Committee, based on the terms of reference,
different data provided by the applicant and consultation with the public and the dfferent studies
conducted by it will submit an appraisal report to the MOEF or the SEIAA as the case may be.
The environmental clearance for the project may be given or the application for EC rejected
depending upon the report.
The applicant while applying for EC has to detail out the impact on the environment and
mitigation measures proposed like:

• Land Environment • Aesthetics

• Water Environment • Socio-economic
• Vegetation • Building materials
• Fauna • Energy conservation
• Air environment

The applicant also has to prepare an environmental management plan based on the above.
The EC given is valid for a period of 10 to 30 years. It is 10 years for river valley projects and
30 years for mining projects. Half yearly compliance report may also be necessary if required.
Post EC, monitoring of the project’s performance and environmental audit may have to be
done.
EIA is necessary because it helps us to:
• Effect early termination of environmentally unsound projects
• Look at many alternatives and select the best from an environmental point of view
• Make well-informed decisions
• Have a well-planned scheme of mitigation of adverse effects

Some disadvantages of EIA may be:

• Project delays are very common because of the time-consuming process
• Cost overruns are very common
• Mitigation measures are invariably short of targets

6.5 Standards of Emission

Air pollution, water pollution, land pollution and noise pollution are major issues related to
human health today. Industrial and vehicle emissions are major hazards to our health. Vehicle
pollution is dealt with by vehicle emission standards as BS VI etc. Here we are concerned with
pollution by industries. Industries can pollute air, water and land by their emissions.
Recent events are a testimony to the importance of emissions. River Ganga has been severely
polluted by industrial discharges across its banks over thousands of kilometres. Air quality in
many cities in India is severely polluted as can be seen from the yearly winter smog in Delhi
leading to the closure of schools, stoppage of many forms of transport etc.
Emission standards are available for a few industries in the publications of pollution control
boards(s). Main air pollutants are oxides of sulphur and nitrogen and particulate matter, PM
2.5 and PM10. Pollutant levels are measured in g/N cu.m. As these values are in per cubic
meter of air, these have to be in standard conditions which are generally taken as 25 deg (C)
temperature, 760 mm Hg of pressure and zero moisture.
Central Pollution Control Board (CPCB) under the Ministry of Environment and Forests
(MOEF) has published standards for ambient air quality, vehicle emissions, industrial effluents
and emissions and noise in 2000-2001 (cpcbenvis.nic.in). These are listed for more than 69
polluting industries or other machines.
Ambient air quality standards in India are (for residential area values in microgram/ cu.m.):

S No Annual Average; bracketed value is in 24

hours

PM 10 140 (200)

PM 25 60 (100)

Lead 0.75 (1.0)

Ammonia 0.1 (0.4)

 CO 2.0 (4.0)

Air Quality Index: Air quality index (AQI) is based on multiple parameters. In India, AQI is
based on 8 pollutants like NO, SO, PM (Particulate Matter) 2.5 and 10, CO, O3, NH3 and Pb.
Based on this, AQI values have the following meaning:
0 to 50 - Good
51 to 100 - Satisfactory
101 to 200 - Moderately polluted
201 to 300 - Poor
#01 to 400 - Very poor
401 to 500 - Severely polluted
The AQI value in Delhi has reached figures like 900 in the winter months.

6.6 Landmark cases

Two case studies are presented below. The Bhopal gas tragedy is an industrial disaster resulting
in the release of poisonous methyl isocyanate gas in the air leading to many deaths and injuries.
This case actually led to the formulation of the environmental protection act 2008. Taj
trapezium case drew a lot of attention because it involved the damage to a world famous
Mughal structure visited by millions every year.

6.6.1 Bhopal gas Tragedy

The Bhopal gas tragedy is considered the worst industrial disaster in the Indian industry. The
leak of the methyl isocyanate gas from the Union Carbide India Limited (UCIL) plant at
Bhopal caused immense damage. It led to the loss of several lives and long-term health effects
to thousands of people. There is still no exact count of the number of dead and the number of
injured. Initial estimates put the number of deaths at 2259 but this was later officially modified
to 3787 by the local government. There are other estimates that put the death toll at a much
higher number of about 10,000. The tragedy happened on the midnight of 3 December 1984.
The UCIL was the Indian subsidiary of Union Carbide USA. UCIL was established in 1969 to
produce a pesticide called Sevin using methyl isocyanate as an intermediate. The methyl
isocyanate production plant came into existence in the plant premises in 1979.
During the night of 3–4 December 1984, water entered the tank containing 42 tonnes of methyl
isocyanate. This led to an exothermic reaction causing the temperature to rise to about 200°C
and also increased the pressure. This high pressure caused the release of the toxic gases into
the atmosphere. The gas spread over parts of the city due to an existing wind from the north-
westerly direction. The sequence of events leading to the gas leak was later worked out as
follows:
At the plant site,
• 21:00—Workers start cleaning a clogged pipe.
• 22:00—Water enters tank storing the deadly chemical.
• 22:30—Gases escape from the vent in the scrubber tower.
• 00:30—The large siren sounds and is turned off.
• 00:50—The siren is heard within the plant area; the workers escape.
Outside in the city,
• 22:30—People start feeling the effect of the gas (burning eyes, vomiting, suffocation).
• 1:00—Police are informed of the events. Evacuation of people from the affected area
begins.
Union Carbide denies any gas leak from their premises.
• 2:00—The affected people visit the Hamidia hospital. Symptoms included visual
impairment and blindness, respiratory difficulties, frothing in the mouth, and vomiting.
• 2:10—The alarm is heard outside the plant.
• 4:00—The situation is said to be under control.
• 7:00—A police loudspeaker announces that things are normal.

Thousands of children died and many others were disabled after the accident. Many children
born before the gas leak continued to suffer from respiratory diseases and defective eye sight.
Many women suffered miscarriages or gave birth to malformed babies after the accident. More
than half the children died when their mothers were exposed to the gas. Many others suffered
permanent disabilities.
The UCIL officials maintained that water could not have entered the tank in any normal way.
They said that it was an act of sabotage by a disgruntled worker. They suggested that water
was deliberately introduced into the tank, thus leading to the accident.
Enquiries conducted later came up with many shortcomings in the plant, its operations, and the
preparedness of the company and the city to cope with such an eventuality:
• The process used by the plant to produce the pesticide carbaryl was potentially dangerous as
it involved production and storage of dangerous chemicals. Methyl isocyanate was an
intermediate in the process employed and large quantities were stored as part of the production
process. This was potentially very dangerous as the plant was located in a densely populated
area. The plant also had a densely populated slum around it.
• The plant used a process in which the chemical methylamine was first reacted with phosgene
to form methyl isocyanate. This then reacted with 1-naphthol to produce the final product
carbaryl, the pesticide marketed with the name Sevin. With the same raw materials, an
alternative, safe process was possible by changing the order of reactions. The alternative
process involved the reaction of naphthol with phosgene first to produce chloroformate esther.
This product was then made to react with methylamine to produce the final product.
• It was also reported that there was a fall in demand for pesticides in early 1980 but the
production was not stopped, resulting in the storage of large quantities of the dangerous
chemical methyl isocyanate.
• The plant was poorly maintained and the operations were mainly manual, with the potential
danger of human error. Safety precautions and devices in the plant were also not up to the mark.
The alarm in the tank storing methyl isocyanate was not functional for many years. The
scrubber tower was also not functional and when the tank leaked, the scrubber did not treat the
gas as per requirement. According to investigations by the company itself, most of the safety
systems in the plant were not functional.
• There were many management deficiencies that were identified, including lack of skilled
operators, lack of safety management awareness, and a complete lack of any contingency in
case of an emergency.
• The exact sequence of events leading to the gas leak, resulting from the entry of water into
the tank, could not be ascertained. The plant management maintained that water could not have
entered the tank as it was isolated from any such supply. The operators assumed that due to
bad maintenance and many leaking pipes, water could have entered the tank. The
management’s assertion that there was sabotage by a disgruntled worker also could not be
substantiated.
• Methyl isocyanate was stored in large tanks and beyond recommended levels. This was
compounded by failure of safety systems due to poor maintenance.
• It was also reported that safety systems were switched off to save on expenses. The
refrigeration system of the tank was switched off. If this had been kept functional, the
temperature rise would have not been so severe.
• Even after the tragedy, large quantities of dangerous chemicals were still stored in the plant,
polluting the ground water in the region. This continued to affect thousands of residents who
depended on this supply for their daily water requirements.
• It was also reported that the UCIL management was on an economy drive, which resulted in
skilled operators being sent away and lack of training to workers working with such dangerous
chemicals. In addition, promotional opportunities were curbed, resulting in low morale among
employees. It was also alleged that the management pressurized workers to perform functions
that were potentially unsafe and dangerous.
• The management of the parent body, Union Carbide USA was also unconcerned about its
Indian operations. It did not take due care of the Indian subsidiary and the Indian operations
were left to the local management.
• The Indian plant was equipped and operated on different standards from the one in the US.
There was complete laxity in the standards of the Indian company.
• The company had neglected and turned a blind eye to many earlier warnings about a possible
mishap.
– Workers had complained and agitated about high pollution levels in the plant for long.
– Many earlier incidents went uncared for and were not taken seriously. In 1981, one worker
died of exposure to phosgene gas. In 1982, 24 workers were hospitalized due to phosgene leak.
There was also an earlier leak of methyl isocyanate affecting a number of workers. There were
no compulsions from the supervisors or management for workers to wear masks while working
with such dangerous chemicals.
– There were many similar minor incidents resulting in injury to workers and supervisors. No
significant steps were taken to enhance safety measures in the plant.
– There had been reports prepared by the plant engineers of possible mishaps of the nature that
happened in 1984. Such reports were not taken seriously. A report by the engineers from the
parent company also indicated possible mishaps in relation to the methyl isocyanate tank.

Subsequent Events
Many people died after inhaling the deadly gas. The following morning witnessed mass
funerals and cremations. More than 1.5 lakh people were treated at hospitals and temporary
dispensaries.
Many animals also died upon inhaling the gas. The gas was so deadly that leaves on trees
changed colour and fell off. There was also shortage of food due to fear of the food having
been affected by the gas. Fishing was also not allowed due to fear of food poisoning. The gas
cloud essentially consisted of methyl isocyanate, but according to many, it may also have
contained other deadly chemicals. The gas, being denser than air, settled close to the ground
surface and was dispersed by prevailing winds. This affected a much larger area. People
initially complained of eye irritation, vomiting, throat congestion, and suffocation. Those who
inhaled the gas immediately succumbed to the poisoning. People who had a vehicle escaped
earlier than those who merely ran, and were thus less affected.
The gas leak is estimated to have affected a population of more than 5 lakhs in 36 wards of the
city. Exact estimates of death and injuries were not available. In general, it caused thousands
of casualties, the figures vary from 4000 to 10,000. More than 2 lakh people were affected to
varying degrees by inhaling the gas. Later studies also showed much higher stillbirth rates and
neonatal mortality than the pre-accident years.

Lack of Disaster Preparedness

The tragedy exposed the complete lack of preparedness on the part of the company and the
civic administration. There was nothing in place to be called a disaster management system.
The healthcare system was not adequately equipped to handle the thousands of casualties and
lakhs of affected people. There was no information available on how to treat people affected
by such a deadly gas. The patients were only prescribed cough medicines and eye drops, which
were highly inadequate as treatments for such effects of the gas.
Bodies of more than 2000 animals that died by inhaling the gas had to be disposed off. This
was a huge task to be accomplished urgently, as the decaying carcasses could have created
further problems.
The company also emptied the contents of the tanks (gas remaining in them) within two weeks
of the tragedy. This again led to further evacuation due to lack of information. The company
also did not inform the civic administration of the possible effects and line of treatment to those
affected. The civic administration was also not prepared with contingency plans immediately.
The slow reaction to the tragedy and the lack of information further aggravated the situation.
Rehabilitation Measures
Many rehabilitation measures, on different dimensions, were initiated after the tragedy struck
Bhopal. The disaster preparedness of cities like Bhopal was exposed after the tragedy.
Healthcare Healthcare systems in the city were completely unprepared to deal with such a
large number of patients requiring medical care for various levels of exposure to the deadly
gas. In the aftermath of the tragedy, many steps were initiated:
• The state government established a number of hospitals, health clinics, and mobile health
centres for the treatment of patients affected by the tragedy.
• A large number of private practitioners opened their clinics in the affected areas. However,
many of them were found to be not adequately qualified and were not experts in treating
people affected by the gas.
• Healthcare centres worked for a few years after the tragedy and were set up by healthcare
groups.
• Many voluntary agencies gave free medical treatments to people based on allopathic and
Indian systems of medicine.
• A 350-bed hospital named the Bhopal Memorial Hospital was established with many super
specialities. Free healthcare was to be given to patients affected by the gas leak. This
facility faced many problems and there were allegations that the healthcare services were
not up to the mark.
• The central government opened many hospitals in Bhopal for treating the people affected by
the gas leak. In addition, a lot of medical facilities were created after the disaster by various
agencies.
• Yet, complaints about the healthcare facilities remained. People rushed to private doctors
and hospitals despite the government having opened adequate facilities.
Economic rehabilitation The various agencies of the government, both central and state,
came up with many compensation packages as short-term measures. The following were the
features of these measures:
• There was a lack of coordinated effort to identify and pay compensation to the victims. The
compensation claims were found to be difficult to verify, due to the large number of people
and allegations by people of false claims.
• Immediate relief was given within two days. Some efforts were also made for distribution
of food and ration cards to the affected people.
• Provision was made for widow compensation and monthly pension to families affected by
the tragedy.
• The claimants were required to be categorised and certified by a medical doctor. The
claimants were also required to prove that their affliction was due to the gas leak and not
due to any other cause. Many claimants were not medically examined for a long time after
the tragedy.
• The main compensation was to come later after a court battle from the company. In 2007,
after a long-drawn court battle, of the more than 1,00,000 cases that were registered, only
about 57,000 were found to be genuine and deserving of compensation. The final
compensation amount was decided by the apex court. The case is not yet over as there is a
demand for more compensation from the present owners, the Dow Chemical Company.

Other rehabilitation schemes Both occupational and housing schemes were started by the
central and state governments. Many of the schemes were not effective. The Madhya Pradesh
government invested in a special industrial area scheme in Bhopal for giving some form of
employment to those affected by the gas leak. Very few of these industrial work sheds are
now found to be working. While about 50,000 people were estimated to be in need of
lternative employment, only a small percentage of this could find regular employment in the
government.
The government also started housing schemes for women who lost their husbands in the
tragedy. Some 2400 flats were constructed. However, the scheme was not found satisfactory
by people as these houses suffered due to lack of water supply and other essential services
such as bus service and school facilities.

Environmental rehabilitation The following measures were taken for environmental

rehabilitation:
• UCIL closed its factory during the period 1985–86. Many items were cleaned up and sold.
However, hazardous chemicals were dumped in and around the factory.
• The water from tube wells and the ground water in general was found to be highly polluted.
A separate water supply project was planned to supply clean water to the area.
• On the orders of the Madhya Pradesh high court, the hazardous materials were to be
incinerated.
• The plant site is yet to be cleaned of hazardous materials.
Court Case
Warren Anderson, chairman and chief executive officer (CEO) of UCIL, addressed the US
Congress in 1984 and stressed the company’s commitment to safety. He assured that action
would be taken to prevent such incidents in the future. The Government of India (GOI) in the
meantime passed the Bhopal Gas Leak Act in 1985, appointing the government to act on behalf
of the victims of the tragedy.
The US courts agreed with the contention that the UCIL was a separate entity, owned,
managed, and operated by Indian citizens in India, which meant that the legal battle was to be
fought in India. The company was thus subjected to Indian jurisdiction.
Based upon a suggestion from the Supreme Court of India, an out-of-court settlement was
reached. The company was to pay US $470 million as damages for the Bhopal gas tragedy.
This was only 15 per cent of the US $3 billion claimed in the original law suit. There were
appeals against this settlement but the Supreme Court again ruled in favour of the settlement
reached. There is public outcry to bring Warren Anderson to India to face criminal charges for
this massive tragedy. In addition, it is being demanded that the new owners (The Dow Chemical
Company) of UCIL pay adequate compensation to the victims of the tragedy.

6.6.2 Taj Trapezium case

The Taj Trapezium case refers to a case filed in the Apex Court of India regarding the great
damage done to the World famous Taj Mahal due to pollution from the Mathura Refinery and
the many industries in and around the Agra area of Uttar Pradesh. The Taj Trapezium Zone
(TTZ) is an area of approximately 10400 Sq. km in the shape of a trapezium spread over five
districts in the Agra region of UP state, thus the name Taj Trapezium case.
On a visit to Taj Mahal, a wonderful example of Mughal architecture and listed as one of the
seven wonders of the world, a lawyer-activist, M C Mehta found yellow discolourations on the
white marble of the Taj Mahal, with brown and black spots at many places. Declared as a world
heritage site in 1983, Taj Mahal is visited by millions of people from around the world to see
this beautiful symbol of love built by Shajehan. This was essentially caused by air pollution
due to many industries and proliferation of vehicular traffic and the refinery. The sulphur-di-
oxide emissions from industries with oxygen and moisture from air results in "acid rain” which
caused immense damage to the white marble structure.
M C Mehta approached the Supreme Court of India with a public interest litigation seeking
directions from the court to the concerned authorities to take necessary steps to reduce pollution
in the TTZ and save Taj Mahal from further damage. Attached to the petition was a report of
the Varadarajan Committee which went into the impact of pollution by Mathura refinery on
the Taj Mahal. The petition also appealed to the court to take action under the Air (Prevention
and control of pollution) Act 1974, Water (Prevention and Control of Pollution) Act 1974 and
Environmental Protection Act, 1986 to save the Taj Mahal.
It was found that there were nearly 500 industrial units (other than the Mathura Refinery, which
was dealt with separately by the Court) which included Rubber and Lime processing units,
engineering units, foundries, chemical industries and brick kilns. In addition to these, there was
heavy pollution caused by passenger and commercial vehicles using fossil fuels plying in large
numbers in the area.
As a first step, the court considered reports by the Varadarajan Committee and National
Environmental Engineering Research Institute (NEERI) on subjects related to the issue. Both
the Central Pollution Control Board (CPCB) and UP Pollution Control Board (UPPCB) were
involved in the case. UPPCB was assigned the job identifying industries causing pollution in
the TTZ and send notices to them to change over to non-polluting fuels and setting up
installations to prevent pollution. Out of 511 industries identified, 262 were ready to change
over to natural gas or other cleaner fuels. CPCB and Oil and Natural Gas commission were to
take measures to supply clean fuels to these industries.
The industries which were not ready to go for cleaner fuels were to be relocated outside the
TTZ.
The final judgment in this case (considered a landmark in environmental protection) given in
1996 considered many aspects based on three considerations:
Sustainable development meaning that economic activities should go on but with safeguards
for the environment and health of people.
Precautionary principle stipulating that the state has to pro-actively put in place measures to
prevent any harm to the environment due to developmental activities.
“Polluter pays” principle stipulating that if any individual/industry does an activity that causes
harm to the environment or community, he is liable to pay for the damages even if he has taken
care to avoid such harm in doing that activity.
Industrial pollution: this is dealt with by 1) ensuring that industries remaining in the TTZ use
clean fuels or have installed environmental protection measures ii) Other industries are
relocated to areas outside the TTZ and iii) No industrial activity in TTZ except those in the first
category. The court gave clear timelines for all these and instructed the state and central
agencies to facilitate such change.
All brick kilns in the TTZ are to be closed.
Vehicular Pollution: Proposal to construct Agra bypass to prevent vehicles using city roads to
pass through Agra was given as a solution.
Later studies showed that these measures have actually reduced the suspended particulate
matter content in the air in the vicinity of the Taj Mahal.
REVIEW QUESTIONS
1. Discuss the importance of the environment for human survival.
2. Discuss the concept of anthropocentrism.
3. Explain the concept of sustainable development with examples.
4. Write briefly about different types of pollutions and the factors causing them.
5. List some major human activities that cause harm to the environment.
6. State the objectives of environmental protection act 1986.
7. List the functions of the central pollution control Board.
8. State the objectives of environmental impact assessment.
9. List the steps involved in EIA of a project and explain what happens in each step.
10. List the advantages and disadvantages of EIA
11. State the need for emission standards for industries.
12. Explain the concept of air quality and discuss the air quality index developed by central
pollution control board in India.
 Chapter 7
INTELLECTUAL PROPERTY LAW

Learning Objectives
After reading this chapter, you will be able to understand.

• The concept of "Intellectual Property Rights" and Law

• Definition of Patent, Industrial Design and Utility Model with illustrations
• Distinguishing features of Protecting Engineering Invention:
 The Patent Approach
 The Industrial Design Approach
 The US Utility Model Approach
• Need for Utility Model System in India
• Summary

“To develop the scientific temper, humanism and the spirit of inquiry and reform;” - Article
51 A (8) of the Fundamental Duties for the citizens in the Indian Constitution.

INTRODUCTION:

“Intellectual property means the legal rights which result from

intellectual activity in the industrial, scientific, literary and artistic
fields.” World Intellectual Property Organization.

Intellectual Property Rights (IPRs) are the rights are granted by the
State to persons for the creations of their intellect. Intellectual Property
is also similar like tangible properties such as lands, buildings, farms
etc., both have commercial value, but the only difference is that the
Intellectual Property is created using human intellect. Though they are
intangible in nature, are usually contained on a tangible fixed medium.
The concept of property is shifting its focus slowly from material property to new kind of
knowledge property known as intellectual property. Property creates a relationship between the
owner and the society for tangible or intangible possession. The Property right gives its owners
the right to possess, right to use, right to enjoy, right to sell, right to assign, right to license, right
to destroy or right to alienate his assets. Similarly, Intellectual Property Rights also enable the
owners to enjoy all the above rights and profit from their works, which will help them to prosper
and also contribute to a nation’s wealth through accelerated innovation and growth. It is a right
vested in the asset and not the asset itself. The exclusive rights are given as rewards to the creative
minds for utilizing and benefiting from their own creations, so that it encourages more and more
people to come forward to take up research and technological innovation. It is given for a fixed
term during which the owner enjoys all the rights. Once the rights are granted, it will enable
creators not only to exploit their own creations commercially, but also to prevent others from
misusing it without permission. The persons who are granted these rights are known as Intellectual
Property Rights Holders, Authors or Owners.

The most important features of intellectual property Rights are:

 Intangible in nature, protects the creator’s conceptual development.

 Affirmative rights created through proper legislation.
 Bundle of rights with separate and independent rights.
 It enables owners to file suit against transgressors.
 Rights are territorial in nature
 Right to transfer, sell, assign, license, surrender
 The rights are dynamic, subject to constant change
 They are subject to public policy
 Separate Laws for different Subject Matter
 All Rights Co-exist
 Creates Rights and Duties
 Creates exclusive rights of the Owner

Kinds of Intellectual Property Rights

Intellectual Property Rights can be classified into two kinds, Industrial Properties and Copyrights

Industrial Properties

 PATENTS – For Invention

 TRADEMARKS – or Business Marks
 INDUSTRIAL DESIGNS – Capable of Application on Articles
 GEOGRAPHICAL INDICATIONS – Unique to a Geographical Location
 TRADE SECRETS – Non Disclosure of Confidential Information
 PROTECTION OF NEW PLANT VARIETIES _ New Genetic Modifications
 LAYOUT AND INTEGRATED CIRCUIT DESIGNS
 UTILITY MODELS ETC.
Copyrights

 LITERARY, DRAMATIC, MUSICAL, ARTISTIC WORKS, COMPUTER PROGRAMS,

SOUND RECORDINGS, CINEMATOGAPH FILMS, BROADCASTING
ORGANIZATIONS, PERFORMERS RIGHTS

Evolution and Development of Intellectual Property Rights:

The word intellectual property may seem to be of recent origin, but the concept is as old as our
civilization. There are recorded instances in our history where rights were granted in 600 BCE in
Greece where innovation was considered as a gift from God.

In the year 1873, the empire of Austria-Hungary invited other

European nations to participate in an international exhibition of
inventions that was going to be held in Vienna. The foreign visitors
though attended, were not willing to exhibit their inventions as they
were apprehensive about the lack of adequate legal protection to their
works from infringements. This led to the creation of a special Austrian
law which gave temporary protection to all foreign innovators
participating in the exhibition for their inventions, trademarks and industrial designs. The efforts
to extend protection continued when a Congress of Vienna for Patent Reform was held in the
same year with an objective “to bring about an international understanding upon patent protection
as soon as possible.” Later in 1878, an International Congress on Industrial Property was
convened where it was decided that one of the participating nations would shoulder the
responsibility to convene an international diplomatic conference “with the task of determining the
basis of uniform legislation” in the field of industrial property. France took the initiative and
prepared a draft proposal containing the essence of the substantive provisions of protection to
industrial property with a proposal to establish an international “union”. An invitation was sent by
France to other countries for an International Conference to be held in Paris in 1880.

Paris Union for Industrial Property, 1883

Thus, in the beginning18th century, the debate and discussion proceeded on protecting intellectual
property among the global nations. As a result, in the year 1883, the Paris Convention for the
protection of Industrial property was signed in Paris for establishing a union for protection of
industrial property. It became one of the initial intellectual property treaties, which is still in force
with almost 177 member countries. The Paris Convention was initially signed by 11 States, and
then in the first quarter of the 20th century after the Second World War, many countries joined the
Paris Convention realizing the importance of protecting intellectual property, thus increasing its
membership to its current strength.

This Convention is applicable to industrial property, such as patents, trademarks, industrial

designs, utility models, service marks, trade names, geographical indications and unfair
competition etc.

The three most important principles of the Paris Union are:

National Treatment - which means each member nation must grant same protection to nationals
of other States that it grants to its own nationals.
Right of Priority - the applicants who apply first will be granted right over subsequent applications
based on the date of application.
Common Rules - The convention laid certain common rules of protection to be followed uniformly
by all the member countries.

After the establishment of Paris Union for Industrial Property, a need was felt by many countries
for a similar kind of protection for literary and artistic works. They wanted a uniform system of
Copyright protection, though there existed a number of bilateral treaties among the countries. This
led to the formulation and adoption of Berne Convention for the protection of literary and artistic
works in 1886. After the success of Paris Union and Berne Convention, many Treaties and
Conventions were signed for various other intellectual properties like Designs, Trade Marks,
Protection of New Plant Varieties, etc.

Another important development in the area of intellectual property was The Convention for
establishment of the World Intellectual Property Organization (WIPO) (1967) which deals with
the protection of trademarks, service marks, and commercial names and designations; industrial
designs; scientific discoveries, copyrights in literary and artistic works, protection against unfair
competition; rights of performers and broadcasters and “all other rights resulting from intellectual
activity in the industrial, scientific, literary or artistic fields.” WIPO facilitates international
applications in various countries for protection to Intellectual Property.

In the year 1995, World Trade Organization (WTO) was established after the Uruguay Round
of Talks. The TRIPS Agreement (Trade-Related Aspects of Intellectual Property Systems)
attached to it became an important minimum standard agreement for the members of WTO in
matters related to intellectual property rights. It lays down procedures for enforcement of rights,
remedies in case of infringement and a dispute resolution mechanism.
DEVELOPMENT OF IPR IN INDIA

Intellectual Property Protection became very important in the development of global economy in
the last few years. They are intersected with international trade, aided by rapid industrialization,
urbanization, growth in transport sector and manufacturing industry. Barriers for trade and
commerce across the borders is decreasing. It led to countries desirous of getting rights in other
countries enact their own intellectual property laws first for a stronger protection to inventions
originating in their own countries and also for protection in other countries. India is no exception.
As a member of Paris Union, Berne Convention and many other international conventions, it had
to fulfil its obligations, so enacted its first Patent Act in 1856 which was modified later as Indian
Patents and Designs Act of 1911, and post-independence, it was called as the Patents Act, 1970.
Designs were protected separately as Designs Act in 1911, Copyrights were regulated by the
Copyright Act of 1957, and trademarks were protected under the Trade and Merchandise Marks
Act, 1958. The establishment of World Trade Organization in 1995 and the signing of TRIPS
Agreement (Trade Related Aspects of Intellectual Property Rights) necessitated India to modify
its existing laws and make new laws to fulfil its commitments to comply with TRIPS Agreement.

The following are the various laws governing intellectual property rights in India.
The Copyright Act, 1957 and the Copyright (Amendment) Act, 2012.
The Patent Act, 1970 as amended in 2005.
The Designs Act, 2000
The Trademarks Act, 1999
Geographical Indications of Goods (Registration and Protection) Act, 1999
The Semi-Conductor Integrated Circuits Layout Design Act, 2000
Protection of Plant Varieties and Farmers’ Rights Act, 2001 etc.

DEFINE PATENT, INDUSTRIAL DESIGN AND UTILITY MODEL WITH ILLUSTRATIONS

Patent: A Patent is a kind of intellectual property right granted for technical inventions that are
novel and have inventive steps. Patents are granted to new inventions, they are invaluable, useful
and play an important role in everyday life. It is granted so as to reward ideas that help in
development of new technologies and encourage research. It is granted as an exclusive right for
products or process invented through new methods for a limited period of time, so that it can help
inventors to exploit their inventions commercially and enjoy the fruits of their labor. To get a
patent right, the inventors have to disclose all the technical information in the patent application
itself to prove their novelty.
These rights are generally granted to inventors as territorial rights according to the laws of the
country where the patent is filed and granted, and the rights are applicable only in that country of
origin. If an inventor wants protection in many countries, suitable provisions are incorporated in
the domestic laws for applying for international patent protection which is made possible by the
Patent Cooperation Treaty signed by most nations.

According to the Indian Patent Act, 1970, Patent is defined under sec 2 (m) as "patent" means a
patent granted under this Act.

Patents are granted for machines, manufactured products, industrial processes, food processes,
chemical compounds, and medicines which are new inventions as well as on substantial
improvements on the existing products. Some countries have granted patents to genetically
engineered new forms of plant or animal life.

The first ever known patent was granted in the year 1421 for a period of 3 years to an industrial
invention in Florence for manufacture of a barge with hoisting gear used to transport marble.

In 1790, Oliver Evans was granted a patent

by the US for his automatic gristmill which
produced flour from grain.

In India, in the year 1856 the first even

patent was granted in Calcutta for "An
efficient Punkha-Pulling Machine"

Industrial Designs: Designs are of two kinds, artistic design and industrial design. While artistic
design gives us aesthetic pleasure, Industrial design is more of an applied art, is defined as a
process whereby a design is applied to products that are capable of manufacturing through
techniques of mass production. Industrial Design is a professional task of designing various
devices, objects, products and services that are used by the mankind. Industrial designers
concentrate on designing the physical appearance, functionality and manufacturability of a product
in such a manner that it gives ultimate satisfaction for customers, value for money and a lasting
experience. Products developed through Industrial Designs provide solutions to problems, enhance
brand value, capture markets, sustain and increase sales for the industries thereby contribute for a
better quality of life as they are developed by a combination of intuition and scientific
temperament.
The first industrial design was supposed to have been granted to a famous
US designer Joseph Claude Sinel in 1919, who designed industrial scales,
typewriters and calculators etc.

Utility Model: Utility Models are like patents, where new technical
inventions are protected by granting limited exclusive right to minor inventions that are similar to
patents, but the difference is, utility model systems are less stringent in compliance and have
shorter duration of protection and have simple compliance procedures.

Some countries do not have protection for utility models because the so-called minor inventions
may not satisfy all the patentability requirements and may have lower level of inventive step.
Nevertheless, the right prevents others from commercially using them without permission as in
case of patents. Utility models are also called as petty patents or innovation patents.

In case of utility models, there is lack of clarity on subject matter of protection and they differ from
country to country. Though they are granted for same subject matter as that of patents, some
countries grant them for mechanical, chemical and technical processes while other countries grant
them only for shape and structure of mechanical devices.
Some Examples of Utility Model Rights granted by the United States are – parts of Machines, such
as engines or computers, Articles of manufacture such as brooms, candleholders, Processes such
as business processes, software and Compositions of matter such as pharmaceuticals.

DISTINGUISHING FEATURES OF PROTECTING ENGINEERING INVENTION

The Institute of Electrical and Electronics Engineers have stated in its publication Intellectual
Property and the Employee Engineer, that "Every schematic, each piece of software code, and
every drawing, diagram and prototype has intellectual property rights attached upon creation, these
rights are the legal essence of an engineer's output, for if an actual disk or prototype is lost, another
can always be had. But if the legal rights are lost, the disk or prototype may be worthless - even if
securely in hand".

Engineers are in the forefront of innovations. They work as designers, consultants, manufacturers,
scientists and programmers and contribute in the fields of mechanical, technical, computer and
manufacturing where most number of inventions happen in a confidential environment. Engineers
are often found to be over-enthusiastic about their inventions but may not entirely focus on finer
aspects of protecting intellectual property. They create industrial designs, copyright works or
patentable products with ease but may not be exactly aware of legally securing their inventions. If
their works are not protected, it may be lead to infringement which discourages them to continue
with their innovations. It is thus very essential make the Engineers aware of laws that protect their
intellectual property.

There are many laws on different intellectual property rights. All those laws may not be relevant
to Engineers, but they must get familiar with few ones likePatent Laws and Laws related to
Industrial Designs. The laws explain the method in which they can obtain a right and the manner
in which they can protect them. Knowledge in Patent Laws enables them to understand the entire
life cycle of a patent, right from the process of submitting preliminary patent application, public
disclosure and final submission of specifications to finally obtaining the right. It is absolutely
critical for protecting their works individually or for the companies rights and Law helps those
who are vigilant and if they are not, they lose their valuable creations to others.

Companies and manufacturing units rely a lot on Engineers for their logic and problem solving
skills. Engineers just don’t design and test new products, they build companies with their sheer
talent and out of box ideas and solutions. Companies invest heavily on them for their own growth
and development of industry. It is essential that every engineer knows the following three
approaches have to be adopted by them.
a) The Patent Approach
b) The Industrial Design Approach
c) The Utility Model Approach

A. THE PATENT APPROACH

A Patent is granted as a monopoly right conferred by the Patent Office of a Sovereign Authority
to an inventor. This grant provides the inventor exclusive rights to the patented process, which is
a product or a process, the inventor is entitled to exclude anyone else from commercially exploiting
his invention. Patent relates to invention.

In Telemecanique & Controls (I) Ltd v. Schneider Electric Industries SA, the Division Bench of
Delhi HC observed that patent created a statutory monopoly protecting the Patentee against any
unlicensed user of the patented devise. In Bajaj Auto Ltd v. TVS Motor Company Ltd, the court
held that ‘A monopoly of the patent is the reward of the inventor”.

The expression ‘patent ’ connotes a right granted to anyone who invents or discovers a new and
useful process, product, article or machine of manufacture, or composition of matter, or any new
and useful improvement of any of those. It is not only an affirmative right to practice or use the
invention; it is a right to exclude others from making, using, importing, or selling patented
invention unauthorized, during its term. It is a property right which the state grants to inventors in
exchange with their covenant to share the details with public.
To get a patent, technical information about the invention has to be disclosed to the authorities
through a patent application and if the innovation stands the test of novelty and usefulness, right
is granted. They are a form of incorporeal right. Patent is a legal document and gives an inventor
the exclusive right to make, use, and sell an invention for a specified number of years. Patents are
also available for significant improvements on previously invented items.

The exclusive rights conferred by the Patents Act on the inventor can be exercised by a person
other than the inventor with the latter’s previous authorization. The person to whom a patent is
granted in known as the ‘Patentee”. A Patentee has right to sell, assign or surrender the Patent.

The goal of the patent system is to encourage inventors to advance the state of technology by
awarding them special rights to benefit from their inventions.

Patent law centers on the concept of novelty and inventive step or lack of obviousness. The right
which they accord is to prevent all others, not just imitators but even independent devisors of the
same idea from using the invention for the duration of the patent. The special potential of a patent
is that it prevents all others from including any form of invention in their product and services
without permission. A patent thus poses serious difficulties for its competitors. Granting of patent
right is very difficult process, more so, if it is for industrial improvements as it should be judged
to qualify as a patentable invention.

Patents are territorial rights. In general, the exclusive rights are only applicable in the country or
region in which a patent has been filed and granted, in accordance with the law of that country or
region. A patent granted in one country cannot be enforced in another country unless the invention
is patented in that country also.

India became signatory to many international arrangements with an objective of strengthening its
patent law and coming in league with the modern world. One of the significant steps towards
achieving this objective was becoming the member of the Trade Related Intellectual Property
Rights (TRIPS) system. India also became signatory of the Paris Convention, the Patent
Cooperation Treaty(PCT) in 1998 and thereafter signed the Budapest Treaty in 2001. PCT
provides simplified procedure for filing of an application for the grant of patent to the invention in
each of its contracting member countries by filing an international application.

A patent for invention has always found its roots in statutes of Indian legislature, Based on the
interim report submitted by a committee headed by Dr. Bakshi Tekchand, and Ayyangar’s report
which contained recommendations for effecting radical changes to the Patent law prevailing in
India. Eventually, The Patents Act, 1970 was passed and it came into force on 20th April 1972.
The salient features of the Patent Act, 1970 are:

• a more elaborate definition of invention,

• declaration of certain inventions as non-patentable,
• abolition of product patents for drugs and medicines, stringent
requirements regarding description of the invention,
• extension of grounds for opposing the grant of a patent, etc were made.

According to Patents (Amendment) Act 1999, it is now possible to make an application for patent
claiming for a substance itself intended for use or capable of being used as medicine or drug
excepting the intermediate for a preparation of drug. Exclusive marketing rights would be valid
for a period of five years or till the date of grant of patent or date of rejection of the application for
the grant of patent whichever is earlier.

The Patents (Amendment) Act 2002 came into force from 20th May 2003, making the term of
every patent which is in force including a patent restorable under Section 16 as on 20th May 2003
to 20 years from the date of filing. As per this amendment, “Process” defined under S. 3(1) in case
of plants, are now patentable while a process which is diagnostic and therapeutic has now been
considered as non-patentable. By virtue of this amendment ,a new definition of “invention” has
now come into force ,that is, a new product or process involving inventive step and capable of
industrial application,. After this amendment, a method or process of testing during the process of
manufacture is now patentable, etc. Being a signatory to TRIPS, India was under a contractual
obligation to amend its Patents Act to comply with its provisions to give protection for product
patents and it started granting from 2005. The latest The Patents (Amendment) Act 2005 became
effective from 1st January 2005

The Head Patent Office is located at Kolkata and its branch offices are located at Delhi, Mumbai
and Chennai.

Patent system in India is administered by the Controller General of Patents, Designs, Trademarks
and Geographical Indications. Each office has its own territorial jurisdiction for receiving patent
applications and is empowered to deal with all sections of Patent Act.

The jurisdiction for filing the patent application depends upon:

Indian applicant(s): determined according to place of residence, place of business of the applicant
or where the invention actually originated.
Foreign applicant(s): determined by the address for service in India.
Patent Right is granted for a term of 20 years.
Patentable Inventions
To qualify for a patent, the invention must meet the following basic tests.
It must be novel, meaning that the invention did not previously exist.
The invention must be non-obvious, which means that the invention must be a significant
improvement to existing technology. Simple changes to previously known devices do not comprise
a patentable invention.
The proposed invention must be useful. Legal experts commonly interpret this to mean that no
patent will be granted for inventions that can only be used for an illegal or immoral purpose.
An Invention must involve an inventive step;
The invention must be capable of industrial application or utility;
The invention shouldn’t come under the inventions which are not patentable as defined under
Section 3 and 4 of the Patent Act of 1970.

Advantages of patents:

1. A patent gives the right to the inventor to stop others from copying, manufacturing, selling
or importing, invention without inventor’s permission.
2. Protection for a pre-determined period, allowing competitors at bay.
3. To use invention by the inventor himself.
4. Alternatively, it can be licensed for others to use it or it can be sold. This can provide an
important source of revenue.

Disadvantages of patents:

1. A Patent application means making certain technical information about invention publicly
available. Keeping the invention secret may keep competitors at bay more effectively.
2. Applying for a patent can be a very time-consuming and lengthy process (3-4 yrs) - markets
may change or technology may overtake the invention by the time a patent is granted.
3. It will cost money whether an inventor is successful or not - the application, searches for
existing patents and a patent attorney's fees can all contribute to a reasonable outlay. The
potential for making a profit should outweigh the time, effort and money it takes to get and
maintain a patent. Not all patents have financial value.
4. Annual fee needs to be paid or the patent will lapse.
5. Inventor needs to defend the patent & take action against an infringer can be very
expensive.
 B. THE INDUSTRIAL DESIGN APPROACH

A Design contains three-dimensional features, such as the shape of a product, or two dimensional
features such as ornamentation, patterns, lines or color of a product or, a combination of one or
more such feature applied to an ‘Article”. Article means any article manufactured, or natural or
partly artificial and partly natural, and includes any part of an article capable of being made and
sold separately. Industrial design in India is protected under Design Act 2000 and it refers to a type
of intellectual Property Right that gives the creator an exclusive rights to make, use, and sell
products designed by him. In general, these protection rights have a life span of 10 years, but can
be renewed for an additional time of five years. Industrial design protection is for the shape, color,
line, configuration, and surface pattern that either improves the visual appearance or increases the
aesthetics of the design.

To attain the protection under Indian law, a design must:

1. Be non-obvious,
2. Associate with shape, pattern, ornamentation, or configuration of any product
3. satisfy novelty and originality condition, it should not be have been published or used
anywhere earlier
4. Be non-contrary, i.e., doesn’t hurt the feelings of anyone.
5. Capable of applying to articles

Designs that Can’t Get Protection

1. Opposing to others moral values

2. Describing the process of construction of an object
3. Related to the appearance of books, calendars, jackets, certificates, forms, dressmaking
patterns, greeting cards, leaflets, maps, plan cards, postcards, stamps, and medals.
4. Associated with flags, emblems, or national symbols/signs of any country
5. Of integrated circuits.

Importance of Industrial Design

After the Globalization and liberalization, inter-country commerce gained momentum and
markets across the nations were flooded with wide variety of international products, providing
numerous choices for consumers. It became necessary for manufacturers to design their
products in such a manner that it suits and attracts the consumers so that they can stay relevant
in the market. Thus the importance of Industrial Design increased which led to manufacturers
exploring more distinct and attractive designs to create goods qnd products. Genuine products
create brand value to the manufacturers, and hence, going for protection became necessary
from counterfeiting and infringement. Obtaining exclusive rights gives them rights to make,
use and sell their designs.

Besides, there are several advantages to the companies that go for Industrial Design Protection.
Industrial Designs add commercial value to a product, attractive products generate decent
profits, promotes healthy competition and helps in economic development and fosters
creativity in the industrial and manufacturing sector.

Procedure to Obtain Industrial Design Protection

Applications have to be preferred before the Design registry after recognizing the
class/category of the design to be protected. Filing can be either paper filing or online filing.
After the application has been filed, the concerned office will examine them and raise any
objections, if any, and seeks response from the applicants. If the response is satisfactory, and
is received within three months, will grant the protection for a period of ten years.

C. THE UTILITY MODEL APPROACH

Utility models are a kind of protection granted to inventions which are similar to patents rights.
These rights are usually granted to small inventions. There are no International Treaty
obligations to implement Utility Model system under their National Laws. Though a number
of countries offer Utility model protection, India does not offer and it has not enacted any Laws
on it.

A utility patent is an exclusive right granted for an invention, which allows the right holder to
prevent others from commercially using the protected invention without his authorization for
a limited period of time. These are also known as 'petty patents' or 'innovation patents' or 'minor
patents' or 'small patents'.

USPTO defines Utility patent as "any new and useful process, machine, manufacture, or
composition of matter, or any new and useful improvement thereof,"

In some countries, Utility models can be granted for products that are eligible for grant of
patents, however, the subject matter varies from country to country. As there are no
International Treaty obligations on Utility Models, there is no uniformity in approach for
granting Utility Model Patents. The advantages of going in for utility patents is the less
stringent requirements, though the novelty, non-obviousness and utility components are
essential for the grant of utility patents. They may be set at a standard lower than the need for
a Patent.
 The objectives for providing utility model protection are similar to those for granting patents.
Utility models provide incentives for inventors to innovate by offering them recognition for
their creativity. To get the exclusive right provided by a utility model, the creator is required
to disclose the invention to public by providing detailed, accurate and complete written
description of the invention in the utility model application. Utility Models are often
considered favorable for supporting local or minor innovations by small companies due to its
specific features such as a shorter period of protection and easier and cheaper procedures to
obtain and maintain protection, are

Salient features of the utility patent are as follows:

Utility patents confer exclusive protection rights for the product and not process.
Novelty is essential though the standards of novelty are different in different countries.
The standards of non-obviousness and inventive step are much lower and differ.
Utility patents are more appropriate for incremental invention.
In most countries only a preliminary procedural examination is required for the grant.
There is no substantive examination for utility patent grant.
The rights conferred for the utility patents are similar to those granted by patent laws but have
a shorter term.
Utility Patents are cheaper to maintain and obtain.
The duration of registration of utility patents is less compared to patents since in most of the
jurisdictions the applications for utility patents are not examined prior to registration.

Advantages of Utility Models are

1. Procedure less stringent

2. Cheaper to obtain and maintain rights
3. Registration is simpler and faster without substantive examination

Disadvantages of Utility Models

1. No substantive examination, less legal security

2. Shorter term of protection (usually between 7 – 10 years)
3. Apprehensions on the quality and value of products

Utility models are considered suitable particularly for SMEs that make “minor” improvements to,
and adaptations of, existing products. Utility models are primarily used for mechanical
innovations.
NEED FOR UTILITY MODEL SYSTEM IN INDIA

India has undertaken major initiatives to promote and strengthen Intellectual Property Protection
with maximized incentives to the innovators. The Government of India has brought out an IPR
Policy Document in 2016 titled The National Intellectual Property Rights (IPR) Policy 2016 with
a theme “Creative India; Innovative India”. It brings all IPRs on to a single platform, aims to create
synergies between all forms of intellectual property (IP), concerned statutes and agencies. This
Policy puts in place an institutional mechanism for implementation, monitoring and review. It
aims to incorporate and adapt global best practices to the Indian scenario.

Objectives of the IPR Policy are:

To create awareness among public about the economic, social and cultural benefits of IPRs, to
stimulate the generation of IPRs, to have strong and effective IPR laws, which balance the interests
of rights owners with larger public interest, to modernize and strengthen service-oriented IPR
administration, get value for IPRs through commercialization, to strengthen the enforcement and
adjudicatory mechanisms for combating IPR infringements.

As a result of IPR Policy, there is a considerable improvement in India’s rank in the Global
Innovation Index (GII) issued by WIPO, reduction in pendency of applications, and increased IPR
filings. Though India has achieved so much in all areas of IPRs, it has so far not made laws to
grant or confer Utility Patents rights. Utility Models are generally granted to small inventions and
to make improvements to existing ones. They are granted for inventions that are less technically
complex and have a short commercial life. It is easier to obtain a utility model right when compared
to Patent. Not all countries offer the Utility Model Protection, but where ever it is offered, the
inventors have a choice between obtaining a patent right or a utility model right on their inventions.
Both the rights cannot be granted simultaneously. Utility Models help especially where due
consideration is not given for granting Patents for small and petty inventions. Inventors from India
wanting to obtain the Utility Patents have only one option of approaching the countries that offer
them.

As there are many advantages in obtaining Utility Patents because they are less stringent in
compliance, granted faster, and cheaper, perhaps, there is a need take a stand in granting Utility
Patents to Indian Innovators.

Utility Models act as alternatives to Patents and Industrial Designs to protect inventions
particularly those having lower level of inventiveness. Experience shows that this system is being
fully exploited by countries like Japan, China, Japan and United States to promote growth in
technological development.
The Government of India is ambitiously pushing for Make in India Program and promoting
MSMEs and startups in a big way, it is encouraging the small innovators to create intellectual
property by providing incentives, thus, time has come for bringing in suitable law for granting
utility patent to them as this sector may not get funds the kind of money required to conduct heavy
research and trials and also pay heavy patent fees.

In India there are about 48 million SME's generating employment to people, for such SMEs utility
patent protection can prove to be a boon, since they fail to protect their inventions and hence suffer
losses in terms of business growth. If handled properly, Utility Models can become a tool for
economic and technological development.

SUMMARY

Intellectual Property is knowledge based creation which can bring about technological and
economic development of a nation.
Intellectual Property Rights are given to persons for their innovative creations. These rights are
outlined in Article 27 of the Universal Declaration of Human Rights, which provides for the right
to benefit from the protection of moral and material interests resulting from authorship of
scientific, literary or artistic productions.

IPRs have its origins in Paris Convention for the Protection of Industrial Property, 1883 and Berne
Convention for the protection of Literary and Artistic Works, 1886.

World Intellectual Property Organization administers these treaties and also facilitates
International Protection to IPRs

IPRs are divided into Industrial Property and Copyrights.

Patent Rights are granted to inventions which are novel, useful and non-obvions. IPRs stimulate
innovation, design and the creation of technology.

Industrial Designs are new designs which are applicable to articles.

Utility Models are similar to Patents but are granted to small inventions.

India offers all IPR but does not offer Utility Model Protection.

Review Questions:
1. What is meant by Intellectual Property?
2. Why do we need to protect and promote Intellectual property?
3. List out the subject matter for patent protection and what inventions cannot be protected?
4. Enumerate the Salient features of the Design Act, 2000.
5. Write a short note on Utility Models?
 Chapter 8
INFORMATION TECHNOLOGY LAWS

Learning Objectives:
After reading through this chapter, the reader is able to:

• State the purpose and explain the main features of IT Act 2008
• Define cyber security
• Explain the methods to achieve cyber security
• Explain the importance of data security and the steps to be taken to achieve it
• Define the term privacy and list the steps to be taken to achieve privacy in cyber space
• Define electronic and digital signatures and list the differences between them
• State the purpose of E contracts and special features of E contracts

8.1 Introduction
In this chapter, we look at some aspects of our lives in the digital world that we are being ushered
into. The last 20 years or so witnessed a great change in our lives with much greater access to internet,
new ways of communication through mail and messenger services, many services like banking
services, payment and receiving services, purchase of goods being enabled to be done with a laptop or
mobile phone sitting at home. E-commerce has become as common as going to a shop to buy goods or
services. Information technology Act 2008 takes care of the procedural, contractual and legal aspects
of E-commerce. Many thousands of such transaction take place everyday and these come under the
class of E-contracts. The documents so produced are certified and secured using electronic and digital
signatures. The question data security is also an important issue. These are discussed briefly in this
chapter.

8.2 IT Act 2008

The IT Act 2000 of India was the result of a Model electronic commerce law passed by the UN
General Assembly in1997 leading to the UNCITRAL Model Law of E Commerce. India was the 12th
nation to pass a law on E commerce based on the UN initiative. IT Act 2008 is amendment to the IT
Act 2000 and is more focused on Security and data protection. The IT act can be read in the web site
of the Ministry of IT. Some very basic features only are given below.

The IT act 2008 is in 90 sections dealing with many aspects. Some of the important elements are as
follows:

• Electronic and digital signatures

• Electronic governance
• Attribution, acknowledgement and dispatch of data
• Security concerns and provisions
• Certifying authorities
• Electronic signature certificates
• Revocation, breach of contract
• Penalties and punishment

In the preamble, the act states the purpose as "to provide legal recognition for the transactions carried
our by means of electronic data interchange and other means of electronic communication, commonly
referred to as "Electronic Commerce", which involve the use of alternatives to paper based methods of
communication and storage of information , to facilitate electronic filings of documents with the
Government agencies and further to amend the Indian Penal Code, Indian Evidence Act, 1872,, The
Bankers' Books Evidence Act, 1891, and the Reserve Bank of India Act, 1934 and for matters
connected therewith or incidental thereto.”

Some basic definitions: (As given in the Act)

"Access" with its grammatical variations and cognate expressions means gaining entry into,
instructing or communicating with the logical, arithmetical, or memory function resources of a
computer, computer system or computer network;
"Addressee" means a person who is intended by the originator to receive the electronic record but
does not include any intermediary;
"Adjudicating Officer" means adjudicating officer appointed under subsection (1) of section 46;
"Affixing Electronic Signature" with its grammatical variations and cognate expressions means
adoption of any methodology or procedure by a person for the purpose of authenticating an electronic
record by means of Electronic Signature;
"Certifying Authority" means a person who has been granted a license to issue a Electronic Signature
Certificate under section 24;
"Certification Practice Statement" means a statement issued by a Certifying Authority to specify the
practices that the Certifying Authority employs in issuing Electronic Signature Certificates;
"Cyber Security" means protecting information, equipment, devices, computer, computer resource,
communication device and information stored therein from unauthorized access, use, disclosure,
disruption, modification or destruction.
"Data" means a representation of information, knowledge, facts, concepts or instructions which are
being prepared or have been prepared in a formalized manner, and is intended to be processed, is
being processed or has been processed in a computer system or computer network. ,.and may be in
any form (including computer printouts magnetic or optical storage media, punched cards, punched
tapes) or stored internally in the memory of the computer;
"Digital Signature" means authentication of any electronic record by a subscriber by means of an
electronic method or procedure in accordance with the provisions of section 3;
"Digital Signature Certificate" means a Digital Signature Certificate issued under sub-section (4) of
section 35;
"Electronic Form" with reference to information means any information generated, sent, received or
stored in media, magnetic, optical, computer memory, micro film, computer generated micro fiche or
similar device;
"Electronic Gazette" means official Gazette published in the electronic form;
"Electronic Record" means data, record or data generated, image or sound stored, received or sent in
an electronic form or micro film or computer-generated micro fiche;
"electronic signature" means authentication of any electronic record by a subscriber by means of the
electronic technique specified in the second schedule and includes digital signature
"Electronic Signature Certificate" means an Electronic Signature Certificate issued under section 35
and includes Digital Signature Certificate”

Controller of certification: The Government will appoint a controller of certification whose functions
are:

• exercising supervision over the activities of the Certifying Authorities;

• certifying public keys of the Certifying Authorities
• laying down the standards to be maintained by the Certifying Authorities;
• specifying the qualifications and experience which employees of the Certifying Authorities
should possess;
 • specifying the conditions subject to which the Certifying Authorities shall conduct their
business;
• specifying the content of written, printed or visual material and advertisements that may be
distributed or used in respect of a Electronic Signature Certificate and the Public Key;
• specifying the form and content of a Electronic Signature Certificate and the key;
• specifying the form and manner in which accounts shall be maintained by the Certifying
Authorities;
• specifying the terms and conditions subject to which auditors may be appointed and the
remuneration to be paid to them;
• facilitating the establishment of any electronic system by a Certifying Authority either solely
or jointly with other Certifying Authorities and regulation of such systems;
• specifying the manner in which the Certifying Authorities shall conduct their dealings with
the subscribers;
• resolving any conflict of interests between the Certifying Authorities and the subscribers;
• laying down the duties of the Certifying Authorities;
• maintaining a data-base containing the disclosure record of every Certifying Authority
containing such particulars as may be specified by regulations, which shall be accessible to
public.

For more information, the reader is advised to read the complete Act from the web site.

8.3 Security in cyber space

With more and more people gaining access to the internet through mobile phones and laptops, the
cyber space has become crowded with more and more people accessing and uploading information,
doing transactions, gaining access to entertainment and communicating with multiple friends or
colleagues. With so much activity going on in this space, it is natural that people intending to commit
fraud and earn quick money also are on the prowl. The fraudulent activities going on in this space is
called cyber crime. Sometimes it is just for fun, sometimes for adventure and testing one’s capabilities
and sometimes with intention to defraud.

Computer may be a target of attack by hacking into it for information, introducing many types of
malware to disable the system. Computer may also be used as a weapon for credit card fraud,
pornography, to fraudulently access personal data, to send hate messages, to defame someone etc.

Cyber security involves protecting information and devices from unauthorised access and destruction
or misuse.

Cyber crimes are of many types and for many purposes.

8.4 Data Security

Data security is very important for organisations and individuals. Corporate data security is very
important particularly for organisations that deal with sensitive information of their customers.
Hackers constantly are on the prowl to breach into security systems of corporate entities to steal data
for personal gain. Data can be made inaccessible to genuine users and can be also corrupted.
Customer data of bank accounts or card payment systems need very high level of security.

Data can be public, private or limited access. Private or limited access data needs to be secured by
various means to secure the data and prevent its misuse.
Data security may be lost because of

• Weak safety systems

• Unsafe or careless handling of data
• Carelessness on the part of individual customers
 • Hackers specifically targeting data for personal gains

For corporates, data breach can result in

• Financial loss
• Loss of customer trust
• Damage to reputation
• Customer rights lawsuits resulting in heavy legal costs and settlements

Survival of businesses in the modern digital world depends heavily on data security of its key assets
and personal data of customers. Many countries are introducing stringent regulations on data privacy
and any breach of data can evoke customer right legal action.
Data security risks can come from:

• Accidental exposure of data by employees who share critical information with others
• Phishing is a kind of message sent by attackers who pose as a legitimate source and prompt
the user to click on a link to share sensitive information; many times the attackers take
advantage of greed of people to make quick money.
• Ransomware is a malicious software that infects a corporate computer system and encrypts
the data making it unavailable for legitimate use. The data can be used only with a decryption
key which is provided on payment of ransom amount.
• Weak security systems which can be easily hacked and entered into.

Some steps that may be taken, though it costs more, are:

• Strong antivirus and anti-malware software and firewall installation

• Access control by strong passwords, fingerprint, retinal, voice and face recognition etc.
• Encryption of data
• Data masking; using duplicate data for some uses
• Replication of data on safe location
• Control with digital certification
• Security audit

8.5 Technical Privacy in Cyber space

Privacy is the ability or right of an individual or group to keep themselves in anonymity and any
information about the individual or group is made known by them at their discretion. Most of the
times, technology of cyber space does not allow you to do that. When you log on to internet and a
web site, invariably your actions are monitored, your messages are read (may be my machines) and
your interests are noted. Many times such information is sold by information brokers.

Where private information is taken:

Emails are not private any more. Many Email services tend to read the messages in the mails by
machines and select key words for further use.

Web sites use cookies which are just data packs sent to the client and returned to the site owner giving
a lot of information about the web sites you browse, your interest in topics, products etc.

Search Engines also collect data about your interest by tracking the specific items you search for
allowing them to focus on sending you highly targeted materials.

All your transactions like searching, purchasing by ordering, payment methods are all monitored.

By accessing the internet, your service provider has the ability to track whatever you do. You also
agree many times to provide personal information to the web site or a service provider.
Most of the customers have no control over what information is being taken from your personal data.
But people need to be careful about what they do.

• Use strong passwords and change them at intervals

• Do not exchange personal information through messaging services or email
• Do not respond to spam mails or download any attachments to emails from unknown sources
• Do not click on suspicious links in messages and emails
• Download from authorised and well-recognised sources
• All privacy safeguards should be activated
• Do not write down passwords and PINs in common places accessible to all

8.6 E Contracts
In chapter 5, conventional contracts generally in written form satisfying legal requirements was
outlined. A contract is a legally enforceable agreement having legal remedy in case of any breach. We
have seen the essential condition for a valid contract.

• Someone makes an offer

• Second party accepts the offer
• Meaningful consideration for the offer
• Offer and acceptance are done with full and free consent of the parties with no coercion and
undue influence
• The object of the contract is lawful
• Both the parties are competent to make such contract

E contracts are the contracts entered into in the course of E commerce activities generally done
through electronic means, Email or other messaging applications. No personal contacts are involved
and one or both of the parties may be an electronic agent as well.

E Commerce is the conduct of business transactions essentially using the internet. Buying or transfer
of goods and services and payment for them all come under this category. E commerce covers
transactions coming under B2B ( business to business), B2C, C2C and C2B.

In E contracts, there are two parties called the originator and addressee. Originator makes the offer to
the addressee. The parties generally do not have physical meetings. When the addressee accepts the
offer and communicates it, a contract is formed.

Certain contracts are not within the purview of E contracts like power of attorney, Property
transactions, Trust and will etc.

In general there are two ways in which such contracts are made:

Through Web sites: These are called click wrap, browse wrap and shrink wrap contracts.
Second way is through Email or other messaging services.
Clickwrap contracts are made when the buyer of a software clicks on “I agree” to accept the terms and
conditions of the contract. The addressee is given a chance to read the terms and conditions of the
contract if he so desires. If you do not click on 'I agree’, you cannot buy and install the product.
Browse wrap agreements are made available on a web site through a link on the main product page,
generally for use or downloadable product. The user has to agree before he can access or download
the product.
Shrink wrap agreements are the agreements generally shipped with a product in a plastic cover. These
generally cover right of use, warranties, liability limits, fees, licenses etc.

Email contracts are entered into by parties after exchange of communications between the parties.
As per IT Act 2000, such agreements are valid for the purpose of legal enforcement. Procedure and
guidelines are provided for this purpose in the Act for Electronic transactions. Data protection and
authentication of documents by electronic or digital signature is a primary requirement.
Section 10 A of IT Act 2008 states "Where in a contract formation, the communication of proposals,
the acceptance of proposals, the revocation of proposals and acceptances, as the case may be, are
expressed in electronic form or by means of an electronic record, such contract shall not be deemed to
be unenforceable solely on the ground that such electronic form or means was used for that purpose."

8.7 Electronic and Digital Signatures

Electronic signatures are easy to make and are less secure. An image of the signature of a person
made by photography or scanning is an electronic signature. It is used for verifying documents and is
less secure and any tampering cannot be verified.
Digital signature is, on the other hand, an electronic signature but is very secure with independent
verification, shows tamper evidence in documents and adheres to international standards.
Difference between electronic and digital signature can be listed as:

• Electronic signature (ES) is a digital form signature, legal and secure. Digital signature (DS)
is an electronic signature and works with Public key infrastructure by registration
• ES validation is not by any trusted authority while DS is validated by trusted certification
authorities.
• ES is not tamper proof and cannot show if tampered while DS is highly secure and can show
tamper evidence
• ES is any kind of image attached to the document for identity and consent; DS is encrypted
for identity
• ES is used for verification purpose only while DS is primarily for securing documents
• ES is not authorised while DS is authorised
• ES is less secure while DS is highly secure
• ES does not conform to coding standards while DS conforms to coding standards as provided
by Adobe or Microsoft

Authentication of Electronic Records (IT Act 2008)

(1) Subject to the provisions of this section any subscriber may authenticate an electronic record by
affixing his Digital Signature
(2) The authentication of the electronic record shall be effected by the use of asymmetric crypto
system and hash function which envelop and transform the initial electronic record into another
electronic record.
3A Electronic Signature (Inserted vide ITAA 2006)
(1) Notwithstanding anything contained in section 3, but subject to the provisions of sub-section (2), a
subscriber nay authenticate any electronic record by such electronic signature or electronic
authentication technique which-
(a) is considered reliable; and
(b) may be specified in the Second Schedule
(2) For the purposes of this section any electronic signature or electronic authentication technique
shall be considered reliable if-
(a) the signature creation data or the authentication data are, within the context in which they are used,
linked to the signatory or as the case may be, the authenticator and of no other person;
(b) the signature creation data or the authentication data were, at the time of signing, under the control
of the signatory or, as the case may be, the authenticator and of no other person;
(c) any alteration to the electronic signature made after affixing such signature is detectable
(d) any alteration to the information made after its authentication by electronic signature is detectable;
and
(e) it fulfills such other conditions which may be prescribed.
Secure Electronic Record
Where any security procedure has been applied to an electronic record at a specific point of time, then
such record shall be deemed to be a secure electronic record from such point of time to the time of
verification.

Secure Electronic Signature (Substituted vide ITAA 2008)

An electronic signature shall be deemed to be a secure electronic signature if-
(i) the signature creation data, at the time of affixing signature, was under the exclusive control of
signatory and no other person; and
(ii) the signature creation data was stored and affixed in such exclusive manner as may be prescribed
Explanation- In case of digital signature, the "signature creation data" means the private key of the
subscriber
Security procedures and Practices (Amended vide ITAA 2008)
The Central Government may for the purposes of sections 14 and 15 prescribe the security procedures
and practices
Provided that in prescribing such security procedures and practices, the Central Government shall
have regard to the commercial circumstances, nature of transactions and such other related factors as
it may consider appropriate.

Review Questions
1 State the focus of IT Act 2008 compared to the earlier version of IT Act 2000
2 Enlist some salient features the amendment bill IT Act 2008
3 Define the tern cyber space and enlist the security concerns in cyber space
4 List the steps that needs to be taken to ensure security of data and privacy in cyber space.
5 Define the term data and security issues concerned with it
6 List the steps corporates and individuals have to take to ensure data security
7 List the steps individuals have to take to ensure privacy in the digital media
8 Define electronic and digital signatures
9 List the differences between electronic and digital signatures
10 State the provisions in the IT act for authentication of electronic records
 Chapter
Chapter-1
Chapter-11

Morals
Morals and
and Ethics
Ethics in
in
g
Engineering
Engineering g
Senses
Senses Of
Of Ethics
Ethics: :

Ethics is
 Ethics is an
an activity
activity of
of

 Principles,
Principles,
Moral,
Moral,  Understanding
Understanding the
the moral
moral values
values
Believes,
Believes,  Resolve
Resolve the
the moral
moral issues
issues
Standards,
Standards
Standards,  Justify
Justify the
the moral
moral judgment
judgment
…etc
...etc
Professional
Professional Ethics
Ethics: :

Ethics refers
 Ethics refers to
to a
a set
set of
of
Principles,
 Principles, beliefs,
 beliefs,

Morale,
Morale,  attitudes,
attitudes
attitudes, and
and
Believes,
Believes,  habits
habits that
that a
a person
person or
or group
group
Standards,
Standards
Standards, displays
displays Concerning morality.
Concerning morality.
…etc
...etc
Senses
Senses Of
Of Ethics
Ethics: :

Ethics is
 Ethics is aa system
system of
of moral
moral principles
principles or
or
rules
rules of
of behavior,
behavior, which
which is
is acceptable
acceptable
by
by our
our society.
society.
 Principles,
Principles,
Moral,
Moral,
 Ethics
Ethics explores the nature
explores the nature of
of rights
rights or
or
Believes,
Believes, moral responsibilities
moral responsibilities && ofof how
how to go
to go
Standards
Standards,
Standards, about addressing
about addressing anan ethical
ethical problem.
problem.
problem
…etc
...etc
Senses
Senses Of
Of Ethics
Ethics: :

 Principles,
Principles, Ethics
 Ethics refers to
refers to being
being “morally
“morally
Moral,
Moral, correct”
correct”
 People’s
People’s action
action can
can be
be spoken
spoken as
as
Believes,
Believes,
“ethical”
“ethical” or
or “unethical”
“unethical”
Standards
Standards,
Standards,
 Individuals
Individuals can
can bebe evaluated
evaluated as
as
…etc
...etc “ethical”
“ethical” or
or “unethical”
“unethical”
Engineering
Engineering Ethics:
Ethics
Ethics: :

Engineering
 Engineering
g Ethics: is
g Ethics: is about
about
 how
how we
we have
have to
to act
act and
and live
live as
as an
an
engineer,
engineer
engineer,
 Principles,
Principles
Principles,
what we
 what we have
have to consider when
to consider when making
making
Morale,
Morale, decisions,
decisions,
Believes
Believes,
Believes,  according
according to
to what
what standards
standards are these
are these
Standards,
Standards, actions
actions right
right or
or wrong
wrong.
wrong.

…etc
..etc
Shortly
Shortly Engineering
Engineering ethics
ethics is
1s how
how
g
engineers
engineers morally
morallyy act
act as
as an
an Engineer.
g
Engineer. This
This
is
is professional
professional ethics NOT personal
ethics NOT personal ethics.
ethics.
Engineering
Engineering Ethics:
Ethics
Ethics: :

» This
 This is
1s the
the field
field of
of applied
applied ethics
ethics which
which examines
examines &
& sets
sets standards
standards
for
for engineer
engineer’s
engineer’ss obligation
obligation to
to the public their
public,
the public, their clients,
clients
clients, employers
employers & & the
the
profession
profession && is
1s appropriate
appropriate in
in all
all aspects
aspects of
of professional
professional practice.
practice.
» Engineering
 Engineering Ethics
Ethics is
is an
an activity
activity of
of
0
 Understanding the
Understanding the moral
moral values that ought
values that ought to
to guide the
guide the
engineering profession
engineering profession
0
 Resolve
Resolve the
the moral
moral issues
1ssues in the profession
in the profession
2
 JJustify
if the
Justify the moral l judgment
h moral j d
judgment concerning
i the
concerning h profession.
the profession.
f i
Case
Case studies
studies

» Case
 Case 1:
I:
Mary
Mary discovers
discovers that that her
her plant
plant (factory)
(factory) isis discharging
discharging aa substance
substance into
into the
the river that is
river that is
not
not t regulated
l t d by
regulated bby the
th
the government.
government.t She Sh
She decides
ddecides
id toto
t doddo some
some readingdi about
reading b t the
about th substance
the bt
substance
and
and finds
finds that
that some
some of of the
the studies
studies suggest
suggest that that it
it is
is carcinogen.
carcinogen. As As an an engineer,
engineer, she she
believes
believes she she has
has an an obligation
obligation to to protect
protect the the public,
public, but but she
she also
also wants
wants to to be
be aa loyal
loyal
employee.
l
employee. Th
The
The substance
bt
substance will
ill probably
will b bl be
probably bbe very
very expensive
expensivei toto
t remove,
remove, and andd her
hher boss
bboss
advises,
advises, “Forget
“Forget aboutabout itit until the government
until the government makes makes us us do
do something.
something. Then Then all all thethe
other
other plants
plants will
will have
have to to spend
spend money
money too, too, and
and we we will
will not
not bebe atat aa competitive
competitive
di
disadvantage.”
d t
disadvantage.” ” What
What t should
Wh h ld Mary
should M
Mary d ?
do?
Case
Case studies
studies

» Case
 Case 2:
2:
Tom
Tom is g g aa new
is designing
designing new chemical
chemical p plant.
plant. One
One ofof his
his responsibilities
p
responsibilities is to identify
is to identifyy
the valves to
the valves to be
be used
used inin aa certain
certain portion
portion of of the
the plant.
plant. Before
Before hehe makes
makes hishis final
final
decision,
decision, aa salesperson
salesperson for for one
one of
of the
the firms
firms that
that manufactures
manufactures valves
valves invites
invites Tom
Tom
to
to aa golf
golf game
game atat the
the local
local country
country club.
club
club. Should
Should Tom Tom accept
accept the
the offer?
offer?
According to what
According to what standards
standards are
are these
these actions
actions right
right or
or wrong?
wrong?

» Consider
 the cases
Consider the cases as
as aa professional
pprofessional
engineer.
cengineer. » What
 What you have to
you have to consider
consider when
when
making decisions
making decisions in
in those cases.
those cases.

» According
 According to
to what
what standards
standards areare
these actions
these actions right
right or
or wrong
wrong inin those
those
n cases.
Cascs.
Things to
Things to consider
consider and
and standards:
standards:

» What
 What are
are your
your OBLIGATIONS
OBLIGATIONS //
RESPONSIBILITIES as
RESPONSIBILITIES as an
an engineer?
engineer?
WHAT
WHAT IS
IS MORALITY?
MORALITY?

 The term ‘morality’

The term “morality’ concerns
concerns with
with
 what
what ought
ought or
or ought
ought not to be
not to be done
done in
in aa given
given situation?
situation?
what is
 what is right
right or
or wrong
wrong in
in handling
handling it?
it?
 what
what is
is good
good or
or bad
bad about
about the
the persons,
persons
persons, policies
policies and
and principles
principles involved
involved in
in it?
it?

 If
If an
an action
action is
is said to be
said to be morally
morally right
right it
it should
should have
have some
some moral
moral reasons
reasons for
for
supporting it.
supporting it.
WHAT
WHAT IS
IS MORALITY?
MORALITY?

> Moral
 Moral is
is defined
defined as
as ::
O “concerned
 “concerned with
with the
the p
principles
principles
p ofof right
right and wrong
g and wrongg behaviour”
behaviour” or
or
0 “a
 lesson that
“alesson that can
can be
be derived
derived from
from aa story
story or
or experience”
experience”

» Morality
 Morality is
is derived
derived from
from the
the Latin
Latin word
word moralitas,
moralitas, meaning
meaning manner,
manner, customs, or
proper
proper behavior.
behavior.
WHAT
WHAT IS
IS MORALITY?
MORALITY?

> Morality
 Morality can
can be
be defined
defined as
as

»
 ‘Principles governing
‘Principles governing right
right and
and wrong
wrong and
and good
good and
and bad
bad behavior.’
beha
<«
 ‘The degree
‘The
The degree to
to which something is
which something is right
right or
or wrong,
wrong good, or
wrong, good
good, or bad
bad, and
so
so on.’
on.’
»
 ‘A‘Asystem
system
y of moral
of moral p
principles
principles
p followed by
followed byy a
a p
particular g
particular gro p of
group
people.’
people.’
WHAT
WHAT IS
IS MORALITY?
MORALITY?

» Morality
 Morality can
can be
be classified
classified into
into ::

= Descriptive morality
Descriptive morality -- in
in its
its simplest
simplest form,
form, refers
refers to
to a
a moral
moral code
co of
conduct
conduct formulated
formulated by
by a a group
group of
of people.
people.

= Normative
Normative morality
moralityy -- denotes
denotes a a code
code of
of conduct,
conduct, but
but it
it specifies
p
specif the
conditions under
conditions under which
which it it is
is valid and considered
valid and considered acceptable
acceptabl by all
rational people.
rational people.
MORALITY
MORALITY Versus
Versus ETHICS
ETHICS
Morality Ethics

I. More general and prescriptive based on l. Specific and descriptive. It 1s a critical

customs and traditions. reflection on morals.

2. More concerned with the results of wrong 2. More concerned with the results of a right
action. when done. action, when not done.

3. Thrust 1s on judgment and punishment. 3. Thrustis on influence, education. training

in the name of God or by laws. through codes. guidelines, and correction.
4. In case of conflict between the two, 4. Less serious. hence second priority only.
morality is given top priority. because the Less common. But relevant today, because
damage 1s more. It 1s more common and of complex interactions 1n the modern
basic. soclety,
VARIETIES
VARIETIES or
or APPROACHES
APPROACHES OF
OF ETHICS
ETHICS

MICRO-ETHICS:
MICRO-ETHICS:

» This
 This approach
approach stresses
stresses more
more about
about some
some typical and everyday
typical and everyday problems
problems which
which play
play an
an
important role
important role in
in the field of
the field of engineering
engineering and
and in
in the
the profession
profession of
of an
an engineer
engineer

MACRO-ETHICS:
MACRO-ETHICS:

» This
 This approach
approach deals
deals with
with all
all the social problems
the social problems which
which are
are unknown
unknown and
and suddenly
suddenly burst
burst out
out
on aa regional
on regional or
or national
national level.
level.

» So,
 So, it
it is
is necessary
necessary for
for an
an engineer
engineer to
to pay
pay attention
attention on
on both
both the
the approaches
approaches by
by having
having aa careful
careful
study
study
t d ofoff how
hhow they affect
ff t them
th affect
they th
them professionally
professionally
f i ll and andd personally.
personally. The engineers
ll The
Th engineers
i hhave toto
have ttolerate
t tolerate
l t
themselves
themselves with
with the everyday problems
the everyday problems both
both from
from personal
personal and
and societal
societal point
point of
of view.
Where
Where and
and How
How do
do Moral
Moral Problems
Problems arise
arise in
in Engineering?
Engineering?

Case-1:
Case-1:

»
 An inspector finds
An inspector finds aa faulty
faulty part
part in
in the
the manufacture
manufacture of
of aa machine,
machine, which
which
prevents the
prevents use of
the use of that
that machine
machine for
for aa longer
longer period.
period. But
But his
his superior,
superior, takes
takes
this as aa minor
this as minor mistake
mistake and
and orders
orders that
that the
the faulty
faulty part
part to be adjusted
to be adjusted so
so that
that
the delay in
the delay in the process has
the process has to
to be
be avoided.
avoided. But
But the
the inspector
inspector doesn’t
doesn’t want
want
this
this andd so
hi and so he
hhe is
iis threatened
threatened
h bby the
d by the
h superior.
i
Where
Where and
and How
How do
do Moral
Moral Problems
Problems arise
arise in
in Engineering?
Engineering?

Case-2:
Case-2:

An electronic
» An
 electronic company
company applies
applies for
for aa permit
permit to
to start
start aa Nuclear
Nuclear Power
Power Plant.
Plant. When
When
the licensing
the licensing authority
authority comes
comes for
for visit, they enquire
visit, they the company
enquire the company authorities
authorities on
on the
the
emergency
emergency measures that have
measures that have been
been established
established for
for safety
safety of
of the
the surroundings.
surroundings. The
The
engineers
engineers inform them about
inform them the alarm
about the alarm system
system and
and arrangements
arrangements have
have been
been made
made
in
in local
local hospitals
hospitals for
for the treatment of
the treatment their employees
of their employees and they have
and they have no
no plan
plan for
for
the surrounding
the surrounding people.
people. They
They also
also inform
inform that
that it
it is the responsibility
is the responsibility of the people.
of the
Where
Where and
and How
How do
do Moral
Moral Problems
Problems arise
arise in
in Engineering?
Engineering?

Case-3:
Case-3:

 AA Yarn
Yarn Dyeing
Dyeing company
company which
which dumps
dumps its
its wastes
wastes in
in the
the nearby
nearby river.
river. It
It causes
causes
heavy damage
heavy damage to the people
to the people those who are
those who are using
using the
the river.
river. The
The plant
plant engineers
engineers are
are
aware
aware of this, but
of this, but they
they do
do not
not change the disposal
change the disposal method
method because
because their
their
competitors
competitors also
also doing
doing similarly
similarly as
as it
it happens to be
happens to be aa cheaper.
cheaper. They
They also
also say that it
say that it
is the responsibility
is the responsibility of
of the
the local
local government.
government.

All
All these
these examples
examples clearly
clearly explain
explain how
how the
the ethical
ethical problems
problems arise
arise most
most often
often because
because ofof wrong judgments and
wrong judgments and expectations
expectations
of
of engineers.
engineers. These
These necessitate
necessitate for
for establishing
establishing some
some codes
codes of
of conduct which has
conduct which has to
to be
be imposed
imposed on
on engineers’
engineers’ decisions
decisions on
on
the
the basis
basis of
of ethical
ethical view.
MORAL
MORAL DILEMMAS
DILEMMAS

» Why
 Why study
study engineering
engineering ethics?
ethics?

» Engineering
 Engineering ethics
ethics is
is not
not only
only teaching moral behavior
teaching moral behavior in
in knowing
knowing about
about immoral
immoral in
in aa
set
set of
of beliefs,
beliefs, but
but also
also increasing the ability
increasing the ability of
of engineers
engineers and
and other
other professionals to
professionals to
face
face boldly
boldly with
with the
the moral
moral problems
problems arising
arising from technological advancements,
from technological advancements
advancements,
changes
changes and
and other
other related
related activities.
MORAL
MORAL DILEMMAS
DILEMMAS

 Dilemmas
Dilemmas are
are certain
certain kind
kind of
of situations
situations in
in which
which a
a difficult
difficult choice
choice has
has to
to be
be made.
made.

Moral dilemmas
 Moral dilemmas have
have two
two or
or more
more folding
folding -- moral
moral obligations,
obligations, duties,
duties, rights,
rights, goods
goods
or
or ideals
ideals come
come into
into disagreement
disagreement with
with each
each other.
other.

 One
One moral
moral p
principle
p can
principle can have two or
have two or more
more conflicting
conflictingg applications
pp
applications for
for aa p
particular
particular
given situation.
given situation.
MORAL
MORAL DILEMMAS
DILEMMAS

Case-1:
Case-1:
» Suppose
 Suppose an
an engineer
engineer gives
gives aa promise to his
promise to his superior that he
superior that he will
will meet
meet him
him on the
on the
evening
evening ofof aa particular
particular dayday for
for important
important discussion,
discussion, butbut unfortunately
unfortunately on on the
the same
same
day
day his
his brother
brother has has met
met with
with anan accident
accident and
and hehe has
has to take him
to take him to to hospital.
hospital. The
The
dil
dilemma
dilemma herehhere consists i t of
consists off aa conflict
fli t between
conflict bbetween
t th duty
the
the ddutyt to
tto keep
kkeep promise
promise i andandd
obligations
obligations to to his
his brother.
brother. In
In this
this situation, to solve
situation, to solve his
his moral
moral problem,
problem, he he can
can make
make
aa phone
phone call to his
call to his superior
superior and
and make
make apology
apology forfor his
his inability
inability to to come.
come. So,
So, from
from the
the
above
above itit is
is clear that the
clear that the duty
duty to to keep
keep promise
promise always
always has has two two different
different andand
conflicting
conflicting applications.
applications.
 MORAL
MORAL DILEMMAS
DILEMMAS
There
There are three types
are three types of
of complexities.
complexities.

» The
 The problems
problems of
of VAGUENESS:
VAGUENESS:
» This
 This complexity
complexity arises
arises due to the
due to the fact
fact that
that it
it is
is not
not clear to individuals
clear to individuals as to which
as to which
moral considerations
moral considerations or
or principles
principles apply
apply to
to their
their situation.
situation.
situation

» The
 The problems
problems of
of CONFLICTING
CONFLICTING REASONS:
REASONS:
» Even
 Even when
when it
it is
is perfectly
perfectly clear
clear as
as to
to which
which moral
moral principle
principle is
is applicable to one’s
applicable to one’s
situation,
situation, there
there could
could develop
develop aa situation
situation where
where in two or
in two or more
more clearly
clearly applicable
applicable moral
moral
principles
principles come into
i i l come iinto conflict.
conflict.
fli

» The
 The problems
problems of
of DISAGREEMENT:
DISAGREEMENT:
» Individuals
 Individuals and
and groups
groups may
may disagree
disagree how
how to
to interpret,
interpret, apply
apply and
and balance
balance moral
moral
reasons
reasons in
in particular
particular situations.
STEPS
STEPS // PROCEDURES
PROCEDURES IN
IN FACING
FACING MORAL
MORAL DILEMMAS
DILEMMAS

 Identifying the relevant

Identifying the relevant moral
moral factors
factors and
and reasons:
reasons: i.e.
i.e. Finding
Finding solutions
solutions for
for (i) the
(i) the
conflicting responsibilities
conflicting responsibilities (ii)
(i1) the competing rights
the competing rights and
and (iii)
(ii1) the
the clashing
clashing ideals
ideals involved.
involved.
 Collecting
Collecting and
and gathering
gathering all
all the
the available
available facts
facts which
which are
are relevant to the
relevant to the moral
moral factors
factors
while resolving.
while resolving.
 Ranking
R ki the
Ranking th moral
the moral l considerations
id ti
considerations or
or principles
i i l on
principles on the
th
the basis
bbasisi of
off importance
iimportance
t as
as applicable
li bl toto
applicable t
the situation.
the situation.
 Considering
Considering alternative
alternative courses
courses of
of action
action for
for resolving
resolving the
the problems
problems and tracing the
and tracing the full
full
implications
implications of
of each.
each. i.e.
i.e. conducting
conducting factual
factual inquiries.
inquiries.
 Having
Having talked
talked with the colleagues
with the colleagues about the problem,
about the problem, getting their suggestions
getting their suggestions and
and
alternative
alternative ideas
ideas on
on resolving that dilemma.
resolving that dilemma.
 Arriving
Arriving at
at aa careful
careful and
and reasonable judgment or
reasonable judgment or solution
solution by taking into
by taking into consideration
consideration of
of
all
allll important
iimportant
t t moral
moral l factors
ffactors
t and
andd reasons
reasons on
on the
th
the basis
bbasisi of
off the
th facts
the ffactst or t th
truths.
or truths.
 MORAL AUTONOMY
MORALAUTONOMY

» Autonomy
 Autonomy means
means self-governing
self-governing or
or self-determining
self-determining i.e
i.e act
act independently.
independently.

» Moral
 Moral autonomy
autonomy is
is concerned with the
concerned with the independent
independent attitude
attitude of
of a
a person
person related
related to
to
ethical
ethical issues.
issues. It It means
means the the right
right or
or the
the wrong
wrong conduct
conduct which
which is is of
of independent
independent on on ethical
ethical
iissues.
ssues.
»
 It
It deals
deals with
with the
the improvement
improvement of of an
an individual’s
individual’s moral
moral thoughts
thoughts which
which makemake him to adopt
him to adopt
good
ggood habits.
habits. ItIt helps
helpsp toto improve
p
improve the self-determination
the self-determination among
amongg the
the individuals.
individuals.
»
 Autonomous
Autonomous individuals
individuals think think for themselves and
for themselves and do
do not
not assume
assume that that customers
customers areare
always
always right.
right.
»
 Moral autonomy
Moral autonomy is is aa skill
skill and
and habit
habit ofof thinking ethical problems
thinking ethical problems in in aa rational
rational manner.
manner. The
The
individuals
individuals seekseek toto reason
reason andand live
live by
by general
general principles.
principles.
»
 Their motivation
Their motivation is is to
to dodo what
what is is morally
morally reasonable
reasonable for for its
its own
own sake,
sake, maintaining
maintaining
integrity,
integrity, self-respect,
self-respect, and and respect
respect for
for others.
others.
 Need
Need of
of MORAL
MORAL AUTONOMY
AUTONOMY in
in Engineering
Engineering Ethics
Ethics

 Moral
Moral autonomy
autonomy help the engineers
help the engineers and
and other
other professionals to strength
professionals to their professional
strength their professional
values such
values such as
as honesty,
honesty,y, respect
respect
p the colleagues
the colleagues
g and think
and think for
for the
the welfare
welfare of
of the
the g
general
general
public.
public.

 Though the above

Though the above said values have
said values have been
been already
already in the minds
in the minds of
of the
the engineers,
engineers,
engineering
engineering ethics
ethics helps to improve
helps to improve these
these qualities
qualities in
in aa better
better manner
manner among
among the
the
engineers, and
engineers
engineers, and not
not inculcating
inculcating newly.
newly.
newly

 The
The structural
structural objective
objective of
of engineering
engineering ethics
ethics is
is to
to be
be enable
enable the
the individuals to understand
individuals to understand
the
the moral
moral responsibilities
responsibilities in
in aa clear
clear and
and careful
careful manner.
manner.

 So, the main

So, the main aim
aim of
of studying
studying engineering
engineering ethics
ethics is to increase
is to increase the
the moral
moral autonomy
autonomy within
within
him.
him.
 SKILLS
SKILLS FOR
FOR IMPROVING
IMPROVING MORAL AUTONOMY
MORALAUTONOMY

 The
The engineers
engineers must
must have the ability
have the ability to
to distinguish
distinguish and
and relate
relate these
these moral
moral problems
problems with
with
the p
the problems
problems of
of law,
law, , economics,
economics, , religions
g
religions principles
p p etc.
principles etc.

 They
Theyy must
must possess
p the skills
possess the skills of
of understanding,
understanding,g, clarifying
y g
clarifying and
and assessing
assessingg the
the
arguments
arguments which
which are
are against
against the
the moral
moral issues.
issues.

 They
They must
must have the ability
have the to suggest
ability to the solutions
suggest the to moral
solutions to moral issues,
issues, on
on the
the basis
basis of
of facts.
facts.
These
These suggestions
suggestions must
must be
be consistent
consistent and
and must
must include
include all the aspects
all the aspects of the problem.
of the problem.

 They
They must
must have the imaginative
have the imaginative skill to view
skill to view the
the problems
problems from
from all
all view
view points
points and
and also
also
be
be able
able to
to suggest
suggest aa proper
proper alternative
alternative solution.
solution
SKILLS
SKILLS FOR
FOR IMPROVING
IMPROVING MORAL AUTONOMY
MORALAUTONOMY

 They
They must
must be
be able
able to tolerate while
to tolerate while giving
giving moral judgments and
moral judgments and decisions
decisions which
which may
may
cause trouble.(
cause 1.e. they
trouble.( i.e. have to
they have to understand
understand the
the difficulties
difficulties in
in making
making moral
moral decisions.)
decisions.)

 They
Theyy must
must have
have adequate
q
adequate knowledge
g and
knowledge and understanding
understandingg about
about the
the use
use of
of ethical
ethical language
g g
language
so
so as
as to
to defend
defend or
or support
support their
their views
views with
with others.
others.

 They
They must
must have
have somesome better
better knowledge
knowledge in
in understanding
understanding the
the importance
importance of
of
suggestions
suggestions and
and better
better solutions
solutions while
while resolving
resolving moral
moral problems
problems and
and also
also about the
about the
importance
importance of tolerance on
of tolerance on some
some critical
critical situations.
situations
situations.

 They
They must
must understand the importance
understand the importance of
of maintaining the moral
maintaining the moral honesty
honesty i.e.
ii.e.e the
the personal
personal
convictions
convictions and
and beliefs
beliefs and
and individual’s
individual’s professional
professional life
life must
must be
be integrated.
KOHLBERG’S
KOHLBERG’S THEORY
THEORY

» Moral
 Autonomy is
Moral Autonomy is based
based on the psychology
on the psychology of
of moral
moral development.
development.

» The
 The first
first psychological theory was
psychological theory was developed
developed by
by Jean
Jean Piaget.
Piaget.

» On
 On the
the basis
basis of
of Piaget’s
Piaget’s theory,
theory, Lawrence
Lawrence Kohlberg
Kohlberg developed
developed three
three main
main levels
levels
of moral
of moral development.
development.

» which
 which is
is based
based on
on the
the kinds
kinds of
of reasoning
reasoning and
and motivation
motivation adopted
adopted by
by individuals
individuals with
with
regard to moral
regard to moral questions.
" The Heinz Dilemma
In Europe, a woman was near death from a special kind of cancer. There
was one drug that the doctors thought might save her. It was a form of
radium that a druggist in the same town had recently discovered. The
drug was expensive to make, but the druggist was charging ten times
what the drug cost him to make. He paid $200 for the radium and
charged $2,000 for a small dose of the drug. The sick woman's
husband, Heinz, went to everyone he knew to borrow the money, but he
could only get together about $1,000, which is half of what it cost. He
told the druggist that his wife was dying and asked him to sell it cheaper
or let him pay later. But the druggist said: “No, | discovered the drug and
I'm going to make money from it.” So Heinz got desperate and broke
into the man's store to steal the drug for his wife. Should the husband
have done that?
 .

= ..
****
G

-
.
Level 3 Level 4
Stage 2 Interpersonal: Authorit -
w

Conventional behavior driven by behavior driven by

Morality social approval obeying authority and
conforming to norms

Level 5 Level 6
Stage 3 S ocila | contract Universal ethics
Post-Conventional behavior driven by behavior driven by
Morality balance of social order internal moral principles
5 ht
Land individual ri QSJ
o
STAGES
STAGES OF
OF MORAL
MORAL DEVELOPMENT
DEVELOPMENT

Pre-conventional
Pre-conventional Level:
Level:
It is
 It is nothing
nothing but
but self-centered
self-centered attitude.
attitude.

 In
In this
this level,
level, , right
g
right conduct
conduct is veryy essential
is very essential for
for an
an individual
individual which
which directly
directlyy
benefits him.
benefits him.

According
 According to this
to this level,
level, individuals
individuals are
are motivated
motivated by their willingness
by their willingness toto avoid
avoid
punishment,
punishment, or
or by their desire
by their to satisfy
desire to satisfy their
their own
own needs
needs or
or by
by the
the influence
influence of the power
of the power
exerted
exerted by them.
by them.

 This
This level
level is
is related
to the
related
to the moral
moral development
development of
of children
children and
and some
some adults
adults
who
who never
never want
want to
to go go beyond
beyond aa certain
certain limit.
STAGES
STAGES OF
OF MORAL
MORAL DEVELOPMENT
DEVELOPMENT

Conventional Level:
Conventional Level:

» The
 Th
The level
llevel l deals
ddealsl with
i h the
with the
h respect
respect for
ffor conventional
i l rules
conventional l and
rules andd authority.
h i
authority.

As p
» As
 per this level
per this level the
the rules
rules and
and norms
norms of
of one’s
one’s family
familyy or
or g
group
groupp or
or society
societyy has
has been
been
accepted
accepted as
as the
the final
final standard
standard of
of morality.
morality.

» These
 These conventions
conventions are
are regarded
regarded as
as correct,
correct, because they represent
because they represent with
with authority.
authority.

» When
 When individuals are
individuals are under
under this
this level,
level, always
always wantwant to satisfy others
to satisfy others and
and also
also to
to
meet
meet the
the expectations
expectations of
of the
the society
society and
and not
not their
their self
self interest.
interest
interest.

» Loyalty
 Loyalty and
and close
close identification
identification with
with others
others have
have been
been given
given much
much importance.
importance.

No adult
» No
 tries to
adult tries to go
go beyond this level.
beyond this
STAGES
STAGES OF
OF MORAL
MORAL DEVELOPMENT
DEVELOPMENT

Post- Conventional Level:

Post- Conventional Level:

> This
 This level is
is said
said to
to be
be attained
attained when
when an
an individual
individual recognizes the right
recognizes the right and
and the
the wrong
wrong on
on
the basis
the basis of
of aa set
set of
of principles
principles which
which governing
governing rights
rights and
and the
the general
general good
good which
which are
are not
not
based
based on
on self-
self- interest
interest or
or social
social conventions.
conventions.

 These
These individuals
individuals are
are called
called “autonomous”,
“autonomous”, because
because they
they only
only think
think for themselves and
for themselves and
also
also they
they do
do not
not agree that customs
agree that customs are
are always
always correct.
correct
correct.

 They
Theyy want
want to
to live
live by
byy ggeneral
general pprinciples
p
principles which
which are
are universally
universallyy applied
pp
applied to
to all
all
people.
people.

 They
They always
always want to maintain
want to their moral
maintain their moral integrity,
integrity
integrity, self-respect
self respect and
self-respect and the
the respect
respect for
for other
other
autonomous peoples.
autonomous
Lawrence
Lawrence Kohlberg
Kohlberg

» Kohlberg
 Kohlberg‟s
Kohlberg™s s theory
theory of
of moral
moral development
development is
is very
very much
much related to the
related to the goals
goals
of
of studying
studying ethics
ethics at
at college
college level.
level.

» To
 To become
become morally
morally responsible,
responsible, an
an individual
individual must
must be
be able
able and
and willing
willing to
to undergo
undergo with
with
moral reasoning.
moral reasoning.

» Moral
 Moral responsibility
responsibility comes
comes out
out of
of the
the foundation
foundation of
of early moral
early moral training
training given
given by
by an
an
individual’s parents
individual’s parents and
and culture.
culture.

As per
» As
 per Kohlberg’s
Kohlberg’s view
view only
only few
few people
people would
would reach the post
reach the post conventional
conventional level
Kohlberg’s
Kohlberg’s Theory
Theory of
of Moral
Moral Development
Development

 Each
Each level
level is
is based
based on
on the
the degree
degree to
to which
which aa person
person conforms to conventional
conforms to conventional
standards
standards of
of society.
society.

Each level
 Each level has
has two
two stages
stages that represent different
that represent different degrees
degrees of
of sophistication
sophistication in
in moral
moral
reasoning.
reasoning.
reasoning
Kohlberg's Levels and Stages of Moral Development
l. Preconventional Level Stage 4: Law and Order
Muoral reasaining is quided by external consequences. No internal- “Right” Is helping maintain social order by doing one’s duty,
ization of values or rules, abeying lws umply because they are liws, and showing respect
for authonties simply because they are authorities.
Stage 1: Punishment and Obedience
"Right™ is obeving the rules simply to avold punishment because lll.Postconventional Level
others have power over you and can punish you. Maoral reasoning b quided by internalured legal and moral princi-
ples that protect the rights of all members of society.
Stage 2: Mutual Benefit
"Right” is an even or fair exchange, so that both parties benefit. Stage 5: Legal Principles
Maoral reasoning quided by a sense of "fair play.” "Right” is helping protect the basic rights of all membersof soci-
ety by upholding legalistic principles that promaote the vales of
Il. Conventional Level fairmess, justice, squality, and democracy.
Maowal reasoning is guided by conformily to social roles, rules, and
expectations that the person has leamed and intermalized, Stage 6: Universal Moral Principles
“Right® is determined by self-chosen ethical principles that un-
Stage 3: Interpersonal Expectations derscare the person's profound respect for ideals such as the
“Right™ is being a “good™ person by conforming to social expec- sanctity of human e, nonviolence, equality, and human dig-
tations, such as showing concern for others and following rules nity, i these moral principles conflict with demaocratically deter-
g6l by others 50 as to win their approval, For example, behaving mined laws, the person’s sell-chosen moral prnciples would take
like a “good™ child, student, citizen, spouse, Iriend, or employee. precedence, such as the conscientious objector who refuses to
be drafted because of moral principles against was,
FOURCTL: Runed on Kobdtsery {191) and Colly I often (19R1)
 Chapter-2
Chapter-2

Engineering
Engineering
as
as
Social Experimentation
Social Experimentation
Development of
Development of Product
Product or
or Project
Project is
is an
an Experiment
Experiment

DESIGN: AN
DESIGN: AN Design
Design
ITERATIVE
ITERATIVE
Fabrication, Assembly,
Fabrication, Assembly, Physical
Physical Tests/
Tests/ Simulation
Simulation
PROCESS
PROCESS
Prototype // Pilot
Prototype Pilot Plant
Plant // Model
Model Study
Study

Final Design
Final Design

Manufacturing
Manufacturing ---------

Field Study
Field Study
There are
There are similarities
similarities between
between engineering
engineering experiments
experiments and
and standard
standard experiments
experiments

Engineering experiments
Engineering experiments
•* Both
Both are
are conducted
conducted atat state
state of
of partial ignorance
partial ignorance
Vs
Vs •* Outcomes
Qutcomes in1n both
both are
are uncertain
uncertain
Standard Experiments
Standard Experiments

We Engineers
We Engineers are
are required to work
required to work
a.
a. With all
With all scientific
scientific knowledge
knowledge
b.
b. With hypothetical
With hypothetical assessment
assessment of
of safety,
safety, health,
health, environment,
environment, social
social influences
influences
There are
There are similarities
similarities between
between engineering
engineering experiments
experiments and
and standard
standard experiments
experiments

Engineering experiments
Engineering experiments
•* Both
Both need
need continuous
continuous monitoring
monitoring
Vs
Vs
•* Learning
Learning from
from the
the past
past
Standard Experiments
Standard Experiments

We Engineers
We Engineers are
are required
required to
to work
work
a.
a. Based on
Based on information
information conducting
conducting experiment
experiment on
on public
public
b.
b. Based on
Based on product
product history,
history, our
our experience
experience and
and competitor’s
competitor’s statistics
statistics
There are
There are contrasting
contrasting features
features too!
too!

Engineering experiments
Engineering experiments •* Experimenter
Experimenter exercises
exercises control
control in
in standard
standard experiments.
experiments. The
The
Vs
Vs client exercises
client exercises control
control in
in engineering
engineering experiments.
experiments.
Standard Experiments
Standard Experiments •° Engineering
Engineering experiments
experiments involve
involve human
human objects:
objects: needs
needs //
expectations // views
expectations views

What users
What users will
will do
do with
with the
the product?
product?
Where will
Where will the
the users
users apply
apply this
this product?
product?
Will it
Will it be
be subjected
subjected to to unforeseen
unforeseen stresses?
There are
There are contrasting
contrasting features
features too!
too!
•Standard
*Standard experiments
experiments do do not
not need
need informed
informed consent,
consent, where
where as
as
. . . engineering experiments
engineering experiments informed
informed consent
consent is 1s considered
considered
Engineering
Engineering experiments
experiments ohicq) to
ethical to be
be practiced.
practiced.
Vs
Vs •* Is
[s the
the subject
subject given
given all
all relevant
relevant information?
information?
Standard
Standard Experiments
Experiments •* Is
Is the
the consent
consent voluntary?
voluntary?
•* Is
[s the
the subject
subject capable
capable ofof rational
rational decision
decision making?
making?

•* The
The contribution
contribution ofof engineering
engineering experiment
experiment to new
to new
knowledge development
knowledge development is1s rather
rather low.
low. Rather
Rather it
it helps
helps to
to verify
verity
the design,
the design, to
to check
check for
for stability
stability and
and to
to prepare for unexpected
prepare for unexpected
outcomes
outcomes
The following
The following conditions
conditions are
are essential
essential for
for a
a valid
valid informed
informed consent
consent

•The
*The consent
consent must
must be given voluntarily
be given voluntarily and
and not
not by
by any
any force.
force.

•The
*The consent
consent must
must be
be based
based onon the
the relevant information needed
relevant information needed by
by aa rational
rational person
person and
and
should be
should be presented 1n aa clear
presented in clear and
and easily
easily understandable
understandable form.
form.

•The
*The consenter
consenter must
must be capable of
be capable of processing
processing the
the information
information and
and to
to make
make rational
rational
decisions in
decisions in aa quick
quick manner.
manner.

*The information
•The information needed
needed byby aa rational person must
rational person must be
be stated
stated in
in aa form
form to
to understand
understand
without any
without any difficulty
difficulty and
and has
has to
to be spread widely.
be spread widely.

*The experimenter’s
•The experimenter’s consent
consent has
has to
to be offered in
be offered in absentia
absentia of
of the
the experimenter
experimenter by
by aa group
group
which represents
which many experiments.
represents many experiments.
Knowledge Gained
Knowledge Gained

•Scientific
*Scientific experiments
experiments have
have been conducted to
been conducted to acquire
acquire new
new
knowledge.
knowledge.
Engineering experiments
Engineering experiments
Vs
Vs •Whereas
*Whereas engineering
engineering projects
projects are
are conducted
conducted as
as experiments
experiments
Standard Experiments
Standard Experiments not for
not for getting
getting new
new knowledge.
knowledge.

•Suppose
*Suppose the
the outcomes
outcomes of
of the
the experiment
experiment is
1s best, it tells
best, it tells us
us
nothing new,
nothing new, but
but merely
merely affirms
affirms that
that we
we are
are right about
right about
something.
something.

*Mean while,
•Mean while, the
the unexpected
unexpected outcomes
outcomes put us search
put us search for
for new
new
knowledge.
knowledge.
The engineer
The engineer as
as an
an experimenter
experimenter owe
owe several
several responsibilities
responsibilities to
to the
the society
society

Engineers
Engineers •* A
A conscientious to live
commitment to
conscientious commitment values
moral values
by moral
live by
As
As
responsible
responsible As
»As an an engineer,
engineer, are
are you
you sensitive
sensitive toto full
full range
range ofof moral
moral values
values and
and
experimenters
experimenters responsibilities relevant
responsibilities to prevailing
relevant to situation?
prevailing situation?
» Do you
Do you have
have the
the willingness
willingness toto develop
develop the
the skills?
skills?
» Do you
Do you have
have the
the willingness
willingness toto put
put the
the efforts
efforts needed?
needed?

While engineers
While engineers seek
seek to
to enrich
enrich knowledge,
knowledge, It is
It 1s essential
essential that
that they
they respect safety and
respect safety and
to garner
to garner profit, to follow
profit, to follow rules and care
rules and care for
for health of
health of the
the affected.
affected. They
They must
must protect
protect
the beneficiaries....
the beneficiaries…. the human
the human rights.
rights.
Engineers as
Engineers as responsible
responsible experimenters
experimenters
The engineer
The engineer as
as an
an experimenter
experimenter owe
owe several
several responsibilities
responsibilities to
to the
the society
society

• Conscientiousness
Conscientiousness

A comprehensive
• A comprehensive perspective
perspective or
or relative
relative information
information

• autonomy
autonomy

Accountability
• Accountability

Exhibiting their
• Exhibiting their technical
technical competence
competence and
and other
other characteristics
characteristics of
of professionalism.
professionalism.
 Conscientiousness
Conscientiousness
*sense of
•sense of awareness.
awareness.

*should have
•should have open
open eyes,
eyes, open
open ears
ears and
and open
open mind.
mind.

*The present
•The present working
working environment
environment ofof engineers,
engineers, narrow
narrow down
down their
their moral
moral vision
vision fully
fully with
with the
the
obligations accompanied
obligations accompanied with
with the
the status
status of
of the
the employee.
employee. But
But this
this might
might break the moral
break the moral laws.
laws.

*an engineer
•an engineer should
should be
be conscious
conscious about
about the
the unexpected.
unexpected.

•Adverse
*Adverse outcome
outcome may
may come
come up
up

*Engineering as
•Engineering as social
social experimentation
experimentation brings into light
brings into light not
not only
only to
to the
the person concerned but
person concerned but
also to
also to the
the public
public
 A comprehensive
A comprehensive perspective
perspective on
on relevant
relevant information
information

•.
*. Without
Without relevant factual information,
relevant factual information, conscientious
conscientious is
1s not
not possible.
possible.

»1t is
it is necessary
necessary to
to know
know about
about how
how that
that work
work has
has aa moral
moral importance.
importance.

»For example,
For example, A A person
person isis trying
trying toto design
design aa good
good heat
heat exchanger.
exchanger. There
There isis nothing
nothing wrong
wrong
in that.
in that. But
But at
at the
the same
same time,
time, if
1f he
he forgets
forgets the
the fact
fact that
that the
the heat
heat exchanger
exchanger will
will be used in
be used in the
the
manufacture of
manufacture of an
an illegal
illegal product,
product, then
then he
he is
1s said
said to
to be
be showing
showing aa lack
lack of
of moral
moral concern.
concern.
A comprehensive
A comprehensive perspective
perspective on
on relevant
relevant information
information

»Blurring the
Blurring the circumstance
circumstance ofof aa person’s
person’s work
work derived
derived from
from his
his specialization
specialization and
and division
division
of labour
of labour is
1s to
to put
put the
the responsibilities
responsibilities onon someone
someone else
else in
in the
the organization.
organization.

»For example,
For example, if
if aa company
company produces
produces items
items which
which are
are out
out of
of fashion
fashion or
or the
the items
items which
which
promotes unnecessary energy
promotes unnecessary energy wastage,
wastage, then
then it
it is
is easy
easy to
to blame
blame sales
sales department.
department.

»So, it
So, it is
is essential
essential to
to point
point out
out the
the importance
importance of of circumstances
circumstances of of aa work
work and
and also
also view
view the
the
engineer’s specialized
engineer’s specialized activities
activities in
in aa project
project as
as aa part
part of
of aa large
large social
social impact.
impact.
 Moral autonomy
Moral autonomy

*This represents
•This represents unrestricted
unrestricted free
free personal
personal involvement
involvement

*This refers
•This refers to
to the
the personal
personal involvement
involvement in
1in one’s
one’s activities.
activities.

•Moral
*Moral beliefs
beliefs and
and attitudes
attitudes must
must be
be integrated
integrated into
into an
an individual’s
individual’s personality which leads
personality which leads
to aa committed
to committed action.
action.

•The
*The responsibility
responsibility to
to answer
answer an
an unexpected
unexpected result, influences an
result, influences an engineer
engineer to
to involve
involve himself
himself
personally into
personally into the
the work.
work.
 Accountability
Accountability

•* The
The engineers
engineers should
should be
be accountable
accountable for
for the
the results
results // performance of the
performance of the product or the
product or the project
project
developed.
developed.
*Accountability can
•Accountability can be
be understood
understood as
as the
the moral
moral responsibility that we
responsibility that we have
have towards
towards our
our actions.
actions.

•The
*The difference
difference between
between casual
casual responsibility
responsibility and
and moral
moral accountability
accountability is1S common
common in
in any
any
profession, along
profession, along with
with engineering.
engineering. These
These differences
differences arises
arises due
due to
to following:
following:

*Reduced personal
•Reduced personal responsibility
responsibility with
with fragmentation
fragmentation of of work
work
*Ditfused responsibilities
•Diffused responsibilities due
due to
to hierarchy
hierarchy
•Meeting
*Meeting schedule
schedule gains
gains greater
greater priority to personal
priority to care
personal care
*Inertia to
•Inertia to follow
follow laid
laid down
down rules
rules to
to avoid
avoid litigations
litigations
 Accountability
Accountability
*Large —– scale
•Large scale engineering
engineering projects
projects always
always involve
involve division
division of
of work.
work. For
For each
each and
and every
every piece of
piece of
work, every
work, every person contributes aa small
person contributes small portion
portion ofof their
their work
work towards
towards the
the completion
completion of of the
the
project. The final
project. The final output
output is
1s transmitted
transmitted from
from one’s
one’s immediate
immediate work
work place
place to
to another
another causing
causing aa
decrease in
decrease 1n personal accountability.
personal accountability.

*Due to
•Due to the
the fragmentation
fragmentation ofof work,
work, the
the accountability
accountability will
will spread
spread widely
widely within
within anan organization.
organization.
The personal
The accountability will
personal accountability will spread
spread over
over on
on the
the basis
basis ofof hierarchies
hierarchies of
of authority.
authority.

•There
*There is
1s always
always aa pressure
pressure toto move
move on
on to
to aa different
different project
project before
before finishing
finishing the
the current
current one.
one.
This always
This always leads
leads to
to aa sense
sense of
of being
being accountable
accountable only
only for
for fulfilling
fulfilling the
the schedules.
schedules.

*There is
•There 1s always
always aa weaker
weaker pre-occupation
pre-occupation with
with legalities.
legalities. In
In other
other words
words this
this refers to aa way
refers to way aa
moral involvement
moral involvement beyond
beyond the
the laid
laid down
down institutional
institutional role.
role.
Industrial standards
Industrial standards help
help the
the manufacturer,
manufacturer, customers
customers and
and the
the public.
public. These
These standards
standards help
help
us to
us to achieve
achieve quality,
quality, interchangeability
interchangeability and
and standardization
standardization

Industrial
Industrial
standards
Aspects Purpose
Slancacs Product Quality
Product Quality To map
To map the
the price
price
Service quality
Service quality To assure
To assure
Safety
Safety To safeguard
To safeguard
Uniformity
Uniformity To ensure
To ensure interchangeability
interchangeability

*International Standards
•International Standards Organization
Organization
•Bureau
*Bureau ofof Industrial
Industrial Standards
Standards
Engineering is
Engineering is an
an experiment,
experiment, not
not conducted
conducted solely
solely in
in a
a controlled
controlled environment
environment of
of
laboratory, it
laboratory, it is
is an
an experiment
experiment on
on aa social
social scale
scale involving
involving human
human subjects.
subjects.

Titanic disaster:
Titanic A case
disaster: A study
case study | '\

_.JFL———
Name: RMS
Name: RMS Titanic
Titanic .- ll Iillllll
llll
Ill
],llllllll
llllll
llI
ll1

Owner: White
Owner: Star Line
White Star Line
Builder:
Builder: Harland
Harland and
and Wollff,
Wolff,
Belfast
Belfast
In service:
In service: 10-15
10-15 April
April 1912
1912
Fate: In
Fate: In its
its maiden
maiden voyage,
voyage, hit
hit an
an
iceberg and
iceberg and sank
sank
The Titanic
The Titanic Timeline
Timeline

30/04/1907: Idea
30/04/1907: Idea to
to build
build thethe Titanic,
Titanic, the
the Olympic
Olympic and and the
the Britannic
Britannic isis conceived
conceived over
over dinner
dinner
between Bruce
between Bruce Ismay
Ismay (MD(MD of of White Star Line)
White Star Line) andand W W JJ Pirrie
Pirrie (Chairman
(Chairman of of Harland
Harland and
and
Wollff)
Wolff)
31/05/1909: Titanic’s
31/05/1909: Titanic’s keel
keel laid
laid down
down at at yard
yard 401
401 ofof HH && W shipyard, Belfast
W shipyard, Belfast
31/05/1911: Titanic’s
31/05/1911: Titanic’s hull
hull successfully
successfully lunched
lunched and
and towed
towed to to fitting
fitting out
out basin
basin
11/10/1911: Maiden
11/10/1911: Maiden voyage
voyage datedate announced
announced to to be 10/04/1912 (Originally
be 10/04/1912 (Originally 20/03/1912)
20/03/1912)
31/03/1912: Completion
31/03/1912: Completion of of construction
construction
02/04/1912: Sails
02/04/1912: Sails from
from Belfast
Belfast to to Southampton
Southampton
03/04/1912: Titanic
03/04/1912: Titanic arrives
arrives Southampton
Southampton
10/04/1912, 12.00
10/04/1912, 12.00 hrs:
hrs: Titanic
Titanic sails
sails from
from Southampton
Southampton to to Newyork
Newyork
The Titanic
The Titanic Timeline
Timeline (14/04/1912)
(14/04/1912)

09.00 hrs:
09.00 hrs: Wireless
Wireless operator
operator Jack
Jack Phillips
Phillips receives
receives warning
warning of of iceberg
iceberg from
from liner
liner Caronia
Caronia
10.15 hrs:
10.15 hrs: Edward
Edward JJ Smith
Smith (Captain)
(Captain) is is passed
passed thethe first
first telegraph
telegraph of of iceberg
iceberg warning
warning
11.00 hrs:
11.00 hrs: Scheduled
Scheduled lifeboat
lifeboat drill
drill cancelled
cancelled by by Captain
Captain Smith
Smith
12.00 hrs:
12.00 hrs: Philips
Philips receives
receives large
large iceberg
iceberg warning
warning fromfrom steamship
steamship Baltic
Baltic
14.00 hrs:
14.00 hrs: Captain
Captain Smith
Smith passes
passes second
second warning
warning to to Bruce
Bruce Ismay
Ismay
17.30 hrs:
17.30 hrs: Air
Air temperature
temperature drops
drops to to 0.5
0.5 degree
degree C C
17.50 hrs:
17.50 hrs: Titanic
Titanic changes
changes course.
course. Delay
Delay by by 20
20 minutes
minutes to to avoid
avoid iceberg
iceberg enroute
enroute
19.20 hrs:
19.20 hrs: Assistant
Assistant wireless
wireless operator
operator Harold
Harold Bridge
Bridge picks
picks upup ice
ice warning
warning from
from S S S
S California
California
Smith had
Smith had already
already left
left to
to dine
dine with
with passengers.
passengers. Passed
Passed to to someone
someone
20.55 hrs:
20.55 hrs: Smith
Smith checks
checks inin with
with Bridge,
Bridge, conditions
conditions moonless,
moonless, clear,
clear, calm
calm

Bt
e
llllllllll
The Titanic
The Titanic Timeline
Timeline (14/04/1912)
(14/04/1912)

21.40 hrs:
21.40 hrs: Phillips
Phillips receives
receives iceberg
iceberg warning
warning fromfrom S S S
S Mesaba
Mesaba not not prefixed
prefixed with
with MSG,
MSG,
remained busy
remained busy with
with passengers’
passengers’ telegrams
telegrams
23.00 hrs:
23.00 hrs: California
California messages:
messages: she she has
has stopped
stopped sailing
sailing due
due to
to ice;
ice; Philips
Philips replies
replies
Shut up,
Shut up, II am
am busy.
busy. II am
am working
working withwith Cape
Cape Race
Race
23.30 hrs:
23.30 hrs: The
The iceberg
iceberg lies
lies just
just 44 miles
miles and
and 1010 minutes
minutes ahead
ahead
23.39 hrs:
23.39 hrs: The
The iceberg
iceberg lies
lies just 1000 yards
just 1000 yards ahead;
ahead; Frederick
Frederick Fleet
Fleet calls
calls Iceberg,
Iceberg, right
right ahead
ahead
23.40 hrs:
23.40 hrs: Murdoch
Murdoch demandsdemands the the engines
engines toto be
be put in reverse
put in reverse andand ship
ship steers
steers away
away
The Titanic
The Titanic hits
hits the
the iceberg,
iceberg, striking
striking the
the starboard
starboard bow
bow
Several passengers
Several passengers and and crew
crew asleep
asleep
Many others
Many others assume,
assume, the the ship
ship survived
survived aa glancing
glancing blow
blow
The Titanic
The Titanic Timeline
Timeline (15/04/1912)
(15/04/1912)

00.00 hrs:
00.00 hrs: Captain
Captain ordered
ordered emergency
emergency requestrequest to to be
be broadcast
broadcast
SS California
SS California (20
(20 miles
miles away)
away) has has turned
turned off
off her
her wireless
wireless
00.20 hrs:
00.20 hrs: Captain
Captain ordered
ordered lifeboats
lifeboats to to board women and
board women and children
children first
first
00.25 hrs:
00.25 hrs: The
The Carpathia
Carpathia (58 (58 miles
miles away)
away) replied
replied they
they are
are heading
heading for
for the
the Titanic
Titanic
00.45 hrs:
00.45 hrs: The
The first
first life
life boat
boat lunched
lunched with with 28
28 passengers (Capacity 65)
passengers (Capacity 65)
02.20 hrs:
02.20 hrs: Titanic
Titanic slips
slips beneath
beneath the the surface
surface ofof water
water (close
(close to
to freezing
freezing temperature)
temperature)
03.30 hrs:
03.30 hrs: The
The Carpathia’s
Carpathia’s rockets
rockets are are spotted
spotted
04.10 hrs:
04.10 hrs: The
The Carpathia
Carpathia arrives
arrives and and plucks the survivors
plucks the survivors
05.30 hrs:
05.30 hrs: The
The California
California alerted
alerted
08.30 hrs:
08.30 hrs: The
The last
last life
life boat
boat isis rescued
rescued by Carpathia
by Carpathia
08.50 hrs:
08.50 hrs: The
The Carpathia
Carpathia sets sets sail
sail for
for Newyork
Newyork
| i
i
i L

I
ay
The Titanic
The Titanic Timeline
Timeline (18/04/1912-)
(18/04/1912-)

The Carpathia
The Carpathia arrived
arrived Newyork.
Newyork. 705
705 survivors
survivors aboard.
aboard.
1522 victims
1522 victims lost
lost in
in the
the sea,
sea,

“Deeply regret
“Deeply regret advise
advise you Titanic sank
you Titanic sank this morning after
this morning after collision
collision with
with iceberg,
iceberg, resulting
resulting
in serious
in serious loss
loss of
of life.
life. Full
Full particulars later”
particulars later”
Bruce Ismay,
Bruce Ismay, inin his
his wire
wire to
to the
the White Star Line
White Star Line
Engineering is
Engineering is an
an experiment,
experiment, not
not conducted
conducted solely
solely in
in a
a controlled
controlled environment
environment of
of
laboratory, it
laboratory, it is
is an
an experiment
experiment on
on aa social
social scale
scale involving
involving human
human subjects.
subjects.

CAPTAIN E
CAPTAIN E J
J SMITH
SMITH
ON THE
ON THE RETIREMENT
RETIREMENT TRIP
TRIP
Titanic disaster:
Titanic disaster: A
A
case study
case study ETHICAL ISSUE
ETHICAL ISSUE
DID HE
DID HE IGNORE
IGNORE THE
THE SEVEN
SEVEN
ICEBERG WARNINGS
ICEBERG WARNINGS FROM
FROM
CREW AND
CREW AND OTHER
OTHER SHIPS
SHIPS
Engineering is
Engineering is an
an experiment,
experiment, not
not conducted
conducted solely
solely in
in a
a controlled
controlled environment
environment of
of
laboratory, it
laboratory, it is
is an
an experiment
experiment on
on a
a social
social scale
scale involving
involving human
human subjects.
subjects.

¢ ,;_;;.: ® J] BRUCE ISMAY

BRUCE ISMAY
| DIRECTOR, WHITE
MANAGING DIRECTOR,
MANAGING WHITE STAR
STAR
LINE
LINE
Titanic disaster:
Titanic disaster: A
A
study
case study
case ETHICAL ISSUE
ETHICAL ISSUE
COMPROMISED ON
COMPROMISED ON SAFETY!
SAFETY!
UNRESPONSIVE TO
UNRESPONSIVE TO ICEBERG
ICEBERG
WARNING!
WARNING!
Engineering is
Engineering is an
an experiment,
experiment, not
not conducted
conducted solely
solely in
in a
a controlled
controlled environment
environment of
of
laboratory, it
laboratory, it is
is an
an experiment
experiment on
on a
a social
social scale
scale involving
involving human
human subjects.
subjects.

HARLAND AND
HARLAND AND WOLFF
WOLFF
THE BUILDERS
THE BUILDERS
L , ETHICAL ISSUE
ETHICAL ISSUE
Titanic disaster:
Titanic 3‘535“"" A= el | WRECKAGE ANALYSIS
WRECKAGE ANALYSIS SHOWS
SHOWS SUBSTANDARD
SUBSTANDARD
case study
case study TGN TRON USED
IRON USED IN
IN SOME
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OF RIVETS
RIVETS AND
AND HULL
HULL
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BHIP AND MACHINEWY
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 Engineering is
Engineering is an
an experiment,
experiment, not
not conducted
conducted solely
solely in
in a
a controlled
controlled environment
environment of
of
laboratory, it
laboratory, it is
is an
an experiment
experiment on
on a
a social
social scale
scale involving
involving human
human subjects.
subjects.

8PN HAD HE
HAD TO
INSISTED TO
HE INSISTED
' MAINTAIN HEIGHT
MAINTAIN HEIGHT
. RGO, OF TIGHT
WATER TIGHT
OF WATER
Titanic disaster: A
disaster: A . DesignedThe Tltanlc% COMPARTMENTS? OR
COMPARTMENTS? OR
Titanic
study
case study
case | : /:,; g Y TO INCREASE
TO LIVING
INCREASE LIVING
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FOR FIRST
SPACE FOR
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Questions (Group
Questions (Group 1)
1)

What are
are the
the similarities
similarities between
between engineering
engineering andand general
general experiments?
experiments?
D =

1. What
2. What are
What are the
the differences
differences between
between engineering
engineering and
and general
general experiments?
experiments?
3. What are
What are the
the general
general features
features of
of morally
morally responsible
responsible engineers?
engineers?
>

4. What are
What are the
the conditions
conditions necessary
necessary for
for a
a consent
consent toto be
be valid?
valid?
5. What role
What role do
do industrial
industrial standards
standards have
have in
in engineering?
engineering?
Questions (Group
Questions (Group 2)
2)

1. It
1. It is
is easy
easy to
to exercise
exercise control
control during
during General
General experiment.
experiment. In In engineering
engineering it’sit’s almost
almost
impossible. Why?
impossible. Why?
2. There
2. There are are constraints
constraints which
which oppose
oppose engineers
engineers exercise
exercise conscientious
conscientious moral moral
commitment most
commitment most of
of times.
times. Discuss
Discuss each
each ofof those.
those.
Developing a a comprehensive
comprehensive perspective
perspective is is required.
required. However
However itsits difficult.
difficult. Comment
Comment
P

3. Developing
4. It’s
It’s noticed
noticed that
that engineers
engineers are
are not
not held
held accountable
accountable for for many
many ofof the
the lapses.
lapses. Why
Why does
does
this happen?
this happen?
S. In
5. In the
the case
case study
study discussed
discussed relating
relating to
to Titanic
Titanic disasters,
disasters, discuss
discuss possible
possible reasons
reasons of of
Titanic failure
Titanic failure
 Chapter-3
Chapter-3

Engineer’s
Engineer’s Responsibility
Responsibility
for Safety
for Safety
Safety &
Safety & Risk
Risk
•* Safety
Safety &
& risk are inter-related
risk are inter-related to
to each
each other.
other.
Safety
Safety

e According to
According to William
Willilam W
W Lowrance,
Lowrance, the the famous
famous consultant,
consultant,
Safety was
Safety was defined
defined as
as “A
“A thing
thing is
is safe
safe if
if its
its risks
risks are
are judged
judged toto be
be acceptable.”
acceptable.” Safety
Safety are
are
tactily value
tactily value judgments about what
judgments about what is
1s acceptable
acceptable risk
risk to
to aa given
given person
person or
or group.
group.


» Case-1: Buying
Case-1: Buying aa non-brand
non-brand electric
electric dryer
dryer from
from aa local
local market
market without
without any
any guarantee,
guarantee, may
may eventually
eventually send
send usus
to aa hospital
to hospital with
with aa severe
severe electric
electric shock
shock oror burn.
burn. While
While buying
buying this
this dryer,
dryer, according
according to
to Lowrance
Lowrance definition,
definition,
this is
this 1s quite
quite safe,
safe, as
as the
the risks
risks are
are judged
judged toto be
be acceptable.
acceptable.

In this
In this case,
case, we
we seriously
seriously underestimate
underestimate the
the risks
risks of
of something.
something.


» Case-2: If
Case-2: If we
we suddenly
suddenly know
know that
that the
the consumption
consumption of of carbonated
carbonated beverages like cola
beverages like cola are
are the
the cause
cause ofof cancer
cancer
for 5%
for 5% of the world’s
of the world’s cancer
cancer patients,
patients, then
then we
we start
start worrying
worrying considering
considering Cola
Cola as
as aa poisonous drink. So,
poisonous drink. So,
according to
according to Lowrance
Lowrance definition,
definition, the
the Cola
Cola becomes
becomes unsafe
unsafe the
the moment
moment we we judged
judged thethe risks of using
risks of using itit to
to be
be
unacceptable for
unacceptable for us.
us.

In this
In this case,
case, we
we grossly
grossly overestimate
overestimate the
the risks
risks of
of something.
something.
 Safety
Safety

» Case-3: Lets
Case-3: Lets take
take aa situation
situation wherein,
wherein, aa group
group makes
makes nono judgment at all
judgment at all about
about whether
whether thethe risks of aa thing
risks of thing are
are
acceptable or
acceptable or not.
not. As
As defined
defined by by Lowrance,
Lowrance, this
this is
is the
the position
position where
where thethe thing
thing is
is neither
neither safe
safe nor
nor unsafe
unsafe with
with
respect to that
respect to that group.
group. Just
Just like
like using
using the
the products
products ofof certain
certain brands
brands are
are considered
considered safe,
safe, while
while others
others are
are not
not
where nothing
where nothing seems
seems toto differ.
differ.

**
 Something may
Something may be
be safe
safe enough
enough for
for one
one person
person may
may not
not be for someone
be for someone else.
else. It
It is
1s because
because
of either
of either different
different perceptions
perceptions about
about what
what is
1s safe
safe or
or different
different predispositions
predispositions toto harm.
harm.

For example,
For example, To
To make
make connection
connection on
on the
the electric
electric pole
pole is
is safe
safe for
for an
an electrician,
electrician, whereas
whereas this
this is
is totally
totally unsafe
unsafe for
for
aa common
common man.
man.

» Safety is
Safety is frequently
frequently expressed
expressed in in terms
terms of of degree
degree andand comparisons.
comparisons. The The words
words like
like
L)

fairly-safe and
fairly-safe and relatively-safe
relatively-safe are are used
used where
where an an individual
individual is
i1s judged
judged onon the
the basis of
basis of
settled values
settled values and
and it
it is
1s further
further decided
decided that
that the
the risks
risks of
of anything
anything are
are more
more or
or less
less acceptable
acceptable
in comparison
in comparison withwith the
the risks
risks of
of the
the other
other thing.
thing.

For example,
For example, the
the consideration
consideration that
that road
road travel
travel is
1s safer
safer than
than air-travel.
air-travel.
 Risk
Risk
¢
 Any work
Any work which
which might
might lead
lead to
to harm
harm us
us and
and is
is not
not considered
considered safe,
safe, can
can be understood
be understood
as aa risk.
as risk.

»
 According to
According to aa popular
popular definition,
definition, “A
“A risk
risk is
is the
the potential
potential that
that something
something unwanted
unwanted and
and
harmful may
harmful may occur.”
occur.”

‘%
 According to
According to William
William D D Rowe,
Rowe, potential
potential for
for the
the realization
realization of
of unwanted
unwanted consequences
consequences
from impending
from impending events.
events.

v" Risk
 Risk is
is aa broad
broad concept
concept covering
covering many
many different
different types
types of
of unwanted
unwanted occurrences.
occurrences.
v' When
 When it it comes
comes to to technology,
technology, itit can
can equally
equally well
well include
include dangers
dangers ofof bodily harm, of
bodily harm, of
economic loss
economic loss oror ofof environmental
environmental degradation.
degradation. These
These can
can bebe caused
caused by delayed job
by delayed job
completion, faulty
completion, faulty products
products oror systems
systems or or economically
economically or or environmentally
environmentally injurious
injurious
solutions to
solutions to technological
technological problems.
problems.
 Acceptability of
Acceptability of Risk
Risk
¢

\/
According to
According to Lowrance,
Lowrance, “safety
“safety as
as acceptable
acceptable risk”
risk” &
& according
according to
to William D. Rowe,
William D. Rowe, “a “a
risk is
risk is acceptable
acceptable when
when those
those affected
affected are
are generally
generally no
no longer
longer apprehensive
apprehensive about
about it”.
it”.

Influential factors
Influential factors that
that lead
lead to
to such
such apprehension
apprehension are
are −
—

v Whether
 Whether thethe risk
risk is
is accepted
accepted voluntarily.
voluntarily.

v' The
The effects
effects ofof knowledge
knowledge on on how
how thethe probabilities
probabilities of of harm
harm (or
(or benefit) are known
benefit) are known or or
perceived.
perceived.
v' If
 If the
the risks are job-related
risks are job-related or or other
other pressures
pressures exist
exist that
that cause
cause people to be
people to aware of
be aware of or
or to
to
overlook risks.
overlook risks.
v Whether
 Whether thethe effects
effects of
of aa risky
risky activity
activity oror situation
situation are
are immediately
immediately noticeable
noticeable or
or are
are close
close at
at
hand.
hand.
v Whether
 Whether thethe potential
potential victims
victims areare identifiable
identifiable beforehand.
beforehand.
 Acceptability of
Acceptability of Risk
Risk
The acceptability
The acceptability of
of risk
risk depends
depends upon
upon the
the types
types of
of risks.
risks.


** Types
\/
'Types of
of Risks
Risks

v" Voluntary
 Voluntary and
and Involuntary
Involuntary Risks
Risks
v" Short
 Short term
term and
and Long
Long Term
Term Consequences
Consequences
v" Expected
 Expected Portability
Portability
v' Reversible
 Reversible Effects
Effects
v" Threshold
 Threshold levels
levels for
for Risk
Risk
v" Delayed
 Delayed and
and Immediate
Immediate Risk
Risk
 Voluntarism and
Voluntarism and Control
Control

In many
In many things
things in
1n our
our daily
daily life,
life, the
the scopes
scopes of
of risk
risk might
might or
or might
might not
not be low.
be low.

•* The
The person who breaks
person who breaks aa red
red signal,
signal, is
1s prone
prone to
to be
be aa victim
victim ofof an
an accident,
accident, but takes risks.
but takes risks.
•* A
A person who lives
person who lives near
near aa dumping
dumping yard
yard is
1s prone
prone to
to ill-health,
1ll-health, but
but neglects.
neglects.
•* A
A boy who rides
boy who rides aa vehicle
vehicle at
at aa high
high speed
speed cannot
cannot rely
rely on
on the
the perfect
perfect functioning
functioning of of the
the
brakes.
brakes.

But these
But these people
people take
take voluntary
voluntary risks
risks thinking
thinking they
they can
can control.
control.

In this
In this manner,
manner, they
they may
may well
well display
display the
the characteristically
characteristically unrealistic
unrealistic confidence
confidence when
when they
they
believe hazards to
believe hazards to be
be under
under their
their control.
control.
 Effective information
Effective information on
on Risk
Risk assessment
assessment

» The
 The acceptance
acceptance of of risks
risks also
also depends
depends on
on the
the manner
manner in
in which
which information
information necessary
necessary for
for decision
decision
making is
making is presented.
presented.

» A
 A person
person can
can be
be motivated
motivated to to violate
violate the
the safety
safety rules
rules by
by explaining
explaining the
the higher
higher probability
probability of
of
success, whereas
success, whereas thethe same
same person
person cancan bebe demotivated
demotivated from
from such
such task,
task, by explaining the
by explaining the
probability of
probability of failure
failure and
and the
the fatal
fatal effects
effects of
of it.
it.


» Hence,
Hence, options
options perceived
perceived asas yielding
yielding firm
firm gains
gains will
will tend
tend to
to be
be preferred
preferred over
over those
those from
from which
which
gains are
gains are perceived
perceived as
as risky
risky or
or only
only probable.
probable.

» Emphasizing
 Emphasizing firm
firm losses
losses will
will tend
tend to
to be
be avoided
avoided in
in favor
favor of
of those
those whose
whose chances
chances of
of success
success are
are
perceived as probable.
perceived as probable.


» In
In short,
short, people
people tend
tend to
to be
be more
more willing
willing to
to take
take risks
risks in
in order
order to
to avoid
avoid perceived firm losses
perceived firm losses than
than
they are
they are to
to win
win only
only possible
possible gains.
gains.
 Job-related Risks
Job-related Risks

» In
 In some
some jobs where the
jobs where the workers
workers are
are exposed
exposed to
to chemicals,
chemicals, radiations and poisonous
radiations and gases
poisonous gases
etc., they
etc., they are
are not
not informed
informed about
about the
the probable
probable risks
risks the
the workers
workers would
would be facing, in
be facing, in doing
doing
their jobs.
their jobs.


» These
These are
are such
such dangers
dangers where
where the
the toxic
toxic environments
environments cannot
cannot readily
readily be seen, smelled,
be seen, smelled, heard
heard
or sensed
or sensed otherwise.
otherwise.

» The
 The workers
workers at
at such
such places
places are
are simply
simply bound
bound to
to their
their work
work and
and what
what they
they are
are told
told to
to do.
do.

» The
 The health
health condition
condition ofof aa person
person who
who gets
gets affected
affected under
under such
such environments
environments cannot
cannot be
be
neglected because
neglected because that
that will
will be
be the
the future
future condition
condition of
of co-workers.
co-workers.
 Magnitude and
Magnitude and Proximity
Proximity

» It
 It is
is unfortunate
unfortunate that
that most
most of
of us,
us, realize
realize the
the magnitude
magnitude of of risk only when
risk only when we
we ourselves
ourselves or
or the
the
person who is
person who 1s in
1n our
our close
close proximity
proximity oror aa relative,
relative, gets
gets affected.
affected.

» A
 A group
group ofof 20
20 friends
friends including
including us,
us, if
if gets
gets affected
affected or
or if
if had
had aa narrow
narrow escape
escape from
from death,
death,
affects us
affects us more
more than
than the
the incident
incident occurred
occurred toto aa group
group of
of 50
50 strangers,
strangers, in
1in aa group
group of
of aa 1000.
1000.

» This
 This proximity effect arises
proximity effect arises in
in perceptions
perceptions of
of risk
risk over
over time
time as
as well.
well.
» A
 A future
future risk is easily
risk is easily dismissed
dismissed by various rationalizations
by various including −
rationalizations including —

• The attitude of
The attitude of “out
“out ofof sight,
sight, out
out of
of mind”.
mind”.
•e The
The assumption
assumption that that predictions for the
predictions for the future
future must
must bebe discounted
discounted by
by using
using lower
lower
probabilities.
probabilities.
•e The
The belief
belief that
that aa counter-measure
counter-measure willwill be found in
be found 1n time.
time.

» A
 A continuous
continuous enthusiasm
enthusiasm that
that fosters
fosters us
us to
to do
do such
such task
task without
without thinking
thinking is
is really
really dangerous.
dangerous.

» Either
 Either the
the attitude
attitude that
that everything
everything isis under
under control
control and
and nothing
nothing isis going
going to
to happen
happen or
or the
the
negligence upon
negligence upon the
the number
number ofof accidents
accidents occurred
occurred is
1s equally
equally risky.
risky.

» It
 It is
is important
important that
that engineers
engineers recognize such widely
recognize such widely held
held perceptions
perceptions of
of risk
risk as
as part
part of
of their
their
work and
work and take
take them
them into
into account
account in
in their
their designs.
designs.
UWhat is the risk _ -
F ':> Appropriate action:

# New virus
depends on viewpoint and context
. Industrial
accident Risk = Likelihood X C
onsequence

Bushfire
 Consequence

Low > High

Likelihood

Low
 Risk Analysis
Risk Analysis
» The
 The study
study of
of risk analysis covers
risk analysis covers other
other areas
areas such
such as
as risk identification, risk
risk identification, risk analysis,
analysis, risk
risk
assessment, risk
assessment, risk rating,
rating, suggestions
suggestions onon risk control and
risk control and risk mitigation. In
risk mitigation. In fact,
fact, risk
risk analysis
analysis
can be
can be deeply
deeply discussed
discussed with
with aa view
view on
on risk management study.
risk management study.

A step-wise
A step-wise risk analysis includes
risk analysis includes − —
 Hazards identification
1dentification
N

Hazards
 Failure modes
Failure modes and and frequencies
frequencies evaluation
evaluation from
from established
established sources
sources and
and best
best practices.
practices.
 Selection ofof credible
credible scenarios
scenarios and and risks.
N

Selection risks.
 Fault and
and event
event trees
trees for
for various
various scenarios.
scenarios.
U

Fault
 Consequences-effect calculations
calculations withwith work
work out
out from
from models.
models.
U

Consequences-effect
 Individual and
and societal
societal risks.
Y

Individual risks.
 ISO risk
ISO risk contours
contours superimposed
superimposed on on layouts
layouts for
for various
various scenarios.
scenarios.
N

 Probability and
Probability and frequency
frequency analysis.
analysis.
N

 Established risk
risk criteria
criteria ofof countries,
countries, bodies, standards.
DN NI NI N

Established bodies, standards.

 Comparison of
Comparison of risk against defined
risk against defined risk criteria.
risk criteria.
 Identification of
Identification of risk
risk beyond
beyond the the location
location boundary,
boundary, if if any.
any.
 Risk mitigation
Risk mitigation measures.
measures.
 Risk Benefit
Risk Benefit Analysis
Analysis
» Risk-benefit
 Risk-benefit analysis
analysis isis the
the comparison
comparison of of the
the risk of aa situation
risk of situation to
to its
its related
related benefits.
benefits.
» For
 For research
research that
that involves
involves more
more than
than minimal
minimal risk of harm
risk of harm toto the
the subjects,
subjects, the
the investigator
investigator
must assure
must assure that
that the
the amount
amount of of benefit clearly outweighs
benefit clearly outweighs thethe amount
amount of of risk.
risk.
» Only
 Only if
if there
there is
is favorable
favorable risk
risk benefit
benefit ratio,
ratio, aa study
study may
may be considered ethical.
be considered ethical.

» Exposure
 Exposure to to personal
personal riskrisk is is recognized
recognized as as aa normal
normal aspect
aspect of of everyday
everyday life.life. We
We accept
accept aa
certain level
certain level of
of risk
risk in
in our
our lives
lives as as necessary
necessary to to achieve
achieve certain
certain benefits.
benefits. In In most
most ofof these
these risks
risks
we feel
we feel as
as though
though we we have
have some
some sort sort of
of control
control over
over the
the situation.
situation.
For example,
For example,
» Driving
 Driving an an automobile
automobile is is aa risk most people
risk most take daily.
people take daily. "The
"The controlling
controlling factor
factor appears
appears toto be
be
their perception
their perception of of their
their individual
individual abilityability to
to manage
manage the the risk-creating situation."
risk-creating situation."
» Analyzing
 Analyzing the the risk
risk ofof aa situation
situation is, is, however,
however, veryvery dependent
dependent on on the
the individual
individual doing
doing thethe
analysis.
analysis.
» When
 When individuals
individuals are are exposed
exposed to to involuntary
involuntary risk,
risk, risk which they
risk which they have
have nono control,
control, they
they make
make
risk aversion
risk aversion their
their primary
primary goal.goal.
» Under
 Under these
these circumstances
circumstances individuals
individuals require
require thethe probabilty
probabilty of of risk
risk to
to bebe as
as much
much as as one
one
thousand times
thousand times smaller
smaller than
than for for the
the same
same situation
situation under
under their
their perceived
perceived control.
control.
» People
 People mostly
mostly calculate
calculate the
the ratios of risk
ratios of to benefit,
risk to while accepting
benefit, while accepting the
the risks.
risks.
» The
 The risk
risk to
to benefit
benefit analysis
analysis is
is made
made depending
depending on on the
the following
following types:
types:

¢ The
 The risk
risk toto be occurred in
be occurred in future
future is
is completely
completely known
known after
after itit gets
gets fully
fully developed.
developed. It It is
is
called as
called as Real
Real future
future risk.
risk.
¢ If
 If the
the idea
idea ofof risk
risk is
is developed
developed using
using current
current data,
data, such
such one
one isis called
called as
as Statistical
Statistical risk.
risk.
¢ The
 The risk
risk which
which is is analytically
analytically based
based onon system
system models
models structured
structured fromfrom historical
historical studies
studies
is called
is called asas Projected
Projected risk.risk.
¢ The
 The risk
risk which
which is is intuitively
intuitively seen
seen by individuals is
by individuals is called
called as
as Perceived
Perceived risk.
risk.

* Air
Air transportation
transportation as as an
an example:
example:
Flight insurance
Flight insurance company
company -statistical
-statistical risk.
risk.
Passenger -percieved
Passenger -percieved risk.
risk.
Federal Aviation
Federal Aviation Administration(FAA)
Administration(FAA) -projected
-projected risks.
risks.

Hence, the
Hence, the view
view of
of accepting
accepting the
the risk and the
risk and the idea
idea of
of risk to benefit
risk to benefit ratio
ratio motivates
motivates the
the
individual.
individual.
Risk Reduction
Risk Reduction

The risks
The we generally
risks we generally face
face can
can be
be reduced to aa great
reduced to great extent
extent by
by proper
proper analysis
analysis with
with the
the
following steps
following steps −—

»
 Define the
Define the Problem.
Problem.
»
 Generate Several
Generate Several Solutions.
Solutions.
»
 Analyze each
Analyze each solution
solution toto determine
determine the
the pros
pros and
and cons
cons of
of each.
each.
»
 Test the
Test the solutions.
solutions.
»
 Select the
Select the best solution.
best solution.
»
 Implement the
Implement the chosen
chosen solution.
solution.
»
 Analyze the
Analyze the risk in the
risk in the chosen
chosen solution.
solution.
»
 Try to
Try to solve
solve oror move
move to to next
next solution.
solution.
The
The Government’s
Government’s Approach
Approach

•* The
The risk management has
risk management has to
to be viewed in
be viewed 1n aa wider
wider angle
angle at
at times
times when
when sudden
sudden disasters
disasters occur
occur
due to
due to lack
lack of
of proper care and
proper care and assessment.
assessment.
•* The
The government
government which
which has
has the
the responsibility
responsibility toto take
take care
care of
of all
all the
the public
public needs
needs to
to take
take some
some
risk.
risk.
•* The
The government’s
government’s approach
approach towards
towards the
the public
public lies
lies in
in saving
saving asas many
many lives
lives as
as possible.
possible.

» Lay
 Lay person
person −— Wants to protect
Wants to himself or
protect himself or herself
herself from
from risk.
risk.
» The
 The government
government regulator
regulator − — Wants
Wants asas much
much assurance
assurance asas possible
possible that
that the
the public
public is
is
not being
not exposed to
being exposed to unexpected
unexpected harm.
harm.

•* For
For example,
example, at at the
the times
times of
of flood
flood or
or some
some fire
fire accident,
accident, the
the government
government of of any
any place
place should
should
aim at
aim at protecting
protecting as as many
many lives
lives as
as possible
possible rather
rather than
than looking
looking for
for aa benefit
benefit or
or protecting
protecting
some property.
some property.
•* It
It will
will count
count as
as aa successful
successful attempt
attempt towards
towards facing
facing risk
risk if
if the
the authority
authority is
1s able
able to
to protect
protect its
its
people even after
people even after the
the destruction
destruction ofof property.
property.
Case Studies
Case Studies
Challenger Shuttle
Challenger Shuttle Disaster
Disaster

•* Space
Space disaster
disaster —– Happened
Happened on
on January
January 28,
28, 1986
1986

•* Shuttle
Shuttle disintegrated
disintegrated 73
73 seconds
seconds after
after launch
launch

•* All
All seven
seven crew
crew members
members died.
died.

•* Main
Main cause
cause was
was aa sealing
sealing ring which malfunctioned
ring which malfunctioned in
in cold
cold weather
weather

•* Roger
Roger commission
commission made
made many
many recommendations regarding space
recommendations regarding space program.
program.

•* Negligence
Negligence on
on the
the part of equipment
part of equipment suppliers
suppliers and
and NASA
NASA officials
officials was
was found
found to
to be
be aa major
major
cause.
cause.
Three Mile
Three Mile Island
Island Case
Case

• Nuclear
Nuclear plant
plant disaster
disaster at
at Pennsylvania
Pennsylvania on
on March
March 28,
28, 1979.
1979.

• There
There were
were no
no casualties
casualties in
in the
the event
event

• Laxity
Laxity on
on the
the part
part of
of equipment
equipment manufacturers
manufacturers and
and owners
owners of
of the
the plant
plant

• Resulted
Resulted in
1n aa serious
serious relook
relook at
at safety
satety requirements
requirements of
of nuclear
nuclear power
power plants and frequency
plants and frequency and
and
scale of
scale of periodic
periodic inspections
inspections
Bhopal Gas
Bhopal Gas Tragedy
Tragedy

Happened on
• Happened on December
December 3,
3, 1984
1984 at
at Bhopal
Bhopal at
at the
the Union
Union Carbide
Carbide India
India limited
limited plant.
plant.

Leak of
• Leak of methyl
methyl isocyanate
i1socyanate gas
gas from
from aa storage
storage tank;
tank; the
the poisonous
poisonous gas
gas spread
spread due
due to
to
prevailing winds.
prevailing winds.

Lack of
• Lack of proper
proper design,
design, not
not adhering
adhering to
to regulations,
regulations, lack
lack of
of disaster
disaster preparedness.
preparedness.

Death toll
• Death toll estimated
estimated at
at about
about 4000
4000 but
but may
may be
be higher
higher

Many thousands
• Many thousands suffered
suffered from
from various
various ailments.
ailments.
Uphaar Cinema
Uphaar Cinema Tragedy
Tragedy

•* Fire
Fire due
due to
to explosion
explosion in
1n aa transformer
transformer on
on June
June 13,
13, 1997
1997 at
at Uphaar
Uphaar cinema,
cinema, New
New Delhi
Delhi

•* 59
59 people lost their
people lost their lives
lives and
and more
more than
than 100
100 people
people seriously
seriously injured
injured

•* Faulty
Faulty design
design of
of exit
exit signs,
signs, negligence
negligence on
on the
the part
part of
of the
the owners,
owners, licensing
licensing authorities
authorities and
and
power department officials
power department officials were
were found
found to
to be
be the
the major
major cause
cause for
for the
the tragedy.
tragedy.
Chernobyl
Chernobyl

•* Nuclear
Nuclear disaster;
disaster; happened
happened on
on April
April 26,
26, 1986
1986 at
at Chernobyl
Chernobyl nuclear
nuclear power
power plant in Ukraine
plant in Ukraine

•* 50
50 people lost their
people lost their lives
lives and
and many
many more
more died
died later
later and
and suffered
suffered from
from various
various ailments
ailments

•* Design
Design faults
faults in
1n the
the reactor
reactor and
and components,
components, Lack
Lack of
of operator
operator training,
training, communication
communication gaps
gaps
and slow
and slow response
response system
system were
were found
found to
to be
be the
the major
major causes
causes for
for the
the accident
accident
Fukushima Nuclear
Fukushima Nuclear Power
Power Plant
Plant Case
Case

Happened on
• Happened on March
March 11,
11, 2011
2011

Cause —– Tohoku
• Cause Tohoku undersea
undersea earthquake
earthquake resulting
resulting in
in tsunami
tsunami

• The
The earthquake
earthquake intensity
intensity was
was higher
higher than
than the
the design
design intensity
intensity

Tsunami waves
• Tsunami waves of
of 15
15 m
m height;
height; sea
sea wall
wall height
height was
was only
only 5.7
5.7 m
m

Negligence and
• Negligence and lack
lack of
of safety
safety consciousness
consciousness and
and preparedness
preparedness
Disaster Management
Disaster Management
Disasters
Disasters


» Natural
Natural disasters
disasters


» Man-made
Man-made disasters
disasters

•e Some
Some natural
natural disasters
disasters like
like floods
floods and
and land
land slides
slides can
can also
also be
be due
due to
to human
human activities
activities like
like
deforestation
deforestation

•* Disasters
Disasters cause
cause havoc,
havoc, the
the social
social cost
cost in
in terms
terms of
of lives
lives lost
lost and
and property damage is
property damage 1s very
very high
high

•* Some
Some natural
natural disasters
disasters like
like epidemics
epidemics can
can be
be the
the aftermath
aftermath of
of other
other natural
natural disasters.
disasters.

•* Rehabilitation
Rehabilitation and
and recovery
recovery is
is long-drawn
long-drawn and
and costly
costly
Natural Disasters
Natural Disasters

» Earthquakes
 Earthquakes —– result
result of
of sudden
sudden burst
burst of
of energy
energy due
due to
to movement
movement of
of earth’s
earth’s crust
crust causing
causing
seismic waves.
seismic waves.

» Volcanic
 Volcanic eruptions
eruptions —– Dormant
Dormant volcanoes
volcanoes erupt
erupt releasing
releasing hot
hot material
material like
like lave
lave from
from within
within
the earth
the earth causing
causing extensive
extensive damage
damage

» Tsunami
 Tsunami —– Due
Due to
to undersea
undersea earthquakes
earthquakes causing
causing strong
strong and
and very
very high
high sea
sea waves
waves

 Floods —– Overflow
> Floods Overflow of
of water
water in
in water
water bodies
bodies due
due to
to excessive
excessive rains
rains or
or breach of dams
breach of dams etc.
etc.
Natural Disasters
Natural Disasters

» Limnic
 Limnic Eruptions
Eruptions caused
caused by
by release
release of
of carbon
carbon dioxide
dioxide from
from deep
deep lake
lake water.
water.

» Blizzards
 Blizzards caused
caused during
during winter
winter due
due to
to heavy
heavy snow
snow fall
fall and
and powerful
powerful winds
winds

» Cyclones
 Cyclones & & Tornadoes
Tornadoes Generally
Generally coming
coming from
from sea;
sea; violent
violent and
and dangerous
dangerous rotating column
rotating column
of air
of air causing
causing extensive
extensive damage.
damage.

» Droughts
 Droughts cause
cause by
by dryness
dryness in
in soil
soil due
due to
to scanty
scanty rainfall
rainfall

» Wild
 Wild Fires
Fires cause
cause extensive
extensive damage
damage to
to flora
flora and
and fauna
fauna

» Epidemic
 Outbreak of
Epidemic Outbreak of contractable
contractable disease;
disease; Epidemics
Epidemics can
can also
also be
be caused
caused in
in the
the aftermath
aftermath
of other
of other disasters
disasters
Man-Made Disasters
Man-Made Disasters

» Hazardous
 Hazardous materials
materials

» Nuclear
 Nuclear materials
materials and
and waste
waste

» Oil
 Oil spills
spills

» Chemical
 Chemical and
and biological
biological materials
materials

» Building
 Building and
and bridge
bridge collapse
collapse

» Severe
 Severe traffic
traffic accidents
accidents


» Floods
Floods and
and landslides
landslides due
due to
to deforestation
deforestation
Phases
Phases

Mitigation
Mitigation

» It
 It is
is of
of two
two types.
types.

» The
 The first
first is
is before
before the
the disaster,
disaster, when
when it
it is
is possible
possible to
to lessen
lessen the
the impact
impact of
of any
any disaster
disaster using
using
proper designs.
proper designs.

» The
 The second
second aspect
aspect of
of mitigation
mitigation is is after
after the
the disaster
disaster has
has occurred,
occurred, by
by proper management of
proper management of
resources
resources andand available
available facilities,
facilities, we
we can
can reduce
reduce the
the impact,
impact, thus
thus saving
saving lives
lives and
and reducing
reducing
damage to
damage to property.
property.
Phases
Phases

Preparedness —–
Preparedness

» It
 It includes
includes planning
planning for
for any
any disaster,
disaster, forecasting
forecasting likely
likely disasters,
disasters, keeping
keeping aa
disaster management
disaster management plan plan ready, training personnel
ready, training personnel andand members
members of of the
the
society to
society to manage
manage disasters,
disasters, and
and having
having alternative
alternative communication
communication systems
systems
ready for
ready for coordination.
coordination.

» Natural
 Natural disasters
disasters can
can be
be expected
expected to
to damage
damage vital
vital links
links and
and these
these must
must be
be
provided for.
provided for.
Phases
Phases

Response —–
Response

» Once
 Once aa disaster
disaster occurs,
occurs, two
two types
types of
of actions
actions will
will be
be required.
required.

» The
 The first
first action
action is
is the
the response
response to
to emergency
emergency needs.
needs.

» This
 This will
will include
include limiting
limiting the
the impact
impact ofof the
the disaster
disaster by
by relocating
relocating people, providing
people, providing
food and
food and shelter,
shelter, preventing
preventing diseases,
diseases, and
and ensuring
ensuring the
the establishment
establishment of
of vital
vital links
links
such as
such as communication,
communication, road,
road, and
and rail networks.
rail networks.

» This
 This phase
phase of
of disaster
disaster management
management is
is known
known as
as response.
response.

» This
 This is
is aa vital
vital phase
phase as
as this
this is
is when
when the
the management
management of
of disaster
disaster calls
calls for
for speedy
speedy and
and
timely actions.
timely actions.
Phases
Phases

Recovery --
Recovery

»
 Recovery is
Recovery is the
the second
second phase
phase of of the
the response
response to to disaster.
disaster.
»
 This, in
This, in many
many situations,
situations, isis aa long-term
long-term process.
process.
»
 Depending upon
Depending upon thethe disaster
disaster type,
type, itit may
may take
take months
months or or years
years to
to achieve
achieve recovery.
recovery.
»
 This is
This is the
the process
process of of bringing
bringing the the area
area to
to its
its earlier
earlier state,
state, which
which may
may not
not be
be fully
fully
attainable.
attainable.
» In
 In the
the case
case ofof aa nuclear
nuclear disaster,
disaster, forfor example,
example, the the danger
danger fromfrom exposure
exposure to
to radiations
radiations
continues for
continues for aa long
long period
period of of time.
time.
» The
 The process
process of of bringing
bringing thethe neighborhood
neighborhood to to its
its former
former state
state would
would take
take aa very
very long
long
time and
time and continuous
continuous monitoring
monitoring of of the
the area
area would
would be be required.
required.
Safe Exit
Safe Exit

» Safe
 Safe exit
exit is
is the
the provision
provision for
for people
people to
to escape
escape with
with minimum
minimum damage
damage when
when something
something
untoward happens.
untoward happens.

» Products
 Products are
are designed
designed with
with low
low probability
probability of
of failure,
failure, and,
and, if
if at
at all
all fails,
fails, the
the consequent
consequent
damages are
damages are minimum
minimum and
and people
people have
have an
an escape
escape route.
route.

» In
 In the
the case
case of
of challenger
challenger &
& Uphaar
Uphaar cinema,
cinema, safe
safe exit
exit was
was not
not properly
properly provided
provided for.
for.
Ethical Issues
Ethical Issues

» Public
 Public safety
safety and
and welfare
welfare must
must be
be the
the prime
prime concern
concern of
of professionals.
professionals. These
These should
should not
not
be compromised while
be compromised while designing
designing and
and manufacturing
manufacturing products
products and
and services.
services.

» Loyalty
 Loyalty to
to employers
employers must
must not
not come
come inin the
the way
way of
of aa professional
professional resisting
resisting an
an attempt
attempt to
to
compromise on
compromise on safety
safety for
for the
the purpose
purpose of of cutting
cutting costs
costs or
or increasing
increasing profits. Many
profits. Many
engineers, like
engineers, like Roger
Roger Boisjoly,
Boisjoly, showed
showed that
that they
they would
would notnot hesitate
hesitate to
to place their
place their
concerns on
concerns on record
record in1n spite
spite of
of being
being employees
employees of of the
the erring
erring company.
company.
Ethical Issues
Ethical Issues

» The
 The professional must use
professional must use his/her
his/her right
right of
of whistle-blowing
whistle-blowing in
in case
case he/she
he/she has
has to
to fight
fight
attempts to
attempts to compromise
compromise on
on safety.
safety.

» Employers/Owners
 Employers/Owners must must also
also realize
realize that
that compromising
compromising on on safety
safety for
for short
short term
term gains
gains
will not
will not help.
help. The
The economic
economic loss
loss coupled
coupled with
with loss
loss of
of credibility,
credibility, brand
brand value,
value, and
and market
market
share will
share will be costlier in
be costlier in the
the long
long run
run in
in case
case something
something untoward
untoward happens.
happens.
Ethical Issues
Ethical Issues

» Building
 Building safety
safety measures
measures in in the
the beginning
beginning isis cheaper
cheaper and
and much
much more
more sensible
sensible than
than
correcting something
correcting something later
later after
after aa mishap
mishap has
has occurred.
occurred.

» Owners
 Owners and
and employees
employees are
are morally
morally bound
bound to
to keep
keep public
public safety
safety in
in focus
focus at
at all
all times.
times.

» Engineers
 Engineers have
have to
to be
be sensitive
sensitive to
to safety
safety issues
issues and
and all
all decisions
decisions must
must ensure
ensure public
public
safety.
safety.
Summary
Summary

» Safety
 Safety is
is aa very
very important
important aspect
aspect of
of engineering.
engineering.

» Engineers
 Engineers have
have toto keep
keep in
in mind
mind the
the safety
safety of
of the
the public,
public, which
which should
should hold
hold aa paramount
paramount
position 1n all
position in all their
their dealings.
dealings.

» Risk
 Risk analysis
analysis and
and risk
risk management
management are
are essential
essential to
to avoid
avoid risks
risks that
that endanger
endanger public lives.
public lives.

» The
 The many
many case
case studies
studies described
described in
in the
the chapter
chapter show
show aa lack
lack of
of concern
concern among
among the
the people
people
involved in
involved in maintaining
maintaining safety.
safety.

» Commercial
 Commercial consideration
consideration should
should not
not overshadow
overshadow safety
safety aspects
aspects in
in any
any activity.
activity.
 Chapter-5
Chapter-5

ENVIRONMENTAL LAW
ENVIRONMENTAL LAW
Introduction
Introduction
• India is a
India is a signatory
signatory to
to the
the Stockholm
Stockholm Convention
Convention and
and Paris
Paris accord
accord on
on climate
climate
change
change

•« Environmental
Environmental protection
protection Act
Act 1986
1986 was
was introduced
introduced to
to fulfil
fulfil our
our commitment
commitment to
to
protecting the
protecting the climate.
climate.

•«As
As aa part
part of
of this
this act
act and
and developments
developments thereafter,
thereafter, the
the Environmental
Environmental impact
impact
assessment notification
assessment notification was
was issued
issued in
in 2006.
2006.

•* India
India also
also stipulated
stipulated emission
emission standards
standards for
for various
various type
type of
of industries
industries to
to achieve
achieve
overall emission
overall emission reduction
reduction commitments.
commitments.
 INDIAN CONTRACT
INDIAN CONTRACT LAW
LAW 1872
1872

 The Indian
The Indian Contract
Contract Law
Law 1872
1872 is 1s aa British
British Law
Law made
made applicable
applicable to
to the
the Indian
Indian State
State in
in
1872.
1872.
 The law
The law as
as made
made applicable
applicable at
at that
that time
time had
had 266
266 sections.
sections.

 11 to
to 75
75 — General provisions
— General provisions
YVVVVVY

 76 to
76 to 123
123 — Sales of
— Sales of Goods
Goods
 124 to
124 to 147
147 — Indemnity/Guarantee
— Indemnity/Guarantee
 148 to
148 to 181
181 — Bailment and
— Bailment and Pledge
Pledge
 182 to
182 to 238
238 — Agency
— Agency
 239 to
239 to 266
266 — Partnerships
— Partnerships


L)
* Two of
Two of these
these categories,
categories, 76
76 to
to 123
123 (Sale
(Sale of
of goods)
goods) and
and 239
239 to
to 266
266 (Partnerships)
(Partnerships) were
were
4

removed from the

removed from the Contract
Contract Law
Law and
and have
have been
been made
made into
into separate
separate laws.
laws.
 Contract and
Contract and Agreement
Agreement

v" An
 An agreement
agreement enforceable
enforceable by
by law
law is
is aa contract.
contract.

v" Enforceable
 Enforceable byby law
law means
means legal
legal remedy
remedy is
is available
available in
in case
case of
of any
any breach of contract
breach of contract to
to the
the
aggrieved party.
aggrieved party.

v" All
 All contracts
contracts are
are agreements
agreements but
but all
all agreements
agreements are
are not
not contracts.
contracts.
 Proposal and
Proposal and Acceptance
Acceptance
(a) When
(a) When oneone person
person signifies
signifies to
to another
another his
his willingness
willingness toto do
do oror to
to abstain
abstain from
from doing
doing
anything, with
anything, with aa view
view toto obtaining
obtaining the
the assent
assent of
of that
that other
other to
to such
such act
act or
or abstinence,
abstinence, he
he is
1s
said to
said to make
make aa proposal;
proposal;

(b) When
(b) the person
When the person to
to whom
whom the
the proposal
proposal is
is made
made signifies
signifies his
his approval
approval thereto,
thereto, the
the proposal 1s
proposal is
said to
said to be accepted. A
be accepted. A proposal,
proposal, when
when accepted,
accepted, becomes
becomes aa promise;
promise;

The consideration
The consideration or
or object
object of
of an
an agreement
agreement is
1s lawful,
lawful, unless—
unless—

•e it
it is
1s forbidden
forbidden byby law;
law; oror
•e is
1s of
of such
such aa nature
nature that
that if
if permitted,
permitted, it
it would
would defeat
defeat the
the provisions
provisions of
of any
any law;
law; or
or
•e is
1s fraudulent;
fraudulent; oror
•* involves
involves or or implies
implies injury
injury toto the
the person
person oror property
property of
of another;
another; or
or
•e the
the Court
Court regards
regards it1t as
as immoral
immoral or or opposed
opposed to to public
public policy.
policy.
 FORMATION OF
FORMATION OF CONTRACTS
CONTRACTS
Sections 2
Sections 2 to
to 6
6 of
of the
the act
act deal
deal with
with this
this aspect:
aspect:

a) Making
a) Making aa proposal:
proposal: to
to do
do or
or not
not to
to do
do something.
something.

•* Person
Person to
to whom
whom thethe proposal
proposal is
1s made
made signifies
signifies his
his assent,
assent, the
the proposal
proposal is 1s accepted;
accepted;
•* Person
Person making
making the
the proposal
proposal is
is the
the ‘promisor’
‘promisor’ andand person
person accepting
accepting it
it is
is the
the ‘promisee’.
‘promisee’.
•* When the promise
When the promise acts
acts according
according to to the
the desire
desire ofof the
the promisor,
promisor, it
it is
1s ‘consideration
‘consideration for
for the
the
promise’.
promise’.
•* Every
Every promise
promise inin consideration
consideration of of each
each other
other is
1s an
an agreement.
agreement.
•* Agreements
Agreements notnot enforceable
enforceable byby law
law is1s said
said to
to be
be void.
void.
•* Legally
Legally enforceable
enforceable agreements
agreements are are contracts.
contracts.

b) Formation of
b) Formation of contract
contract involves
involves communicating
communicating the
the proposal
proposal and
and acceptance
acceptance of
of the
the proposal.
proposal.

c) A
c) A proposal can be
proposal can be revoked
revoked byby communication
communication to to the
the other
other party or if
party or if the
the acceptance
acceptance is
is not
not
made in
made 1n time
time as
as specified
specified or
or by
by nonfulfillment
nonfulfillment of
of conditions
conditions by any of
by any of the
the parties.
parties.
FORMATION OF
FORMATION OF CONTRACTS
CONTRACTS

Proposal +
Proposal + Acceptance
Acceptance =
= Promise
Promise

Promise +
Promise + Consideration
Consideration =
= Agreement
Agreement

Agreement +
Agreement + Enforceability
Enforceability =
= Contract
Contract
ESSENTIALS OF
ESSENTIALS OF CONTRACTS
CONTRACTS

1. Agreement
1. Agreement

2. Free
2. Free Consent
Consent

3. Competency
3. Competency of
of the
the parties
parties

4. Lawful
4. Lawful Consideration
Consideration

5. Legal
5. Legal Object
Object

6. Not
6. Not expressly
expressly declared
declared to
to be
be void
void
 Essential elements
Essential elements of
of Contract
Contract

Some essential
Some essential elements
elements of
of a
a valid
valid contract
contract are:−
are:—

v’ At
 At least
least two
two (or (or more
more parties)
parties) must
must participate
participate in in the
the contract
contract (One
(One makes
makes an
an offer
offer and
and the
the
other(s) accept
other(s) accept it) it)
v' Offer
 Offer made
made is is accepted
accepted by by the
the other
other party
party
v' Acceptance
 Acceptance is is by
by freefree consent
consent (and(and not
not by
by force
force or or any
any form
form ofof coercion)
coercion)
v" Both
 Both parties agree to
parties agree to have
have aa legal
legal relationship
relationship
v Agreement
 Agreement must must be be onon potentially
potentially possible
possible actions
actions
v" Capacity
 Capacity or or eligibility
eligibility for for entering
entering into
into contract
contract (not
(not aa minor
minor or or of
of unsound
unsound mind
mind etc.)
etc.)
v" Objective
 Objective of of contract
contract must must bebe lawful
lawful
v" Both
 Both the
the parties
parties understand
understand the the contract
contract inin the
the same
same way way
v" Contract
 Contract cannot
cannot be be on on illegal
illegal activities
activities
v' Legal
 Legal formalities,
formalities, as as required,
required, are are completed
completed like like written
written and
and signed
signed agreements,
agreements, registration,
registration,
payment
payment of of dues,
dues, witnesses
witnesses etc.)etc.)
 ESSENTIALS OF
ESSENTIALS OF CONTRACTS
CONTRACTS

Sections 10
Sections 10 to
to 23
23 deal
deal with
with this
this aspect
aspect of
of contracts.
contracts.

a) All
a) All agreements
agreements are
are contracts
contracts ifif they
they are
are made
made with
with the
the free
free consent
consent of
of the
the parties
parties competent
competent to to
contract, object
contract, object of
of contract
contract is1s lawful,
lawful, for
for aa lawful
lawful consideration
consideration and
and are
are not
not declared
declared void.
void. All
All
legal requirements
legal like contract
requirements like contract inin writing,
writing, registration
registration of
of documents
documents and
and signature
signature ofof witnesses
witnesses
need to
need to be
be complied
complied with.
with.

b) Competent to
b) Competent to contract
contract means
means the
the person(s)
person(s) of
of legal
legal maturity,
maturity, of
of sound
sound mind
mind and
and is
i1s not
not
disqualified by
disqualified by any
any law.
law.

¢) Sound
c) Sound mind
mind means
means the
the person
person capable
capable ofof understanding
understanding the
the contract
contract and
and is
is able
able to
to form
form rational
rational
judgments about its
judgments about its effect
effect on
on his
his interests.
interests.

d) Consent
d) Consent byby two
two or or more
more persons
persons means
means that
that they
they agree
agree upon
upon some
some thing
thing with
with the
the same
same
understanding on
understanding on all
all its
its aspects.
aspects.
 ESSENTIALS OF
ESSENTIALS OF CONTRACTS
CONTRACTS

e) Free
e) Free consent
consent happens
happens when
when it
it is
1s free
free of
of any
any coercion,
coercion, undue
undue influence,
influence, fraud,
fraud, misrepresentation
misrepresentation or
or
mistake.
mistake.

f) Coercion
f) Coercion is
1s committing
committing any
any unlawful
unlawful act
act forbidden
forbidden by
by Indian
Indian penal
penal laws.
laws.

g) Undue
g) Undue influence
influence (in
(in entering
entering into
into aa contract)
contract) happens
happens when
when one
one of
of the
the parties
parties hold
hold such
such powers
powers
as to
as to dominate
dominate thethe decision
decision ofof the
the other
other byby apparent
apparent authority
authority or
or the
the other
other party
party is
is of
of weal
weal
disposition.
disposition.

h) Fraud
h) Fraud means
means making
making aa suggestion
suggestion that
that something
something is
is true
true when
when it
it is
1s not,
not, concealing
concealing facts,
facts, making
making
promises with no
promises with no intention
intention of
of doing
doing it
it or
or by
by doing
doing anything
anything fraudulent.
fraudulent.
 ESSENTIALS OF
ESSENTIALS OF CONTRACTS
CONTRACTS

1)
i) Misrepresentation means
Misrepresentation means positively
positively asserting
asserting something
something as
as true
true when
when it
it is
is not,
not, breach
breach of
of duty
duty to
to
gain some
gain some advantage
advantage and
and causing
causing someone
someone toto make
make aa mistake.
mistake.

j)j) An
An agreement
agreement arrived
arrived at
at by coercion is
by coercion 1s voidable;
voidable; same
same is
is the
the case
case for
for fraud
fraud and
and misrepresentation.
misrepresentation.

k) The
k) The agreement
agreement is
is also
also voidable
voidable if
if both the parties
both the parties make
make mistake
mistake in
in understanding
understanding substance
substance of
of the
the
agreement.
agreement.

1) Lawful
l) Lawful object
object of
of any
any agreement
agreement means
means that
that the
the object
object is
is not
not specifically
specifically forbidden
forbidden in
in law.
law.
(Example: agreement
(Example: agreement to
to supply
supply prohibited drugs or
prohibited drugs or make
make forbidden
forbidden weapons)
weapons)
 Consumer Protection
Consumer Protection

» A
 A consumer
consumer is
is one
one who
who purchases
purchases goods
goods or
or services
services by paying for
by paying for it
it and
and for
for personal
personal use.
use.

» ‘Consumer
 ‘Consumer is
is king’.
king’. Consumers
Consumers can
can make
make or
or break
break aa product.
product.

» If
 If consumer
consumer is
is the
the king,
king, why
why does
does he/she
he/she need
need protection?
protection?

» This
 This is
is probably
probably because
because consumers
consumers get
get cheated
cheated by
by businesses
businesses

v i)
 1) with
with spurious
spurious products,
products,
v’ ii)
 ii) by
by not
not offering
offering any
any services
services after
after an
an item
item is
is sold
sold
v iii)
 iii) sometimes
sometimes even
even supplying
supplying unsafe
unsafe products.
products.


» At
At present,
present, consumer
consumer protection
protection is
is legally
legally enforced
enforced by
by enacting
enacting consumer
consumer protection laws.
protection laws.


» Consumer
Consumer protection
protection is
is applicable
applicable to
to products
products and
and services.
services.
 Consumer Protection
Consumer Protection

A consumer
A consumer can
can be
be cheated
cheated in
in many
many different
different ways:
ways:


v" Product
Product not
not conforming
conforming to
to the
the specifications
specifications advertised
advertised or
or told
told to
to the
the consumer
consumer at
at the
the
time of
time of purchase
purchase
v" Not
 Not informed
informed of
of actual
actual pricing
pricing or
or cost
cost of
of accessories
accessories necessary
necessary to
to operate
operate the
the product.
product.
v" Spurious
 Spurious product
product being
being supplied
supplied as
as aa branded
branded product.
product.
v’ Many
 Many things
things in
in fine
fine print
print not
not explained
explained to
to the
the consumer
consumer
v" Overcharging
 Overcharging for
for the
the product
product or
or service
service
v" High
 High cost
cost of
of replacement
replacement parts
parts
v' Absence
 Absence of
of appropriate
appropriate maintenance
maintenance service
service or
or high
high service
service charges
charges
v" Supplying
 Supplying old
old refurbished
refurbished product
product as
as original
original and
and new
new
Consumer Rights
Consumer Rights
•* It is
It is also
also in
in the
the interest
interest of
of the
the business to ensure
business to ensure that
that consumer
consumer remains satisfied about
remains satisfied about any
any product
product
Or service.
or service.
Consumer rights
Consumer rights can
can be
be generally
generally stated
stated as:
as:
¢ Safe
 Safe product:
product: Consumer
Consumer isis entitled
entitled to
to receive
receive aa safe
safe product that does
product that does not
not cause
cause any
any harm
harm
during use.
during use.
¢ Product
 Product Choice:
Choice: The
The availability
availability of
of goods/service
goods/service at
at reasonable
reasonable price
price isis aa right
right of
of the
the consumer.
consumer.
Competition in
Competition in the
the market
market generally
generally ensures
ensures variety
variety of
of choices
choices and
and fair
fair prices
prices for
for the
the consumer.
consumer.

+* Product
Product Information:
Information: Product
Product information
information has
has to
to be clear and
be clear and accurate
accurate and
and in
in sufficient
sufficient detail
detail
to enable
to enable the
the consumer
consumer to
to make
make an
an informed
informed decision
decision about
about purchase and use.
purchase and use.
¢ Consumer
 Consumer grievance
grievance and and redressal:
redressal: When
When aa consumer
consumer hashas purchased
purchased aa product,
product, itit is
is quite
quite
possible that
possible that the
the product
product malfunctions
malfunctions oror the
the consumer
consumer has
has problems with it.
problems with it. There
There must
must be be aa
mechanism by
mechanism by which
which his
his grievances
grievances are
are heard
heard and
and if
if required appropriate action
required appropriate action is
is taken
taken toto
address the
address the same.
same.
¢ Consumer
 Consumer Education:
Education: It It educates
educates the
the consumers
consumers about
about their
their rights, about various
rights, about various goods
goods and
and
services, prices,
services, prices, quality
quality and
and durability,
durability, trade
trade practices and also
practices and also about
about being an ethical
being an ethical consumer.
consumer.
 Consumer Protection
Consumer Protection Acts
Acts

•* Consumer
Consumer protection
protection acts
acts addresses
addresses the
the rights
rights of
of consumers.
consumers.

The objectives
The objectives of
of the
the Consumer
Consumer Protection
Protection Act
Act are
are to:
to:


» Give
Give aa legal
legal status
status to
to consumer
consumer rights
rights
» Facilitate
 Facilitate formation
formation of
of consumer
consumer organizations
organizations

» Provide
Provide aa forum
forum for
for the
the consumers
consumers to
to go
go to
to with
with their
their complaints
complaints

» Provide
Provide aa structure
structure for
for speedy
speedy redressal
redressal of
of grievances
grievances
» Give
 Give the
the consumer
consumer aa speedy
speedy but
but simpler
simpler and
and cost-effective
cost-effective means
means to
to get
get his
his complaints
complaints
resolved
resolved
 Consumer Protection
Consumer Protection Acts
Acts

» Consumer
 Consumer Protection
Protection Act
Act (1986)
(1986) is
is the
the main
main legislation
legislation to
to protect
protect the
the interests
interests of
of consumers
consumers in
in
India.
India.

» In
In addition
addition to
to detailing
detailing the
the consumer
consumer rights and consumer
rights and consumer empowerment,
empowerment, the
the act
act provides
provides for
for
quasi-judicial structures
quasi-judicial structures for
for speedy
speedy and
and less-costly
less-costly processes
processes for
for grievance
grievance redressal
redressal for
for
consumers.
consumers.

» Earlier,
Earlier, consumer
consumer awareness
awareness was
was less.
less.

» Also
 Also the
the only
only forum
forum for
for redressal of complaints
redressal of complaints was
was the
the normal
normal judicial system.
judicial system.
» Consumers
 Consumers were
were unwilling
unwilling to
to register complaints due
register complaints due to
to the
the high
high cost
cost and
and extreme
extreme delay
delay in
in
getting justice.
getting justice.
 Consumer Protection
Consumer Protection Acts
Acts

The Consumer
The Consumer Protection
Protection Act
Act recognizes
recognizes the
the rights
rights of
of consumers
consumers as:
as:

v" Right
 Right to
to be
be protected
protected against
against marketing
marketing of
of goods
goods and
and services
services that
that are
are hazardous
hazardous to
to life
life and
and
property
property
v" Right
 Right to
to be
be informed
informed about
about the
the quality,
quality, quantity,
quantity, standard,
standard, and
and price
price of
of goods
goods or
or services
services so
so as
as
to protect
to protect the
the consumer
consumer against
against unfair
unfair trade
trade practices
practices
v Right
 Right to
to receive
receive assured
assured access,
access, wherever
wherever possible,
possible, to
to aa variety
variety of
of goods
goods and
and services
services at
at
competitive prices
competitive prices
v" Right
 Right to
to be
be heard
heard and
and to
to be
be assured
assured that
that consumers
consumers interests
interests will
will receive due consideration
receive due consideration at
at
appropriate forums.
appropriate forums.
v" Right
 Right to
to seek
seek redressal
redressal against
against unfair
unfair trade
trade practices.
practices.
v" Right
 Right to
to consumer
consumer education
education
 Consumer Protection
Consumer Protection Acts
Acts

¢ The
The consumer
consumer protection
protection act
act seeks
seeks to
to protect
protect the
the interest
interest of
of consumers
consumers against
against deficiencies
deficiencies or
or
defect in
defect 1n product
product or
or service.
service.

¢ The
The act
act applies
applies toto only
only individual
individual consumers
consumers purchasing
purchasing goods/services
goods/services for
for personal
personal use
use and
and
applies to
applies to all
all goods
goods and
and services
services unless
unless specifically
specifically mentioned
mentioned otherwise.
otherwise.
¢ Consumer
 Consumer Protection
Protection Act,
Act, 1986
1986 was
was enacted
enacted to
to facilitate
facilitate quick
quick redressal of consumer
redressal of consumer grievances
grievances
by avoiding
by avoiding long-drawn
long-drawn litigation
litigation and
and court
court fees.
fees.
¢ A
 A structure
structure is
is created
created from
from the
the district
district level
level to
to National
National Level
Level for
for smoother,
smoother, simpler
simpler and
and quicker
quicker
functioning of
functioning of the
the system.
system.
¢ The
 The essential
essential idea
idea is
is to
to help
help the
the consumer
consumer and
and supplier
supplier to
to negotiate
negotiate and
and arrive
arrive at
at aa consensus
consensus to
to
solve the
solve the problems
problems of
of the
the consumer.
consumer.
¢ The
 The Act
Act covers
covers all
all goods
goods and
and Services
Services (unless
(unless exempted
exempted specifically)
specifically) and
and covers
covers public,
public, private
private
and co-operative
and co-operative sectors.
sectors.
¢ Consumer
 Consumer courts
courts provide
provide relief
relief only
only to
to goods
goods and
and services
services bought for personal
bought for personal use
use and
and does
does not
not
cover items
cover items meant
meant for
for commercial
commercial use.
use.
 Who can
Who can Complain
Complain
% Consumer
 Consumer individually
individually
% Consumer
 Consumer associations
associations
% Central
 Central oror state
state Governments
Governments
“ Two
 Two or
or more
more persons
persons having
having common
common interest
interest
% Legal
 Legal heir
heir of
of a
a consumer
consumer in in case
case of
of his
his death
death

A complaint
A complaint is
is generally
generally made
made in
in written
written forming
forming the
the case
case of
of

% Defective
 Defective product
product or
or deficient
deficient service
service
> Unfair
 Unfair or
or restricted
restricted trade
trade practice
practice
% Excess
 Excess charge
charge oror pricing
pricing
 Selling goods hazardous to health
PRODUCT AND
PRODUCT AND PRDUCT
PRDUCT LIABILITY
LIABILITY

"Product” means
"Product" means any
any article
article or
or goods
goods or
or substance
substance or
or raw material or
raw material or any
any extended
extended cycle
cycle of
of
such product,
such product, which
which may
may be
be in
in gaseous,
gaseous, liquid,
liquid, or
or solid
solid state
state possessing
possessing intrinsic
intrinsic value
value which
which
1s capable
is capable of
of delivery
delivery either
either as
as wholly
wholly assembled
assembled or
or as
as aa component
component part
part and
and is
is produced
produced for
for
introduction to
introduction to trade
trade or
or commerce,
commerce, but
but does
does not
not include
include human
human tissues,
tissues, blood,
blood, blood products
blood products
and organs;(as
and organs;(as defined
defined in
in the
the Act).
Act).
 Defect and
Defect and Deficiency
Deficiency

< "Defect"
 "Defect' means
means anyany fault,
fault, imperfection
imperfection or or shortcoming
shortcoming in in the
the quality,
quality, quantity,
quantity, potency,
potency, purity
purity or
or
standard which
standard which is1s required
required toto be
be maintained
maintained by by or
or under
under any
any law
law for
for the
the time
time being in force
being in force or
or
under any
under any contract,
contract, express
express oror implied
implied oror as
as is
is claimed
claimed byby the
the trader
trader inin any
any manner
manner whatsoever
whatsoever in in
relation to
relation to any
any goods
goods or or product
product and
and the
the expression
expression "defective"
"defective" shall
shall be construed accordingly;
be construed accordingly;

“ "Deficiency"
 "Deficiency' meansmeans anyany fault,
fault, imperfection,
imperfection, shortcoming
shortcoming oror inadequacy
inadequacy in in the
the quality,
quality, nature
nature
and manner
and manner of of performance
performance which
which isis required
required to
to be maintained by
be maintained or under
by or under any
any law
law for
for the
the time
time
being in
being in force
force oror has
has been
been undertaken
undertaken to to be
be performed
performed by
by aa person
person in
in pursuance
pursuance of of aa contract
contract oror
otherwise in
otherwise in relation
relation to
to any
any service
service and
and includes:
includes:

(1) any
(i) any act
act of
of negligence
negligence or
or omission
omission or
or commission
commission by such person
by such which causes
person which causes loss
loss or
or injury
injury to
to
the consumer;
the consumer; and
and

(1) deliberate
(ii) deliberate withholding
withholding of
of relevant
relevant information
information by
by such
such person to the
person to the consumer;
consumer;
 Product Liability
Product Liability

» "Product
 "Product liability"
liability" means
means the
the responsibility
responsibility of
of aa manufacturer
manufacturer or
or seller,
seller, of
of any
any product
product or
or service,
service,
to compensate
to compensate for
for any
any harm
harm caused
caused to
to aa consumer
consumer by
by such
such defective
defective product
product manufactured
manufactured or
or
sold or
sold or by
by deficiency
deficiency in
in services
services relating
relating thereto;
thereto;

» "Product
 "Product liability
liability action"
action" means
means aa complaint
complaint filed
filed by
by aa person
person before
before aa District
District Commission
Commission or
or
State Commission
State Commission or
or National
National Commission,
Commission, as
as the
the case
case may
may be, for claiming
be, for claiming compensation
compensation for
for
the harm
the harm caused
caused to
to him;
him;
A product
A product manufacturer
manufacturer shall
shall be liable in
be liable in aa product
product liability
liability action,
action, if
1f

a) the
a) the product
product contains
contains aa manufacturing
manufacturing defect;
defect; or
or
b) the
b) the product
product is
is defective
defective in
in design;
design; or
or
c) there
c) there is
is aa deviation
deviation from
from manufacturing
manufacturing specifications;
specifications; or
or
d) the
d) the product
product does
does not
not conform
conform to
to the
the express
express warranty;
warranty; or
or
e) the
e) the product fails to
product fails to contain
contain adequate
adequate instructions
instructions of
of correct
correct usage
usage to
to prevent
prevent any
any harm
harm or
or any
any
warning regarding
warning improper or
regarding improper or incorrect
incorrect usage.
usage.
A product
A product service
service provider
provider shall
shall be liable in
be liable in aa product
product liability
liability action,
action, if
if

a) the
a) the service
service provided
provided by
by him
him was
was faulty
faulty or
or imperfect
imperfect or
or deficient
deficient or
or inadequate
inadequate in
in quality,
quality,
nature or
nature or manner
manner of
of performance
performance which
which is
is required to be
required to provided by
be provided or under
by or under any
any law
law for
for
the time
the time being
being in
in force,
force, or
or pursuant
pursuant to
to any
any contract
contract or
or otherwise;
otherwise; or
or
b) there
b) there was
was an
an act
act of
of omission
omission or
or commission
commission or
or negligence
negligence or
or conscious
conscious withholding
withholding any
any
information which
information which caused
caused harm;
harm; or
or

c) the
c) the service
service provider
provider did
did not
not issue
issue adequate
adequate instructions
instructions or
or warnings
warnings to
to prevent any harm;
prevent any harm; or
or
d) the
d) the service
service did
did not
not conform
conform to
to express
express warranty
warranty or
or the
the terms
terms and
and conditions
conditions of
of the
the contract.
contract.
A product
A product seller
seller who
who is
1s not
not aa product
product manufacturer
manufacturer shall
shall be
be liable
liable in
in aa product
product liability
liability action,
action, if
if

a) he
a) he has
has exercised
exercised substantial
substantial control
control over over thethe designing,
designing, testing,
testing, manufacturing,
manufacturing, packaging
packaging or or
labelling of
labelling of aa product
product that that caused
caused harm;harm; or or
b) he
b) he has
has altered
altered or or modified
modified the the product
product and and suchsuch alteration
alteration or or modification
modification was was the
the substantial
substantial
factor in
factor in causing
causing the the harm;
harm; or or
c) he
c) he has
has made
made an an express
express warranty
warranty of of aa product
product independent
independent of of any
any express
express warranty
warranty made
made by by aa
manufacturer and
manufacturer and such
such product
product failed
failed to to conform
conform to to the
the express
express warranty
warranty made
made by the product
by the product
seller which
seller which caused
caused the the harm;
harm; or or
d) the
d) the product
product has has been
been soldsold by
by himhim andand thethe identity
identity of of product
product manufacturer
manufacturer of of such
such product
product is is not
not
known, or
known, or ifif known,
known, the the service
service of of notice
notice or or process
process or or warrant
warrant cannot
cannot be effected on
be effected on himhim oror he
he
1s not
is not subject
subject to to the
the law
law which
which is is inin force
force in in India
India or or the
the order,
order, if
if any,
any, passed or to
passed or to be
be passed
passed
cannot be
cannot be enforced
enforced against
against him;
him; or or
e) he
e) he failed
failed toto exercise
exercise reasonable
reasonable care care in in assembling,
assembling, inspecting
inspecting or or maintaining
maintaining suchsuch product
product or or he
he
did not
did not pass
pass on on the
the warnings
warnings or or instructions
instructions of of the
the product manufacturer regarding
product manufacturer regarding thethe dangers
dangers
involved or
involved or proper
proper usage
usage of of the
the product
product whilewhile selling
selling suchsuch product
product andand such
such failure
failure waswas the
the
proximate cause
proximate cause of of the
the harm.
harm.
 CASE STUDIES
CASE STUDIES
Banks
Banks and
and their
their “technical
“technical difficulties”
difficulties”

Dipika Pallikal,
Dipika Pallikal, a a squash
squash champion
champion and and Arjuna
Arjuna awardee
awardee found found herself
herself in in"an awkward
an awkward
situation when
situation when she she used
used her her Axis Bank Debit
Axis Bank Debit Card
Card in in a
a hotel
hotel at at Netherlands’
Netherlands® Rotterdam
Rotterdam
failed.
failed. She
She had
had had had 10 10 times
times thethe bill
bill amount
amount in in her
her account
account at at that
that time.
time. DueDue toto this,
this,
she faced
she faced a a loss
loss ofof reputation
reputation and and humiliation.
humiliation. The The bank
bank said said thethe incident
incident' was
was a a case
case
of ‘Force
of ‘Force Majeure’
Majeure’ (an (an act
act ofof god/
god/ something
something beyond
beyond control)
control)
Apart from
Apart from that,
that, thethe bank
bank had had also
also returned
returned a a cheque
cheque of of ₹1
X1 lakh
lakh issued
issued to to her
her by
by the
the
government of
government of India
India andand blamed
blamed it it on
on a a technical
technical error.
error.
Dipika moved
Dipika moved the the consumer
consumer court court inin Chennai
Chennai against
against Axis Bank
Axis Bank
Court Decision
Court Decision
The court
The court found
found that that there
there was was aa deficiency
deficiency of of service
service on on thethe part
part ofof Axis
Axis Bank
Bank andand
directed the
directed the bank
bank to to pay
pay a a compensation
compensation of of ₹5
X5 lakh
lakh and
and ₹5000
5000 as as expenses.
expenses.
Key Takeaway
Key Takeaway
Banks are
Banks are like
like any
any other
other service
service provider.
provider. We We trust
trust them
them withwith our our money
money and and they
they must
must
perform the
perform the services
services we we were promised. They
were promised. They cannot
cannot hide hide behind
fpehind ‘technical
“technical
difficulties’ or
difficulties’ or ‘force
‘force majeure’
majeure’ and and letlet customers
customers suffer
suffer forfor it.
it.
 CASE STUDIES
CASE STUDIES
Tea vendor
Tea vendor and
and SBI
SBI

A
A humble
humble tea vendor, Rajesh
tea vendor, Rajesh Sakre,
Sakre, isis an
an example
example of of this.
this. He
He had
had ₹20,000
320,000 in in his State
his'State
Bank
Bank ofof India
India account
account and and had withdrawn ₹10,800.
had withdrawn 310,800. On On hishis next visit to
next visit to the ATM,
the ATM;
however, he
however, he realised
realised all all his
his money
money was gone. When
was gone. When he he asked
asked the
the bank
bank authorities
authorities they
they
blamed it
blamed it on
on him.
him.
So, he
So, he went
went to to the
the District
District Consumer
Consumer Disputes
Disputes Redressal
Redressal Forum Forum with
with his
his grievance.
grievance. He He
couldn’t afford
couldn’t afford a a lawyer
lawyer and and hehe argued
argued the the case
case himself!
himself!
Court Decision
Court Decision
The
The forum
forum ruledruled in in his
his favour
favour andand ordered
ordered the the State
State BankBank ofof India
India toto return
return the
the ₹9,200
9,200
with 6%
with 6% interest,
interest, pay pay ₹10,000
10,000 as as compensation
compensation for for mental
mental anguish
anguish caused
caused by by the
thelissue,
issue,
and ₹2,000
and 32,000 for for legal
legal expenses.
expenses.
Key Takeaway
Key Takeaway
It doesn’t
It doesn’t matter
matter who who youyou are,
are, asas long
long as as you
you have
have a a valid
valid case
case you
you cancandapproach
approach the the
Consumer cases
Consumer cases Forum.
Forum. And even big
And even big companies
companies and and government
government entities
entities like
like the
the State
State
Bank of
Bank of India
India can can bebe made
made to to answer
answer forfor their
their mistakes.
mistakes.
Gutka free
Gutka free with
with PEPSI
PEPSI
Imagine you
Imagine you bought
bought a a bottle
bottle ofof Pepsi
Pepsi andand found
found a a packet
packet of of gutka
gutka floating
floating in in it!
it! ItIt
happened to
happened to Rajesh
Rajesh Rajan
Rajan from
from Ahmedabad
Ahmedabad when when he he bought
bought Pepsi
Pepsi from
from a a local
local store.
store.
He sent
He sent a a legal
legal notice
notice toto the
the company
company immediately
immediately and and approached
approached a ajConsumer
Consumer cases cases
Dispute Redressal
Dispute Redressal Forum.Forum.
Moreover, he
Moreover, he claimed
claimed thatthat there
there was
was aa deficiency
deficiency in in service
service that
that could
could have
have caused
caused a a
health hazard
health hazard to to him.
him. HeHe demanded
demanded compensation
compensation of of ₹535 lakh
lakh for
for the
the same.
same.
Court Decision
Court Decision
The consumer
The consumer forum forum passed
passed an an order
order in in favour
favour of of Rajesh
Rajesh Rajan
Rajan andand directed
directed the the
company to
company to pay
pay a a total
total ofof ₹4008
4008 (₹4000
(4000 for for compensation
compensation and and ₹8I8 for
for the
the Pepsi
Pepsi he he
purchased).
purchased).
Rajesh moved
Rajesh moved the the State
State Consumer
Consumer Dispute
Dispute Redressal
Redressal Commission,
Commission, askingasking for farshigher
higher
compensation as
compensation as ₹4008
4008 waswas tootoo low
low andand that
that hehe hadhad spent
spent ₹500
X500 on on sample
samplestesting
testing
itself. The
itself. The State
State Commission
Commission passedpassed an an order
order asking
asking the the company
company to to pay
pay4X20j000
₹20,000 as as
compensation and
compensation and ₹2000
2000 towards
towards costs
costs asas it
it found
found Rajesh’s
Rajesh’s argument
argument reasonable.
reasonable.
Key Takeaway
Key Takeaway
Not all
Not all free
free items
items are
are welcome!
welcome! IfIf you find anything
you find anything inin your
your food
food (packaged
(packaged oror otherwise)
@therwise) that
that is
is not
not
supposed to
supposed to be
be there
there oror can
can be
be harmful
harmful toto health,
health, it
it is
is a
a deficiency
deficiency of
of service
seryice on
on the
the part
part of
of the
the
provider. You
provider. You can
can take
take them
them to
to the
the Consumer
Consumer cases
cases Forums.
Forums.
 CASE STUDIES
CASE STUDIES
NO MRP
NO MRP
Baglekar Akash
Baglekar Kumar, a
Akash Kumar, a 19-year-old
19-year-old got got a a book
book and and ₹12,500
312,500 because
because of of the
the book.
book.
How? He
How? He purchased
purchased the the book
book online
online and
and when
when it it was
was delivered,
delivered, he he noticed
noticed that
that there
there
was
was no no MRP
MRP mentioned
mentioned in in it.
it. HeHe browsed
browsed the the internet
internet and and saw
saw that
that the
the book
book was
was sold
sold
at different
at different prices
prices inin different
different places.
places.
So, he
So, he went
went toto the
the consumer
consumer cases cases forum
forum and and filed
filed a a case
case against
against Penguin
PenguintBooks India
Books India
Pvt. Ltd
Pvt. Ltd and
and the
the paper
paper company.
company.
Court Decision
Court Decision
The court
The court held
held that
that not
not publishing
publishing MRP MRP onon thethe product
product without
without a a valid
valid reason
reasontisis ‘unfair
“unfair
trade practice’.
trade practice’. MRP MRP exists
exists to to ensure
ensure thatthat a a consumer
consumer is is not
not overcharged
overcharged for for the
the
product. So,
product. So, it
it is
is mandatory
mandatory for for companies
companies to to print
print MRP.
MRP.
The publishers
The publishers were asked to
were asked to print
print the
the retail
retail price
price on on the
the book
book and
and Akash
Akash was
was awarded
awarded
10,000 as
₹10,000 as compensation
compensation and and ₹2,500
2,500 as as costs.
costs.
Key Takeaway
Key Takeaway
It is
It is required
required under
under law law forfor companies
companies to to put
put MRP MRP on on every
every product.
product. If If you
you seesee a a
product without
product without MRP,MRP, then
then it it is
is a
a violation
violation of of Consumer
Consumer cases cases Protection
Protection LawsLaws and
and youyou
can take
can take them
them to to court.
court.
 CASE STUDIES
CASE STUDIES
II PHONE
PHONE at
at 68
68 rupees!!!
rupees!!!
How would
How would itit be
be to
to get
get an an iPhone
iPhone at at just
just ₹68?
3687 InIn 2014,
2014, Nikhil
Nikhil Bansal
Bansal{(a(a student)
student) saw saw
this unbelievable
this unbelievable offer
offer on on Snapdeal
Snapdeal (a (a discount
discount of of ₹46,651)
¥46,651) andand ordered
ordered it it immediately
immediately
as any
as any sane
sane person
person would.
would. He He received
received an an order
order confirmation
confirmation but but later
later he he was
was told
told
that the
that the order
order was cancelled. They
was cancelled. They claimed
claimed that that the
the offer
offer itself
itself was
was a a technical
technical glitch.
glitch.
Court Decision
Court Decision
When he
When he approached
approached the the Consumer
Consumer Forum,Forum, he he claimed
claimed that
that these
these kind
kind of of offers
offérs are
are
misleading people
misleading people and and it it was
was the the duty
duty of of Snapdeal
Snapdeal to to honour
honour thethe order.
order. The \The forum
forum
ruled in
ruled in his
his favour
favour and and asked
asked Snapdeal
Snapdeal to to deliver
deliver himhim the
the iPhone
iPhone forfor ₹68
68 andand asked
asked to to
pay a
pay a compensation
compensation of of ₹2,000.
32,000.
When Snapdeal
When Snapdeal appealed
appealed this this order,
order, the
the compensation
compensation was was raised
raised toto ₹10,000!
310,000!
Key Takeaway
Key Takeaway
Ecommerce stores
Ecommerce stores are
are just
just as as answerable
answerable as as any
any other
other shop
shop owner
owner under
under the the Consumer
Consumer
Protection Act.
Protection Act. SoSo if
if you
you face
face anyany issues
issues like
like this
this with
with them,
them, consider
consider taking
taking it it to
to the
the
consumer
consumer court.
court.
 CASE STUDIES
CASE STUDIES
False Claims
False Claims Made
Made by
by Skin
Skin and
and Hair
Hair Care
Care Products
Products
In 2015,
In 2015, K K Chaathu
Chaathu complained
complained againstagainst Indulekha
Indulekha (beauty
(beauty product
product manufacturers)
manufacturers) and and
Mammootty (an
Mammootty (an actor
actor who
who was was thethe brand
brand ambassador
ambassador of of the
the company)
company) for for putting
putting up up
misleading ads.
misleading ads. TheThe tagline
tagline of of the
the soap
soap was was ‘soundaryam
‘soundaryam ningaleningale thedi
thedi varum’
varum®™ which
which
meant ‘beauty
meant ‘beauty will come in
will come in search
search of of you.
you. The The ads
ads also
also claimed
claimed thatthat people
people using using the
the
soap will
soap become ‘fair’
will become ‘fair’ and
and ‘beautiful’
‘beautiful’ but but the
the 67-year-old
67-year-old didn’t
didn’t become
become fair fair oror
beautiful.
beautiful.
Court Decision
Court Decision
Indulekha paid
Indulekha paid him
him ₹30,000
30,000 in in an
an out
out ofof the
the court
court settlement
settlement whilewhile the
the initial
initiat’claim
claim of of
Chaathu
Chaathu waswas ₹50,000.
X50,000. When When he was asked
he was asked aboutabout this,
this, he
he said
said that
that this
this case
case was never
wasinever
about the
about the money
money but but about
about how how these
these companies
companies put put upup advertisements
advertisements every every day day
with false
with false claims.
claims. AndAnd itit is
is not
not okay
okay to to let
let these
these people
people getget away
away with
with it.it.
Key Takeaway
Key Takeaway
Advertisements are
Advertisements are made
made to to sell
sell thethe products,
products, so so exaggeration
exaggeration of ofgfresults
results is is too
too
common. But
common. But this
this doesn’t
doesn’t makemake it it okay
okay to to make
make false
false claims
claims just
just for
for the
the sakesake ofof selling
selling
the products.
the products. Making
Making false
false claims
claims in in violation
violation of of the
the CTA.
CTA.